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B-1 APPENDIX B Annotated Bibliography Highways Burke, N., T.H. Maze, M.R. Crum, D.J. Plazak, and O. Smadi. Dedicated Truck Facilities as a Solution to Capac- Federal Highway Administration. Traffic Bottlenecks: A ity and Safety Issues on Rural Interstate Highway Corridors. Primer--Focus on Low-Cost Operational Improvements. In Transportation Research Record 2008. Transportation U.S. Department of Transportation, Washington, D.C. 2007. Research Board of the National Academies, Washington, This document describes highway bottlenecks and investi- D.C. 2007, pp. 8491. gates potential near-term and low-cost construction to alle- The paper presents a specific case study conducted on high viate them. It defines bottleneck, explains the different types truck volume rural interstate highway segments to illustrate of freeway bottlenecks, and also explains their contribution the safety, operational, and productivity benefits to construct- to congestion. The report then provides 12 operational reme- ing dedicated truck facilities in order to separate trucks from dies based on information gathered through interviews and other vehicles. The analysis used the Highway Economic case studies. It also provides examples of how agencies deal Requirements System (HERS) software. This paper explains with bottlenecks. what a dedicated truck facility is and how it benefits and improves safety and traffic flows. Cambridge Systematics Inc. and Battelle. An Initial Assess- ment of Freight Bottlenecks on Highways. White Paper Government Accountability Office. Freight Transportation: prepared for Federal Highway Administration Office of National Policy and Strategies Can Help Improve Freight Transportation Policy Studies. Washington, D.C. 2005. This White Paper attempts to provide a way to identify and Mobility, GAO-08-287, Government Accountability Office quantify highway bottlenecks that delay trucks and freight Washington, D.C. Jan. 2008. movement. This paper focuses on the impacts and cost of high- This report explains how the movement of goods involves way bottlenecks on truck freight shipments. It describes high- a wide array of public and private stakeholders and provides way bottlenecks defined by three features: type of constraint, an example of goods movement from port of entry to the con- type of roadway, and type of freight route. It also explains the sumer. This report also describes 3 factors that significantly impact that congestion has on the national freight system contribute to constrained freight mobility: growing freight, capacity and performance. capacity restraints, and inefficient use of infrastructure. It presents challenges that public planners face when advancing Cambridge Systematics Inc. Ohio DOT Ohio Freight freight improvement projects. The report also provides exam- Mobility, Access, and Safety Strategies. Project report pre- ples and case studies on improving or enhancing freight pared for Ohio DOT. May 2006. mobility in areas of enlarged capacity and infrastructure use. This report describes recent studies on the movement of freight in Ohio by trucks and describes the various types of Latham, F.E. and J. Trombly. Low Cost Traffic Engineering bottlenecks. The document assesses the impacts of future Improvements: A Primer. Report No. FHWA-OP-03-078. change and makes recommendations to deal with changing Federal Highway Administration, Washington, D.C. April demands and to improve Ohio's existing freight corridors. It 2003. also identifies short-range improvement strategies in Colum- This report presents low-cost traffic engineering improve- bus and Cincinnati, many of which are capital and operational ments to improve safety and congestion, including types of improvements. actions, costs, and benefits. Much of the results presented in

