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8 Freight Mobility Strategic Investment Board There is no one-size fits-all approach; there is a need to I-95 Corridor Coalition identify the core underpinnings of successful structure. Kansas City SmartPort Document successes and failures and how they are Miami-Dade MPO Freight Transportation Advisory evaluated. Committee Provide guidance to the Federal government; national Southern California National Freight Gateway Collaboration freight policy can be an umbrella for actions. Explore the transition from planning to implementation. Each presenter was asked to provide an overview of his or Provide a primer or educational program. her organization, describe its strengths and weaknesses, and Study the application of non-transportation arrangements define what makes an institutional arrangement successful. already in place. Following the presentations, small groups were formed to Provide a better understanding of accessing and using encourage roundtable discussion on the above questions to available financing models. explore lessons learned and best practices in the industry. Although the small groups were given a specific question to The lessons learned in each small group session are sum- address, most followed an unstructured flow of conversa- marized as follows: tion allowing these freight transportation experts to share their thoughts pertaining to each topic. The common themes Institutional arrangements can have measurable results. identified are as follows: Institutional arrangements can be highly organized, even if Institutional arrangements must anticipate or respond to the structure is voluntary rather than contractual. dynamic market forces that are changing freight movement Institutional arrangements with staying power can point to patterns and technologies. a record of accomplishments that transcend transitions in Because freight problems transcend jurisdictional bound- leadership within member organizations. aries, so must institutional arrangements. Geographically disparate entities can join institutional New, diverse sets of players will expect involvement in arrangements in which all parties may not win equally in institutional arrangements, but trust must be built among every project selection cycle, but all parties are better off participants. together than individually. Institutional arrangements need to be characterized by clear A record of delivering projects successfully is useful in attract- goals and explicit purposes. ing resources to an institutional arrangement. Additional institutional arrangement success factors are Institutional arrangements can use modest investments for competence, credibility (trust and believability), champions accomplishing bigger results. (leadership), performance, and accountability. Rejection of institutional arrangement ideas can cause Successful models for institutional arrangements exist within participants to lose desire to make modest contributions. states or at national level--more examples are needed for Even if institutional arrangements do not directly imple- institutional arrangements at the multi-state level. ment projects, they can hold project sponsors accountable Institutional arrangements can be advanced through for project performance. incentives--funding, regulatory simplification, and threat Some institutional arrangements can be structured to allow avoidance. multiple ad hoc working groups. Different kinds of institutional arrangements with different Institutional arrangements should balance process and members may be appropriate and necessary for different product. purposes. Make simple legal arrangements between equity owners Mitigating trends are as follows: to support complex negotiations with other affected Environment: fold in issues early in a broader, holistic interests. planning effort; Infrastructure: also focus on maintaining current system; Funding: create sustainable, viable, national funding 2.4 Follow-Up Interviews and program; Case Study Development Education: broaden skills, train entry workers, include education of public and elected officials; At the workshop, participants offered examples of insti- Foreign and/or private investment: will investors keep tutional arrangements, in addition to the 36 summarized in transportation purposes in mind; and the literature review. Fifty-four institutional arrangements Additional trends to consider: security, eminent domain, in total were identified, providing a broad range of examples, natural disaster recovery, economic trends. including representation of all levels of governments, all

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9 modes, and the public and private sector. Seventeen represen- support development of a detailed case study. Interviews tatives were chosen for follow-up interviews; sixteen detailed focused on two areas of interest: case studies were developed. As with the literature search and workshop presenters, these cases were selected not to be Description of Arrangement exhaustive or statistically representative, but with the goal of Overview/History identifying and learning from the best institutional practices, Mandate/Mission as drawn from the expertise of the workshop attendees and Organization/Participation the project team. The detailed case studies and the interview Procedures/Activities guide are provided in Appendix C. The representatives from Resources Accomplishments/Successes the following organizations were interviewed: Challenges/Weaknesses Lessons Learned Alameda Corridor Transportation Authority, Gill Hicks, Future Vision/Plans Gill V. Hicks & Associates Input on Study Objectives California Marine and Intermodal Transportation System What is the best definition of institutional arrangement Advisory Council, Norm Fassler-Katz for freight? Chicago Region Environmental and Transportation Effi- What institutional arrangements are critical for the ciency Program, Luann Hamilton, Transportation Com- future? missioner, Chicago DOT How can these critical future institutional arrangements Commercial Vehicle Information Systems and Networks, be created? Quon Kwan, FMCSA; Brad Wright, Cambridge System- What major national and international trends affect atics, Inc. the formation of freight institutions? Delaware Valley Regional