Tools to Facilitate Implementation of Effective Metropolitan Freight Transportation Strategies (2018)

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29 The SRM and UFIT are the primary deliverables of NCHRP Project 08-106. This chapter explains the development of these practitioner tools in more detail. The results from the literature review and the survey are the foundation of the SRM, and the SRM is the foundation of UFIT. The myriad documented strategies for transporting freight in urban areas are collected in the SRM. UFIT analyzes the data in the SRM to identify the most appropriate strategies (and implementation guidance) for a particular use. SRM The NCHRP Project 08-106 research team investigated the current state of the practice related to effective and/or innovative implementation of strategies for metropolitan freight transportation through the literature search, survey, and peer-exchange workshop discussed in the prior chapter. The literature search involved a review of over 200 resources on implementing strategies for metropolitan freight transportation (whether successful or unsuccessful). Researchers culled and prioritized these sources from an initial identification of well over 1,000 domestic and inter- national resources. The research team conducted searches in the TRIS database. However, the research team did not only search databases because they can lack data from current efforts due to record entry requirements, and they do not include some documents prepared by transportation agencies. To address these challenges, the research team also included recent or currently ongoing efforts with which research team members have been (or are currently) involved. In addition, the research team used contacts with governmental agency personnel, professional colleagues, and others who are familiar with implementing metropolitan freight transportation strategies to identify current practitioner efforts for inclusion in the SRM. The literature review approach, along with the survey approach, yielded a categorical structure to the practices related to implementing effective urban freight strategies in metro- politan areas. This categorical structure is the basis of the SRM. Researchers summarized the state of the practice and provided preliminary guidance based on implementation of effective and/or innovative urban freight strategies. For reference, a sample of the survey instrument is included in Appendix A (Appendix A is available on the TRB website by searching on “NCHRP Research Report 897”). To further benefit the reader, a complete list of resources is included in the bibliography. The final synthesis of the toolbox of effective and/or innovative urban freight strategies is in the form of the SRM. Formatted in an Excel spreadsheet, the SRM summarizes the most C H A P T E R 3 Strategy Resource Matrix and Urban Freight Implementation Tool Development

30 Tools to Facilitate Implementation of Effective Metropolitan Freight Transportation Strategies important information for each of the most relevant urban freight strategies. The research team developed the SRM based on three concepts that are tied to the project objectives: 1. Identifying factors impacting the implementation of urban freight strategies. 2. Identifying barriers preventing the implementation of urban freight strategies. 3. Defining strategies accelerating the adoption of urban freight strategies in the broader context of metropolitan freight transportation. The SRM purpose and use is two-fold: 1. It serves as a resource of strategies to address freight-related issues using strategies found through an extensive literature search. 2. It powers UFIT. The research team designed the SRM to include these characteristics related to urban freight strategies: • Citation • Synopsis • Keywords • Problem Groups • Year • Information Source • Strategy Group • Strategy • Implementation • Effectiveness • Effectiveness Source • Spatial Scope • Transportation Mode • Facilitator Factor Group • Facilitators to Implementation • Barrier Factor Group • Barriers to Implementation • Performance Measures • Recommendations • Adaptability • Cost • Time • Benefited Sectors • Public/Private Implementation Tasks These characteristics are further defined later in this chapter. Fourteen of these characteristics have an associated index column in the Excel spreadsheet, which can be used for sorting and searching by referring to the index descriptions. Searchable index columns are available for the following characteristics: • Problem Groups • Information Source • Strategy Group • Strategy • Implementation along with Effectiveness • Spatial Scope • Transportation Mode