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B-2 this report were derived from interviews with transportation Government Accountability Office. Highway Congestion: agencies and review or research of literature. This report gives Intelligent Transportation Systems Promise for Managing a baseline for describing low-cost improvements as opposed Congestion Falls Short, and DOT Could Better Facilitate to expensive capital improvements. It also presents numer- Their Strategic Use. GAO-05-943. Government Account- ous examples and case studies of actions implemented to alle- ability Office Washington, D.C. Sep 2005. viate congestion and bottlenecks. Most of these improvements This report describes in detail the positive effects of ITS are operational and physical improvements. technology and the Federal role in deployment of the ITS infrastructure. Four case studies have been described por- American Highway Users Alliance. Unclogging America's traying the type of ITS technology being used. Studies show Arteries: Effective Relief for Highway Bottlenecks 19992004. that ITS technology can mitigate congestion, and also lead to American Highway Users Alliance. Washington, D.C. 2004. other benefits such as improved safety and reduced emis- This report addressed three objectives: sions harmful to the environment, when ITS is implemented properly. 1. Identify the worst traffic bottlenecks in the United States, recognizing that some cities may have more than one. Facanha, C. and J. Ang-Olson. Comparison of Technological Focus in detail on those bottlenecks that create the longest and Operational Strategies to Reduce Trucking Emissions in delays for travelers, limiting consideration to interstate Southern California. In Transportation Research Record highways and other freeways. 1981. Transportation Research Board of the National Acad- 2. Estimate the benefits to travelers and the environment by emies, Washington, D.C. 2008, pp. 8996. removing the bottlenecks, based on the actual improve- ment plans if they exist. The benefit estimation is driven This report's main focal point is achieving emission reduc- by a set of assumptions and analysis methods. tions from trucks. Major plans for development of more effi- 3. Estimate the benefits that would be derived from remov- cient movement of cargo and environmental safety are being ing bottlenecks nationwide. Bottlenecks occur not only in developed by Southern California Association of Govern- the major metropolitan areas, but also in smaller ones. ments (SCAG) and other agencies. SCAG also developed technological and operational strategies and environmental O'Laughlin, R., D. Thomas, and R.M. Rinnan. Chicago programs for future improvement in truck emissions. This Downtown Freight Study. In TRB 87th Annual Meeting report also contains truck strategies that are evaluated and Compendium of Papers DVD. Transportation Research analyzed. Two operational strategies are also mentioned in Board of the National Academies, Washington, D.C. Nov this report, a virtual container jar and expanded incident 2007. management. Strategies discussed in this report are evalu- This report focused on urban freight delivery. The paper ated both in terms of emission reduction potential and cost provides interviews and extensive field surveys to present the effectiveness. congestion problems and constraints and provides some solu- tions that have been effective. Many examples of improve- Federal Highway Administration. Financing Freight ments were described in this paper. Fifty recommendations Improvements. U.S. Department of Transportation. Wash- were made and broken up into three categories: ington, D.C. 2007. This report provides 51 case studies of financing strategies Use of public right-of-way used for different types of freight-related projects. They are New building designs and standards categorized by state. Many case studies mentioned in this Addressing deficient building and roadway infrastructure. report could be categorized as low-cost improvements. Al-Deek, H., S. Ishak, and A.E. Radwan. The Potential Impact of Advanced Traveler Information Systems (ATIS) Shafran, I. and A. Strauss-Weider. NCHRP Report 497: on Accident Rates in an Urban Transportation Network. Financing and Improving Land Access to U.S. Intermodal Proc. Fourth Vehicle Navigation and Information Systems Cargo Hubs. Transportation Research Board of the National International Conference (VNIS 93), Ottawa, Canada, 1993. Academies, Washington, D.C. 2003. pp. 634636. This report presents 12 projects/case studies and direction This paper describes how Advanced Traveler Information on the most effective strategies for financing improvements Systems (ATIS) has the potential to improve and enhance the to cargo hubs and intermodal freight facilities. The report transportation system performance. This paper reveals that then identifies the best practices for financing options. Sev- the congestion-accident relationship is critical to the safety eral of the projects may qualify as low-cost operational and evaluation of traffic diversion with the ATIS. capital improvements.

