The National Academies | 500 Fifth St. N.W. | Washington, D.C. 20001
Copyright © National Academy of Sciences. All rights reserved.
Terms of Use and Privacy Statement



Below are the first 10 and last 10 pages of uncorrected machine-read text (when available) of this chapter, followed by the top 30 algorithmically extracted key phrases from the chapter as a whole.
Intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text on the opening pages of each chapter. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Do not use for reproduction, copying, pasting, or reading; exclusively for search engines.

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � SPECIAL REPORT 279 The Marine Transportation System and the Federal Role Measuring Performance, Targeting Improvement Committee for a Study of the Federal Role in the Marine Transportation System TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES Transportation Research Board Washington, D.C. 2004 www.TRB.org

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � Transportation Research Board Special Report 279 Subscriber Category IX marine transportation Transportation Research Board publications are available by ordering individual publications directly from the TRB Business Office, through the Internet at www.TRB.org or national-academies.org/trb, or by annual subscription through organizational or individual affiliation with TRB. Affiliates and library subscribers are eligible for substantial discounts. For further information, contact the Transportation Research Board Business Office, 500 Fifth Street, NW, Washington, DC 20001 (telephone 202-334-3213; fax ; or e-mail TRBsales@nas.edu). Copyright 2004 by the National Academy of Sciences. All rights reserved. Printed in the United States of America. NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competencies and with regard for appropriate balance. This report has been reviewed by a group other than the authors according to the procedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. This report was sponsored by the U.S. Coast Guard, the National Oceanic and Atmospheric Administration, the U.S. Army Corps of Engineers, the U.S. Department of Agriculture, the U.S. Department of Transportation, and the U.S. Department of Homeland Security. Library of Congress Cataloging-in-Publication Data The marine transportation system and the federal role : measuring performance, targeting improvement / Committee for a Study of the Federal Role in the Marine Transportation System. p.cm.—(Special report ; 279) ISBN 0-309-09452-6 1. Merchant marine—Government policy—United States. 2. Infrastructure (Economics)—United States. I. National Research Council (U.S.). Committee for a Study of the Federal Role in the Marine Transportation System. II. Special report (National Research Council (U.S.). Transportation Research Board) ; 279. HE745.M382 2004 354.78′235′0973—dc22 2004043951

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both the Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chairman and vice chairman, respectively, of the National Research Council. The Transportation Research Board is a division of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board’s mission is to promote innovation and progress in transportation through research. In an objective and interdisciplinary setting, the Board facilitates the sharing of information on transportation practice and policy by researchers and practitioners; stimulates research and offers research management services that promote technical excellence; provides expert advice on transportation policy and programs; and disseminates research results broadly and encourages their implementation. The Board’s varied activities annually engage more than 4,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � This page intentionally left blank.

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � COMMITTEE FOR A STUDY OF THE FEDERAL ROLE IN THE MARINE TRANSPORTATION SYSTEM Mortimer L. Downey, Chair, PBConsult, Inc., Washington, D.C. William O. Gray, Gray Maritime Company, Darien, Connecticut Elvin R. Heiberg III, Heiberg Associates, Arlington, Virginia Thomas D. Hopkins, Rochester Institute of Technology, Rochester, New York Geraldine Knatz, Port of Long Beach, Long Beach, California Thomas D. Larson, Lemont, Pennsylvania Sally Ann Lentz, Ocean Advocates, Clarksville, Maryland Henry S. Marcus, Massachusetts Institute of Technology, Cambridge James R. McCarville, Port of Pittsburgh Commission, Pittsburgh, Pennsylvania Reginald E. McKamie, Sr., Houston, Texas Richard R. Mudge, Delcan, Inc., Reston, Virginia Robert C. North, North Star Maritime, Inc., Queenstown, Maryland John B. Torgan, Save the Bay, Providence, Rhode Island Robert C. Waters, George Washington University, Washington, D.C. Transportation Research Board Staff Thomas R. Menzies, Jr., Study Director Beverly M. Huey, Senior Program Officer Peter A. Johnson, Consultant Consultant David St. Amand, Navigistics, Inc.