Strategy Resource Matrix and Urban Freight Implementation Tool Development 31 • Facilitator Factor Group • Facilitators to Implementation • Barrier Factor Group • Barriers to Implementation • Performance Measures • Adaptability • Benefited Sectors The research team allocated each piece of relevant literature by the selected taxonomy defined in the SRM. The research team evaluated and categorized each source used in the SRM. Researchers derived the characteristic column headings used in the SRM from the findings of the literature review. Researchers updated and constructed the matrix multiple times to ensure a solid foundation for the broad application of the final SRM. As described in Chapter 2, researchers finalized definitions through a collaborative effort, including input during and after the peer-exchange workshop. Researchers applied these defini- tions and the final matrix structure to the matrix to ensure consistency throughout. Researchers based the final taxonomy and allocation on the types of strategies or initiatives found in the literature. The process of developing the SRM also reflects insights from the entire project team. Appendix C includes a dictionary for the SRM (Appendix C is available on the TRB website by searching on “NCHRP Research Report 897”). Detailed descriptions of the column headings and selected taxonomy are given below. “Problem Groups” provides a brief description of the issue that needs to be addressed by the users and specifically clarifies the problem to be solved with the corresponding strategy. The SRM (and ultimately UFIT) is designed to address specific problems. The problem groups are divided into nine subcategories: 1. Environmental problems (environmental sustainability related to emissions, air pollution, noise, light pollution, energy consumption, etc.). 2. Social problems (preservation of historical landmarks or sites, goods accessibility, distribution based on neighborhood socioeconomic profile, relationship with other road users, etc.). 3. Economic problems (unmet demand, inadequate economic activities through freight, etc.). 4. Land use problems (strained growth of freight facilities, limited transportation access, freight zoning restrictions, etc.). 5. Technical problems (lack of knowledge, lack of information, data collection issues, data integration, network system inefficiencies, etc.). 6. Institutional problems (related to decision makers: conflict of interest, agency role issues, unclear authority/responsibility, etc.). 7. Stakeholder-involved challenges (related to users or affected members of the public: toll issues, coordination issues, contractual issues, etc.). 8. Logistics operational issues (congestion, truck parking, empty returns, etc.). 9. Infrastructure problems (electric or fuel network infrastructure, buffer areas, road network inadequate conditions, etc.). “Information Source” is the source type of information (literature item) that informs and provides the knowledge to the users. Researchers divided information sources into five subcategories: 1. Case study [a report or study about a specific unit (person, group, situation)]. 2. Operational approaches (freight solutions where results/impacts have been or are expected in a relatively short or mid-term timeframe).

32 Tools to Facilitate Implementation of Effective Metropolitan Freight Transportation Strategies 3. Strategic solutions (freight solutions where results/impacts have been or are continuous over time and expected for the relatively long-term timeframe). 4. Policies (any reference related to a course of actions, procedures, or official documentation generally adopted by private or public authorities). 5. Programs or systems (solutions comprising a coordinated group of activities continuous over time, generally including several parties). “Strategy Group” combines the experience of the research team to offer a diverse tool set to classify strategies by general area and thus help accomplish practitioners’ goals in implementing effective and/or innovative strategies for metropolitan freight transportation. Researchers divided strategy groups into seven subcategories: 1. Infrastructure (strategies focused on the management of essential infrastructure components). 2. Traffic management (strategies focused on improving traffic conditions). 3. Technological [strategies based on (or relying on) advanced technologies or information technologies]. 4. Logistical (strategies impacting logistics and supply chain operations). 5. Vehicle-based (strategies based on the use of specific types of vehicles or vehicle modifications). 6. Incentives (strategies aimed at achieving better practices by incentivizing one or more partici- pants in the supply chain, using both monetary and non-monetary incentives). 7. Planning (strategies to improve the freight planning process). “Strategies” are the detailed effective and/or innovative strategies implemented by agencies or organizations for metropolitan freight transportation. In the SRM, 30 strategies and associated definitions are listed. Table 9 in Chapter 2 provides the complete list of the 30 strategies. “Implementation” indicates whether the strategy or strategies identified in the corresponding references have been implemented. Researchers divided the implementation strategy into two subcategories: 1. Yes 2. No “Effectiveness” and “Effectiveness Source” designate the relative effectiveness of the urban freight strategy after implementation, and how that score was determined. Effectiveness is scored on a scale from 0 to 3, with 0 being zero effectiveness, or not applicable if the strategy was not implemented. Values of 1, 2, and 3 represent low, moderate, and high effectiveness, respectively. Effectiveness source identifies where the score comes from—if it is from the reference material being represented, it is scored a 0, while a score sourced from the reviewer is represented by a 1. “Spatial Scope” describes the geographies at which the effective and/or innovative urban freight strategies were implemented. A list of 15 geographical areas is included in the SRM: 1. Area—America—North 2. Area—Asia—Eastern 3. Area—Europe—Western 4. City—any 5. City—large 6. City—medium 7. City—super 8. Country—large 9. Global 10. Metropolitan area 11. MPO—medium