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B-3 Rail and increased pull-down performance has potential to increase capacity without major capital, equipment or labor expense. Bryan, J.G.B., G. Weisbrod, and C.D. Martland. Rail Freight Dirnberger describes the development of a quality of sort met- as a Means of Reducing Roadway Congestion: Feasibility ric to reduce the occurrence of dirty tracks and measure Considerations for Transportation Planning, In Trans- adherence to a static track allocation plan if one is in place to portation Research Record 2008. Transportation Research help better manage interaction between the hump and the Board of the National Academies, Washington, D.C. 2007, pull-down processes. This paper presents the Lean Railroading pp. 7583. approach and discussed the bottleneck management compo- This paper provides a summary for NCHRP Project 8-42, nent. Increasing pull-down capacity will help enable railroads which examined the feasibility and value of rail freight solu- to swap the time buffer for a capacity buffer. This will reduce tions as a means of reducing highway congestion. Some rail dwell time leading to improved service reliability and network freight strategies for mitigating traffic congestion growth were efficiency. defined and consist of rail freight enhancements and promo- tion of greater use of rail. This paper also provides case stud- Lai, Y., O. Ouyang, C.B. Barkan, and H. Onal. Optimizing ies for various rail projects. All of the projects described were the Aerodynamic Efficiency of Intermodal Freight Trains captured by four categories: enhancement of rail freight with Rolling Horizon Operations, 2007. capacity and service for intercity corridors, enhancement of This paper first develops a static model to optimize load rail capacity and service along urban corridors, plans to enhance placement on a sequence of intermodal trains that have sched- throughput and capacity of regional rail freight system, and uled departure times. This model applies when full informa- enhancement of rail freight options for service to ports/ tion on all trains and loads is available. The purpose of this terminals. This report also discusses the economic and insti- paper is to extend a loading model to optimize the aerody- tutional factors affecting feasibility of diverting some truck namic efficiency at the multiple train system level. This paper freight to rail. also describes the development of a rolling horizon scheme for continuous terminal operations. They use a rolling horizon Sun, Y., M.A. Turnquist, and L.K. Nozick. Estimating scheme to balance the advantage from optimizing multiple Freight Transportation System Capacity, Flexibility and trains together, and the risk of making suboptimal decisions Degraded-Condition Performance. In Transportation due to incomplete future information. This study focuses on Research Record 1966. Transportation Research Board of intermodal services of the BNSF Railway between Chicago and the National Academies, Washington, D.C. 2006, pp. 8087. Los Angeles. An empirical case study is also included showing This report describes enhancements to an existing model of significant aerodynamic efficiency benefits from these opti- freight system capacity. The three enhancements expounded mization models. Attempting to optimize the loading of too upon are (i) allowing future traffic patterns to be uncertain, (ii) many trains in this environment will reduce the ability to replacing the simple facility capacity constraints by volume- achieve the most efficient loading configuration because of delay curves and a service quality constraint, and (iii) replacing imperfect information. the predefined paths by traffic assignment logic so that link and path volumes are determined in the optimization without Armstrong, J.H. The Railroad: What It Is, What It Does, requiring path enumeration. These enhancements allow easy 5th ed. Simmons-Boardman Books, Inc., Omaha, NE. 2008. assessment of the performance of a freight network under con- This book presents factual information on the basic tech- ditions where individual links and/or terminals have degraded nologies used by railroads and the operational functions they capacity. This will provide improved estimates of capacity and perform. A brief chapter is dedicated to each main topic, for capacity flexibility. example: locomotives, freight cars, signals & communications, terminal operations, intermodal traffic, and so on. Many care- Dirnberger, J.R. and C.P. Barkan. Lean Railroading for fully drawn and helpful illustrations supplement the text. Improving Railroad Classification Terminal Performance Bottleneck Management Methods. In Transportation Association of American Railroads. Railroad Facts. Annual Research Record 1995. Transportation Research Board of Editions, Policy and Economics Department, Washington the National Academies, Washington, D.C. 2007, pp. 5261. D.C. This paper defines "Lean Railroading" with emphasis placed The railroad industry's trade association annually produces on the bottleneck management component. "Lean Railroad- an indispensible collection of data on railroad scope, opera- ing" is an approach that adapts proven production manage- tions, financial performance, investments, traffic mix, safety ment techniques to the railroad environment and can be used trends, and employment. The statistics are provided for the to guide improvement initiatives. Improved sorting processes industry as a whole (usually for Class I railroads only), and for