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � This page intentionally left blank.

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � Preface The federal government provides a wide array of infrastructure and services in support of the nation’s marine transportation system (MTS). It does so through a number of federal agencies in several cabinet-level departments. In 1998, Congress directed the Secretary of Transportation to convene a broad-based task force to assess the adequacy of the MTS to operate in a safe, efficient, secure, and environmentally sound manner and to assess the federal role in furthering these goals.1 In reporting back to Congress, the MTS Task Force identified a number of challenges facing the system and urged improved coordination 1 Section 308, Coast Guard Authorization Act of 1998.

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � among the federal agencies and other suppliers and users of marine transportation infrastructure and services.2 The task force’s recommendations led to the creation of the MTS National Advisory Council (MTSNAC), consisting largely of maritime industry representatives, and the Interagency Committee for the Marine Transportation System (ICMTS), consisting of representatives from the 18 federal agencies with responsibilities related to the MTS. The creation of MTSNAC and ICMTS has prompted closer examination of the federal role in the MTS and how the efforts of individual federal agencies relate to one another and to broader national interests that underlie federal involvement in the system. Both bodies seek to ensure that federal decisions are consistent, complementary, and responsive to these national interests. Hence, in September 2002, several of the federal agencies and departments that are members of ICMTS—the U.S. Coast Guard, the National Oceanic and Atmospheric Administration, the U.S. Department of Homeland Security, the Maritime Administration, the Office of the Secretary of the U.S. Department of Transportation, the U.S. Department of Agriculture, and the U.S. Army Corps of Engineers— commissioned the National Research Council (NRC), under the auspices of the Transportation Research Board (TRB) and its Marine Board, to examine the federal role in the MTS and develop an analytic framework for federal policy makers to use in assessing system needs and informing and coordinating decisions to meet them. To conduct the study, NRC formed a 14-member committee with expertise in economics; marine industry structure and operations; environmental protection; port management and planning; waterways management and operations; and transportation policy, administration, and finance. Committee members served in the public interest without compensation. Mortimer L. Downey, President of PBConsult, Inc., chaired the committee. The Statement of Task, or charge to the committee, is provided in Box P-1. 2 An Assessment of the U.S. Marine Transportation System: A Report to Congress. U.S. Department of Transportation, Sept. 1999.

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � Box P-1. Statement of Task This project will develop an analytical framework for federal agencies to use to identify capital and operating needs and coordinate federal investments and spending on the marine transportation system (MTS) infrastructure. The federal role in the MTS is defined to include activities in support of safe navigation (such as vessel traffic management, charting, marine safety, search and rescue, salvage, weather and oceanographic information), waterway maintenance (dredging of harbors and channels, maintenance and upgrading of locks and dams), environmental protection (e.g., oil and hazardous waste spill prevention and response, vessel discharges, wetlands/habitat protection, and air pollution), security, and customs services. The federal role also includes setting national goals and standards, identifying and implementing funding mechanisms, and evaluating MTS performance. It is expected that the committee will work through five specific tasks in developing its analytical framework: Review of how federal investments by agencies such as the U.S. Coast Guard, the National Oceanic and Atmospheric Administration, the U.S. Army Corps of Engineers, and the Bureau of Customs and Border Protection are being made currently, including the basis upon which those investments are made, the degree of interagency coordination, and the policy issues associated with those patterns of investment; Review and interpretation of projections for future maritime freight and passenger demand; Assessment of plans for MTS maintenance and expansion by industry, state and local government, and federal agencies (including consideration of plans for environmental protection); Description of the likely impact on the MTS over the next two decades if federal funding remains constant; and Identification of options for federal funding of the MTS. This task will include a comparative analysis of the federal financial role in support of other modes, particularly aviation since this system is also international, and will identify critical factors and trade-offs that must be taken into account in considering alternative federal financing roles. It will also include an assessment of how these options for federal funding contribute to the national goals, standards, and performance measures identified in the MTS Strategic Plan.