Strategy Resource Matrix and Urban Freight Implementation Tool Development 33 12. MPO—small 13. Coastal 14. Area—Australia—South 15. Area—America—Central “Transportation Mode” describes the modes of freight transportation on which the specific strategy or strategies focus. Transportation mode is divided into five subcategories: 1. Multimodal 2. Roadway 3. Rail Freight 4. Deepwater Ports & Inland Waterways 5. Air Freight “Facilitator Factor Group” and “Barrier Factor Group” classify facilitators and barriers to implementation by a general area. They are divided into six subcategories: 1. Infrastructure & Freight Operations (factors that affect implementation by infrastructure or operations). 2. Administrative (factors that affect implementation by administrative processes). 3. Scope & Surroundings (factors that affect implementation by time, location, and demographics). 4. Environment & Energy (factors related to the environment and energy and how they influence implementation). 5. Safety (factors pertaining to safety that affect implementation). 6. Financial (factors involving finances that affect implementation). “Facilitators to Implementation” are the critical elements that favor implementation, while “Barriers to Implementation” are elements that hinder implementation of effective and/or innovative freight strategies for metropolitan freight transportation. Table 10 in Chapter 2 provides the complete list of the 16 facilitators/barriers. “Performance Measures” detail, when available/possible, what measures are used to identify the performance of the corresponding strategy. This column clarifies the parameters on which the effectiveness of the urban freight strategy is based, if they are specified in the literature. “Recommendations” are composed of elements, processes, or relationships that accelerate the adoption and/or implementation of effective and/or innovative urban freight strategies. Researchers divided recommendations into 15 subcategories: 1. Environmental (accelerating and facilitating adoption in terms of environmental externalities). 2. Traffic (accelerating and facilitating adoption in terms of traffic mitigation). 3. Operational (accelerating and facilitating adoption in terms of freight-related operation). 4. Infrastructure (accelerating and facilitating adoption in terms of infrastructure). 5. Psychological (accelerating and facilitating adoption in terms of perception perspectives). 6. Regulatory (accelerating and facilitating adoption in terms of policy measures and regulations). 7. Financial (accelerating and facilitating adoption in terms of funding opportunities and financial incentives). 8. Costs (accelerating and facilitating adoption in terms of economic productivity and efficiency). 9. Geographical (accelerating and facilitating adoption in terms of urban density and historical context). 10. Labor (accelerating and facilitating adoption in terms of training and skilled labor costs).

34 Tools to Facilitate Implementation of Effective Metropolitan Freight Transportation Strategies 11. Organizational/institutional (accelerating and facilitating adoption in terms of financial support and operational agreements). 12. Social (accelerating and facilitating adoption in terms of relationship with other road users and within communities). 13. Logistical (accelerating and facilitating adoption in terms of urban logistics effectiveness). 14. Technical (accelerating and facilitating adoption in terms of technical performance and development). 15. Behavioral (accelerating and facilitating adoption in terms of multi-agent involvement). “Adaptability” characterizes how effectively and/or innovatively the urban freight strategies can be adapted, tailored, or transferred to the United States and its urban areas. Adaptability is divided into 11 subcategories: 1. Operational (solutions that are adaptable/tailored/transferrable with respect to freight operation). 2. Infrastructure (solutions that are adaptable/tailored/transferrable with respect to freight infrastructure). 3. Regulatory (policy/regulation variability considerations that are adaptable/tailored/ transferrable to laws in the United States). 4. Financial (solutions that are adaptable/tailored/transferrable with respect to freight funding and financing). 5. Geographical (urban conditions considerations that are adaptable/tailored/transferrable to urban area geography/layout in the United States). 6. Organizational/institutional (organization/institution characteristics considerations that are adaptable/tailored/transferrable to political structures in the United States). 7. Logistical (solutions that are adaptable/tailored/transferrable with respect to freight logistics). 8. Technical (solutions that are adaptable/tailored/transferrable with respect to freight technology). 9. Behavioral (stakeholder interest considerations that are adaptable/tailored/transferrable to multi-agent involvement in the United States). 10. Psychological (perception differential considerations that are adaptable/tailored/transferrable to the general public in the United States). 11. Already implemented in the United States. “Cost” and “Time” describe the level [indicated as 1 (low), 2 (moderate), and 3 (high)] to which urban freight strategies were implemented. The research team also introduced a “Source” column for these two key characteristics, with 1 indicating the source represents the reviewer’s subjective perspective and 0 indicating it is the point of view of the literature reference. “Benefited Sectors” provides estimates, by percentage, of which sectors (public or private) would benefit the most from a specific strategy. Percentages for both sectors are displayed under this heading. The sector that typically had the most authority to implement a specific strategy had the highest percentage result. Strategies benefiting the public sector were weighted toward them. Some transportation policies are molded solely on the input of private stakeholders, so more weight would be given to the private sector in these cases. Keeping with this example, if public agency staff use private stakeholders’ opinions and input as the basis for molding freight policies, the percentage would be distributed as about 65 percent public and 35 percent private. Public agents ultimately have the authority to implement the policies, but the private sector’s views certainly help shape these policies, ultimately benefiting both the public and private sectors.