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B-4 the largest firms individually. Some key information is shown nalist of long standing in the industry, and DeBoer is a former in graphical form, while other items are presented as histori- Federal civil servant and industry practitioner best known in cal series in tables. the intermodal (truck-rail) industry. Each chapter provides an historical synopsis and current profile, while the final chapter Burns, J.B. Railroad Mergers and the Language of Unifica- addresses the challenges of future capacity constraints and tion, Quorum Books. Westport, CT. 1998. solutions. Burns has written a useful and generally accurate history of railroad merger activity in the Twentieth Century and in his Friedlaender, A.F. The Dilemma of Freight Transport Regu- conclusions has attempted to put rail mergers in the larger con- lation. The Brookings Institution, Washington, D.C. 1969. text of business combinations and globalization at the turn of This volume is a "background paper" for a Brookings the 21st Century. His theme is that "merger was the common conference of experts just before the time of the transport language of growing enterprises" (p. 175). The book has a good industry's greatest peril. The book summarizes the experts' index and an excellent bibliography. discussion--much consensus on the need for policy changes, but little agreement on what those should be and how they Cambridge Systematics Inc. National Rail Freight Infrastruc- could be achieved. It took the costly Northeast Rail crisis to ture Capacity and Investment Study. Prepared for American begin changing legislative perspectives--including the notion Association of Railroads, Washington, D.C. Sep. 2007. that sacrosanct economic regulatory and competitive notions This report, undertaken at the request of the National Sur- would have to be compromised. face Transportation Policy and Revenue Study Commission, examined long-term capacity expansion needs for the railroad Gallamore, R.E. "Regulation and Innovation: Lessons industry. By projecting both likely capacity expansion invest- from the American Railroad Industry" in Jos Gmez- ments and anticipated traffic growth on maps of the U.S. rail Ibez et al., Essays in Transportation Economics and Policy: network, Cambridge Systematics Inc. was able to highlight its A Handbook in Honor of John R. Meyer. Brookings Institu- forecast of congestion bottlenecks quite dramatically. The tion Press, Washington, D.C. 1999. pp. 493529. report also provides calculations of the capital requirements This easily accessible "handbook" contains a collection of estimated to be necessary to overcome capacity bottlenecks some of the best examples of work done on transportation and accommodate freight demand in 2035--an estimated total economics. The piece by Gallamore tells how reform of regu- of some $148 billion in 2007 dollars. lation in the Staggers Rail Act of 1980 was critical in reversing the financial fortunes of railroads--and how the industry, Conant, M. Railroad Bankruptcies and Mergers, From using the cash flow dividends resulting from deregulation, was Chicago West 19752001: Financial Analysis and Regula- able to invest in new plant and equipment that embodied tory Critique. Elsevier, Oxford, UK. 2004. remarkably improved technologies--thus perpetuating and Michael Conant's recent book on rail mergers in the last expanding the railroad "Renaissance" of the last two decades quarter of the 20th Century follows up on his earlier text, called Railroad Mergers and Abandonments (1964). The earlier book (19791999). sought to establish both "the myth of interrailroad competi- tion" and the existence of significant excess capacity (by a Healy, K.T. Performance of the U.S. Railroads Since factor of over three--p. 11) in the industry, but the recent vol- World War II: A Quarter Century of Private Operation. ume has a much narrower focus. In an introductory chapter, Vantage Press, New York, NY. 1985. Conant makes a general case that economic regulation has led This book is really two volumes in one: the first ten chap- to resource misallocation, and he describes what has been ters describe the organization of the industry, provide histor- accomplished in the way of reform. Two chapters address the ical perspectives on passenger and express services, give the Rock Island and Milwaukee bankruptcies, which have received fundamentals of pricing carload and less-than-carload ser- little scholarly attention. Chapters describing mergers involv- vices, and discuss labor and management issues; it is a more ing the Illinois Central, Union Pacific, and the Burlington sophisticated and less mechanical version of Armstrong's Northern-Santa Fe round out this study. resource manual. The remainder of the book details growth of the railroads by internal economic growth and acquisition DeBoer, D.J. and L.H. Kaufman. An American Trans- since World War II. This material describes the setting and portation Story, the Obstacles, the Challenges, the Promise. performance of a half century of railroad mergers. The book The Intermodal Association of North America, Greenbelt, includes simple maps of some of the mergers he studied, and MD. 2002. these have the virtue of showing merger partners in relation- This book covers the major modes of transport: highways, ship to one another--as parallel acquisitions reducing com- ports and waterways, railroads, and airways. Kaufman is a jour- petition or as end-to-end market extensions.