Planning Commission-Goods What can this project develop that would lead to creation Movement Task Force, Ted Dahlburg, Delaware Valley RPC of these future institutional arrangements? Federal Highway Administration, Tony Furst, FHWA Office of Freight Management and Operations The case studies provide an in-depth look into the key suc- Freight Mobility Strategic Investment Board, Karen Schmidt, cess factors and challenges for each institutional arrangement. FMSIB In addition, detailed narratives are provided that document Florida Seaport Transportation and Economic Devel- mission and mandate, organization, resources, process, and opment Council, Nancy Leikauf and Toy Keller, Florida funding. Table 2-2 summarizes key input captured through Ports Council the interview process categorized into three broad purposes Miami-Dade MPO Freight Transportation Advisory Com- of institutional arrangements: increased visibility and impor- mittee, Larry Foutz, Miami-Dade MPO tance of freight; project consensus and selection; and a specific I-95 Corridor Coalition, Marygrace Parker, I-95 Corridor project focus. Coalition In addition to the interviews, the 2009 TRB Annual Meeting Maine DOT Industrial Rail Access Program, Nathan was used to present initial project findings and get feed- Moulton, Maine DOT back. The Annual Meeting offered a unique chance to learn from the transportation professionals who serve on com- Kansas City SmartPort, Chris Gutierrez, Kansas City mittees within the sponsoring organization for this research SmartPort, Inc. project. TRB's Technical Activities Division encompasses Mississippi Valley Freight Coalition, Ernie Wittwer, MVFC approximately 200 standing committees divided into 11 func- Facilitator tional or mode-specific groups, including freight. Among other Nation'sPort, David Stein, Nation'sPort functions, the committees identify research needs, evaluate Natural Resources Defense Council--Southern California and interpret research findings, and encourage the adoption Clean Air Program, David Pettit, Senior Attorney, NRDC of appropriate findings into practice. Southern California National Freight Gateway Collabo- Following outreach to about 20 of the most relevant com- ration, Lindell L. Marsh, Attorney/Facilitator; Ty Schuiling, mittees, presentations were given to the following commit- SANBAG tees, which represent 6 of the 12 standing Freight Systems Trade Corridors Improvement Fund Consensus Group, committees (AT), 1 of the Rail committees (AR), and 1 of the Ty Schuiling, SANBAG committees in the Policy and Organization group (AB): The purpose of the interviews was to collect information Trucking Industry Research (AT060) about each institutional arrangement in sufficient detail to Transportation of Hazardous Materials (AT040)

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10 Table 2-2. Interview findings: summary of key success factors and challenges. Broad Purpose of Institutional Arrangements Key Success Factors Challenges Increase visibility and importance of Having a common goal and clear illustration of benefits Communication and coordination with a freight through: wide range of public and private entities Securing dedicated funding Information Sharing Effective use of available planning tools Pursing commitment of executive leadership Consensus Building No single organization serving as a freight Creating well-defined and productive meeting agendas voice Education Engaging members in promotion activities Lack of available lands for expansion of the Overcoming Distrust and Ongoing public outreach, communications, and freight system Competitive Barriers education regarding the role of freight Need for more sophisticated, objective project General Advocacy Partnering with academia evaluation tools and freight data Pursuing an aggressive marketing campaign Keeping Task Force members motivated and engaged in the planning process Building Federal, state, and local support Conflicting agency priorities Allowing flexibility in legal structure Lack of private-sector involvement Providing a neutral forum Securing a dedicated funding source Building strong partnerships with the Federal government, across state agencies, and with industry Lack of trust among stakeholders Focusing on timely issues of public concern Knowing your partners and their jurisdictions Determining a common evaluation framework to determine cost benefit Convening a commission to determine where freight corridors are likely to be in the future Project consensus and selection Gaining continued support from program sponsor Mandate to focus benefits only on strategic through: freight corridors Requiring program matching requirement Project Evaluation Partnerships are difficult to hold together Considering multimodal, multi-jurisdictional approach Project Prioritization Inadequate funding Securing private-sector commitment Project Selection and Funding Redirection of funding Effectively leveraging state funds Consensus Building at Project Level Determining quantifiable criteria and guidance for project selection and evaluation Focusing on Advocacy Seeking accountability Leveraging Additional Funds Providing an open, transparent project funding selection process Focus on a specific project through: Establishing funding firewalls and sunset clauses Securing a dedicated institutional funding source and competition for available project Project Implementation Carefully allocating risk between owner and contractor funding Design and Construction Maintaining cost and schedule control Agreed-on project definition Obtaining Environmental Adopting a product orientation Construction and project delivery Approvals Keeping a focused agency mission Environmental mitigation requirements Managing Financial And Schedule Risks Establishing clear decision-making authority Job training and local participation Providing Construction Negotiating third-party agreements early Personnel turnover among leadership and Oversight Adopting a partnering program staff Processing Debt Service Maintaining adequate contingency and reserves Lack of a political champion Payments Considering design-build procurements Complex multi-institutional committee Negotiating Partnership structure Agreements Understanding funding program requirements Keeping all partners involved and participating