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � How the committee chose to interpret and approach this charge is described at the end of Chapter 1. This report follows several other TRB, Marine Board, and NRC studies of the nation’s transportation and freight systems’ capacity to support commerce (TRB 2003a; NRC 2001), security requirements (TRB 2002; TRB 2003b), and safety and environmental issues (NRC 1998; NRC 2001; TRB 2001). Each of these topics is complex and requires special expertise and understanding of particular components of the MTS. This committee did not have the time or requisite composition to examine and make specific recommendations on individual federal programs, policy initiatives, or provisions in legislation. Likewise, it did not have the mandate or capability to focus on specific environmental, safety, and security concerns, although such studies have been undertaken by NRC when requested [see, for instance, the Marine Board’s assessment of the Oil Pollution Act of 1990 (NRC 1998)]. Therefore, the committee elected to focus its efforts not on detailed compilations of needs for each segment of the MTS, but on ways in which the federal government and marine transportation community as a whole can better identify and prioritize needs and make decisions on the basis of sound information and analysis. In the committee’s view, the enhanced capability to make informed and responsive decisions on an ongoing basis will have far greater value than a one-time compilation of priorities. Believing the report does not go far enough in identifying challenges facing the MTS and requisite changes in federal policies and funding, committee members William O. Gray and James R. McCarville each authored supplemental statements. These individual statements, which are presented in Appendices A and B, are not part of the consensus report, although committee member Geraldine Knatz endorses them. The committee deliberated over a 9-month period. It met three times and communicated by e-mail and conference calls. During its information-gathering meetings, which were open to the public, the committee was briefed by representatives of many of the federal agencies with responsibilities related to the MTS. Jeffrey High of the U.S. Coast Guard attended all open meetings and served as the federal sponsors’ liaison with the committee and staff, clarifying and fielding questions about the study charge

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � and sponsor expectations. The committee thanks him for his close participation and support throughout the course of the study. In addition, thanks go to the following federal agency representatives who briefed the committee during its first meeting: Barry Holliday, U.S. Army Corps of Engineers; David McFarland, National Oceanic and Atmospheric Administration; Craig Vogt, U.S. Environmental Protection Agency; Daniel Floyd, U.S. Bureau of Customs and Border Protection; Raymond Barberisi, Maritime Administration; Edward Weiner, U.S. Department of Transportation; and Rajiv Khandpur, U.S. Coast Guard. During the committee’s second meeting, two panels of experts from industry briefed the committee on issues of concern from their perspectives. Thanks are due to Christopher Koch, World Shipping Council; Samuel Crane, Maher Terminals Logistics Systems; Peter Finnerty, American Ocean Enterprises; Gary Martin, North American Exporters Grain Association; Robert Flynn, Mallory, Jones, Lynch, Flynn and Associates; Thomas Allegretti, American Waterways Operators; and Les Sutton, Kirby Corporation. The panel discussions provided much insight into the federal role in the MTS and the importance of this system from the standpoint of shippers, carriers, and terminal operators. During the third meeting, the committee was briefed by Anthony Minyon of Toyota Motor Sales USA and William Lucas of the U.S. Military Traffic Management Command. Their presentations shed further light on the needs and concerns of MTS users. In conjunction with the meeting, the committee visited the Port of Long Beach and San Pedro Harbor. Manny Achemeyer of the Marine Exchange of Southern California and Thomas Jacobsen of Jacobsen Pilot Service offered engaging and informative tours of their facilities and operations. The committee extends its gratitude to them and to the Port of Long Beach and its administrative staff for hosting the meeting and providing logistic support. Thomas R. Menzies, Jr., managed the study and drafted the report under the guidance of the committee and the supervision of Stephen R. Godwin, Director of Studies and Information Services. Peter Johnson assisted with the drafting and revising of report sections. Eric Beshers authored a commissioned paper that formed the basis for the discussion