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B-5 Kahn, A.E. The Economics of Regulation: Principles and Brandeis) used regulation to stifle railroads at the very time Institutions, Volumes I and II, The MIT Press, Cambridge, they might have been evolving with important technologies MA. 1988. and investments--to compete with the new surface transport It is perhaps the most comprehensive treatment of the eco- mode powered by internal combustion engines and with nomics of regulation and the institutions which grew up vehicles operating over hard-surfaced public roads. around it. Volume I covers the principles developed in clas- sical public utility regulatory theory. It treats in depth issues Meyer, J.R., J.P. Merton, J. Stenason, and C. Zwick, The Eco- of marginal cost pricing (short run and long run), price dis- nomics of Competition in the Transportation Industries. crimination, economies of scale, and rate making under Harvard University Press, Cambridge, MA. 1959. competition. Volume II turns to institutional issues such as This book blazed the trail for modern academic quantita- protectionism, public utility performance, "natural monop- tive studies of transportation performance and policy--for oly," and destructive competition. In addition to railroad reg- railways, highway construction, motor carriers, pipelines, ulation, Kahn deals with natural gas transmission, trucking, intermodal truck-rail, and domestic airlines. MPS&Z, as trans- and telecommunications regulatory issues. portation students call it, changed the paradigm for transporta- tion studies, which previously had been mainly descriptive Keeler, T.E. Railroads, Freight, and Public Policy. Brook- texts profiling modes and institutions in the industry, or nar- ings Institute, Washington, D.C. 1983. ratives of regulatory legislation and case law. The work was This book was written just after the awful decade of the among the first (if not the first) to describe long-run multi- 1970s, but before the Staggers Rail Act reforms had made their variate statistical cost functions, and to develop statistical impact on railroad fortunes. The book gives an excellent dis- regressions for transport costing. In a sharp critique, MPS&Z cussion of economic fundamentals within the regulatory par- illustrated how these "true" cost functions contrasted with adigm, and anticipates many of the post-Staggers policy issues expressions of conventional average cost accounting systems such as Ramsey (or inverse elasticity) differential pricing. that relied on arbitrary allocation of overhead and common Appendices survey the economic literature on railroad scale costs. economies and the so-called "natural monopoly" model, which Keeler helped popularize. Middleton, W.D., G.M. Smerk, and R.L. Diehl. Encyclopedia of North American Railroads. University Press, Blooming- Klein, M. Unfinished Business: The Railroad in American ton, IN. 2007. Life, The University Press of New England, Hanover, NH. The Indiana group has produced a truly encyclopedic 1994. work--testimony to both the complexity of the railroad This is a history by way of a memoir built from Klein's industry and the industry of dozens of railroad writers who earlier work on railroads, particularly his massive two-volume contributed articles for the work. Five overview essays set the history of the Union Pacific. He profiles both Jay Gould (to stage: Keith Bryant on development of the industry, H. Roger most, a villain) and Edward H. Harriman (to almost every- Grant on its social history, John H. White Jr. on technology one but Theodore Roosevelt, James J. Hill, and J.P. Morgan, and operating practices in the 19th Century, William Middle- a hero). Klein provides a brief case study of the most impor- ton on technology and operating practices in the 20th Century, tant technology accomplishment for railroads in mid-20th and journalist Don Phillips on post-war developments and century America, dieselization. He also briefly addresses controversies that closed out the century. Then the Encyclope- the streamliner era and prospects for high-speed passenger dia starts in with Accidents and plows on through to a biogra- corridors. phical sketch of Robert R. Young, who as an official of the C&O and Nickel Plate railroads famously published an adver- Martin, A. Enterprise Denied: Origins of the Decline of Amer- tisement declaring "A hog can cross America without chang- ican Railroads, 18971917. Columbia