Strategy Resource Matrix and Urban Freight Implementation Tool Development 35 “Public/Private Implementation Tasks” are tasks that are likely to be performed by each sector in the implementation and operation of the strategy. Researchers divided public/private implementation tasks into seven subcategories: 1. Policy making/implementation is handled by public agents. 2. Policy makers use customer input as the key way to regulate freight. 3. Improves freight carrier efficiency. 4. Private companies improve coordination with public agencies. 5. Third-party logistics implement multimodal freight delivery services. 6. Private companies set up programs to help with freight fluidity (where freight fluidity is the efficient movement of freight through the supply chain as characterized by high mobility and reliability and low transportation cost). 7. Intra-organizational coordination is required and improved. “Which Private-Sector Group Is Involved?” identifies which private-sector group(s) is/are involved with the implementation of the strategy and is divided into three subcategories: 1. Freight Carriers/Operators 2. Receivers/Retailers 3. Customers/Community Groups UFIT The SRM and the survey responses both fuel UFIT, a user-friendly tool to assist staff from local governments, MPOs, and/or logistics companies in implementing efficient urban freight strategies. Because UFIT is purposefully and inextricably linked to the SRM, the UFIT purpose and design are discussed briefly in this chapter. Chapter 4 provides details on the practitioner use of UFIT. As an interactive sketch-planning tool, UFIT assesses freight transportation strategies for possible implementation based on user inputs. The tool provides graphical outputs that iden- tify promising urban freight transportation strategies based on criteria and ranked relevance as defined by the users and their stakeholders. The tool is fundamentally powered by the urban freight transportation strategies in the SRM, and associated performance measures identified for each strategy are included in the SRM. This Excel-based tool features a graphical user interface to customize the input evaluation metrics and to compare scenarios. A detailed description of UFIT and a user’s guide are presented in Chapter 4. Figure 4 shows the inputs, outputs, and overall process of UFIT. The SRM is the founda- tion of UFIT. The research team developed the SRM through an exhaustive review of academic literature, government reports, comprehensive surveys, and case studies. The SRM contains a pool of strategies, facilitators, and barriers summarized by uniform indices for consistency in a consolidated information source. The UFIT engine is the brain of the tool. It is a set of algorithms developed from the literature review, survey results, and team experiences. These rules help the user to identify a set of recom- mended strategies to address a particular problem. The peer-exchange workshop provided valuable input that researchers incorporated into the structure and operation of the SRM and UFIT engine. UFIT is an interactive tool. The user is guided to provide input at different steps. The user can review the list of related references that are identified for the problem and select the best fit for a specific scenario. The user may also customize the default weights for each of the relevant critical facilitators and barriers.

36 Tools to Facilitate Implementation of Effective Metropolitan Freight Transportation Strategies The outputs of UFIT include a strategy list, strategy fact sheets, and citation notes. These outputs are discussed in more detail in Chapter 4. Planning Context for UFIT Figure 5 shows actions and steps in the typical decision process, how typical decision process steps were addressed in NCHRP Project 08-106, and the role that UFIT plays in the NCHRP Project 08-106 decision process. As Figure 5 illustrates, UFIT offers decision-support features throughout the “define” and “analyze” stages of the typical decision process. UFIT provides a sketch-planning tool to inform the decision-making process but does not perform all analyses to allow for the presentation of final review and approval of the decision, nor does UFIT handle plan implementation. STRATEGY RESOURCE MATRIX USER INPUTS STRATEGY LIST CITATION NOTESSTRATEGY FACT SHEETS LITERATURE SURVEY UFIT ANALYSIS ENGINE WORKSHOP Figure 4. UFIT Process

Strategy Resource Matrix and Urban Freight Implementation Tool Development 37 Define Analyze Make Decision Actions of the Typical Decision Process Associated General Steps in the Decision Process How are the Decision Process Steps Addressed in NCHRP 08-106? Figure 5. Comparison of the typical decision process and relation to decision steps in NCHRP Project 08-106.