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � of the federal aviation and surface transportation programs in Chapter 4. David St. Amand assisted in the drafting of Chapter 2 and offered information and constructive advice for other sections of the report. Beverly Huey convened the expert panels during the committee’s second and third meetings. Tamar Henkin, Transtech Management, Inc., briefed the committee on opportunities for applying innovative financing programs for the provision of marine infrastructure and services. This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the NRC’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making the report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. The committee thanks the following individuals for their participation in the review of this report: Paul H. Bingham, Global Insight, Washington, D.C.; Lillian C. Borrone, Avon-by-the-Sea, New Jersey; G. Edward Dickey, Independent Consultant, Baltimore, Maryland; David Fluharty, University of Washington, Seattle; Damian J. Kulash, Washington, D.C.; Eugene K. Pentimonti, Maersk, Inc., Arlington, Virginia; and Craig E. Philip, Ingram Barge Company, Nashville, Tennessee. Although the reviewers provided many constructive comments and suggestions, they were not asked to endorse the committee’s findings, conclusions, or recommendations, nor did they see the final draft before its release. The review of this report was overseen by Lester A. Hoel, University of Virginia, Charlottesville. Appointed by NRC, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of the report rests solely with the authoring committee and the institution. Suzanne Schneider, Associate Executive Director, TRB, managed the report review process. The report was edited and prepared for publication

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � by Norman Solomon under the supervision of Javy Awan, Director of Publications. Special thanks go to Frances Holland for providing project administrative support. REFERENCES Abbreviations NRC National Research Council TRB Transportation Research Board NRC. 1998. Double-Hull Tanker Legislation: An Assessment of the Oil Pollution Act of 1990. National Academy Press, Washington, D.C. NRC. 2001. Inland Navigation System Planning: The Upper Mississippi River–Illinois Waterway. National Academy Press, Washington, D.C. TRB. 2001. Special Report 259: Environmental Performance of Tanker Designs in Collision and Grounding: Method for Comparison.National Research Council, Washington, D.C. TRB. 2002. Special Report 270: Deterrence, Protection, and Preparation: The New Transportation Security Imperative. National Research Council, Washington, D.C. TRB. 2003a. Special Report 271: Freight Capacity for the 21st Century. National Research Council, Washington, D.C. TRB. 2003b. Special Report 274: Cybersecurity of Freight Information Systems: A Scoping Study. National Research Council, Washington, D.C.

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � This page intentionally left blank.

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � Contents     Executive Summary   1 1   Background and Introduction   15      Components of the MTS   17      Developments Affecting Marine Transportation   32      Preparing for Future Developments   38      Study Charge and Approach   41      Report Organization   45 2   Marine Transportation Demand   48      Current Demand   49      Forecast Methods and Results   50      Forecasting Assumptions and Confidence   58      Summary Assessment   62 3   Federal Roles in Marine Transportation   64      Ensuring Marine Safety   65      Ensuring Marine Environmental Protection   69      Facilitating Commerce   73      Promoting National Security   77      Coordination of Federal Marine Transportation Programs   80      Funding Federal Marine Transportation Programs   84      Summary Assessment   89

OCR for page R1
The Marine Transportation System and the Federal Role: Measuring Performance, Targeting Improvement - Special Report 279 � � � � � � 4   Comparison of Federal Roles in Highway, Air, and Marine Transportation   92      Program Structures and Institutions   94      User Financing and Trust Funds   99      Informing Decisions   103      Role of Innovative Financing   106      Research and Technology Development   108      Comparison with Marine Transportation   109      Summary Assessment   117 5   Information on Marine Transportation System Conditions, Performance, and Needs   121      Safety Performance   122      Environmental Performance   125      Performance in Facilitating Commerce   126      Security Performance   131      Summary Assessment   134 6   Information and Analysis for Decisions   137      A Framework to Support Decision Making   141      Recommendations   148      Concluding Observation   155 Appendix A   Statement of William O. Gray   156 Appendix B   Statement of James R. McCarville   166     Study Committee Biographical Information   173