University Press, New ing trains--but YOU can't." York, NY. 1971. Middleton contributes Appendix A that is a statistical This is one of the finest books available treating the history abstract of the industry, with many tables and charts. Appen- of railroads in the modern era. Martin skillfully describes dix B has railroad carrier and regional maps. Appendix C is a the background and content of the early railroad regulatory comprehensive glossary of railroad terms, and Appendix D enactments--those in 1887, 1903, 1906, 1910, 1913, and the lists the "130 most Notable Railroad Books" compiled by the Federal takeover of railroads in 1917-1918. He tells how the editors of Railroad History. It is a good list but incomplete and "archaic Progressives" (including Presidents Teddy Roosevelt uneven in coverage. Finally, Middleton, Smerk and Diehl and William Howard Taft, Senators Robert La Follette and provide an index to help guide readers to articles that may not Albert Cummins, and future Supreme Court Justice Louis be easily found in the Encyclopedia's alphabetical arrangement.

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B-6 Saunders, R., Jr. Main Lines: Rebirth of the North American Stone, R.D. The Interstate Commerce Commission and the Railroads, 19702002. Northern Illinois University Press, Railroad Industry, Praeger, New York, NY. 1991. DeKalb, IL. 2003. In late 2008, as a severe economic crisis in financial and Main Lines is the third of three books by Richard Saunders credit markets is playing itself out in the midst of a national dealing with railroads in the 20th Century. The first, Railroad election, we are witness to arguments for and against regula- Mergers and the Coming of Conrail dealt especially with the tion of the banking and securities industry. Enormous volatil- Penn Central fiasco and start-up of Conrail. Saunders admits ity in the stock market leads both experts and pundits to ask that it was soon "badly dated," as "[a]gainst all odds, Conrail if there should be governmental restraints on short sales of had been a success." Saunders then went back to revise the first stock; the credit crisis in home loans drives questions about book heavily--publishing Merging Lines: The American Rail- re-regulation of banking practices such as bundling sub- roads, 19001970 in 2001. The third volume is Main Lines, prime mortgages and sales of derivatives. Richard Stone's book which completes the story to the end of the century. This book unwittingly provides background for the current regulatory is flawed and weakly sourced; Saunders does not have a good debates by telling the story of railroad regulation and deregu- grasp of economics, which shows in the errors he makes in dis- lation from 1887 (the Act to Regulate Commerce--the so- cussions of avoidable costs and elasticities. The book uses called ICC Act) through a succession of historical periods up overstated and opinionated language, as in this passage: "the to the Staggers Rail Act of 1980. sale of Conrail had been so ham-handed and so fraught with ideological zealotry that it mortally wounded most hope for Task Force on Railroad Productivity. Improving Railroad privatization in the near future" (p. 240). Secretary Dole's Productivity. Final Report. The National Commission on efforts to sell Conrail to Norfolk Southern in the mid-1980s Productivity and the Council of Economic Advisors. Wash- were, perhaps, "ham-handed," but the initial public offering ington, D.C. 1973. of Conrail only two years later (in 1987) was an unqualified This "blue ribbon" task force surveyed the railroad crisis success for the government and the company, as was soon as it was unfolding in the 1970s and recommended policy demonstrated. reforms. Alexander Morton was executive director of the study and authored most of the text. Improving Railroad Pro- Stover, J.F. American Railroads, 2nd ed. University of ductivity received almost no press attention at the time, but it Chicago Press, Chicago, IL. 1997. was important in crystallizing a consensus in the academic This book is the most accessible broad history of the con- community and among Washington insiders on the urgent struction and development of American railroads over their need for regulatory reform to avoid total collapse and nation- nearly 200-year history. Stover shows the interrelationships alization of the railroad industry. Meyer and Morton followed of railroads with most other landmarks of American history, up on the Productivity Task Force Report with an important wars, westward expansion, national governance, regulation, article for the Harvard Business School research series, The and technology. A useful chronology lists important dates in U.S. Railroad Industry in the Post-World War II Period: A Pro- the story from 1794 to 1995, and a Suggested Reading section file (Reprinted from Explorations in Economic Research, Vol. 2, provides brief annotations. No. 4, Fall 1975). Stover, J.F. The Routledge Historical Atlas of the American Federal Railroad Administration. A Prospectus for Change in Railroads, Routledge, New York, NY. 1999. the Railroad Freight Industry. U.S. Department of Trans- The book features color line maps detailing the evolution of portation, Washington, D.C. 1978. rail networks and the make-up of current railroad companies. Passage of the Railroad Reorganization and Regulatory Like the superior color-coded pull-out maps showing various Reform Act of 1976 (popularly known as the 4R Act) was some- rail gauges at the beginning of the Civil War in George Rogers thing of a watershed for American railroads because for the Taylor and Irene D. Neu, The American Railroad Network, first time in a century of regulatory history, it sought to lessen 18611890, Cambridge: Harvard University Press (1956), The rather than increase regulatory constraints on railroads. The 4R Routledge Historical Atlas map of rail lines as they existed in Act, however, was a flawed and largely ineffective statute. It 1861 immediately conveys the substantial advantage held by gave lip service to permitting flexible rates, adequate revenues, the North over the South in the extent and interoperability of and more rapid regulatory determinations, but left in place the their different rail networks. Two maps show the Congres- whole Interstate Commerce Commission (ICC) apparatus, sional land grants, both accurately as they were legislated and which for a while (until the appointment of Darius Gaskins as in the distorted fashion as they were depicted in school Chairman) worked to thwart reform. The ICC's 4R Act deter- textbooks. minations gave little relief to railroads in dealing with inflation-

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B-7 ary cost increases or gaining exemption from regulation where and speculation about future challenges. Wilner's text tables adequate competition existed. are useful for looking up filing dates and the like, but cannot One useful section of the 4R Act mandated DOT to study be said to contribute much "Analysis" or "Insight." Standard deferred maintenance in the railroad industry and offer recom- maps of U.S. railroads reproduced from the Rand McNally mendations for ways of reversing unfavorable trends. These 1939 Railway Atlas locate each road on the national network, tasks were delegated to the Federal Railroad Administra- but fail to show how merger partners might overlap or extend tion (FRA), which responded with a remarkable report. The the resulting systems. Prospectus for Change calculated deferred maintenance at some $1316 billion over the coming decade unless reforms were Wyckoff, D.D. Railroad Management. Lexington Books, made in regulation. It went on to detail regulatory and other Lexington, MA. 1976. changes needed to keep the railroads solvent in the private sec- Daryl Wyckoff produced valuable studies of managerial tor. The FRA's Prospectus for Change should thus be remem- tasks in the trucking and railroad industries. This book pro- bered, along with the Meyer Task Force Productivity Report, as vides both historical context and organizational theory to the intellectual underpinning and blueprint for the monu- describe the tasks of railroad managers. Topics include func- mental Staggers Rail Act of 1980. Contrary to conventional tional organization; centralization; responses in commercial, "history," the Staggers Act did not emerge full blown from competitive, and regulatory environments; handling construc- Congressional committees or lobbyists' position papers, but tion and maintenance functions; labor and substitution of rather had its origins with unsung civil servants of the Federal capital for labor; local vs. long-haul operations; profit center Railroad Administration and Department of Transportation. organization; and causes of organizational stagnation. Weatherford, B.A., H.H. Willis, and D.S. Oritz. The State of Immel, E. and B. Burgel. Rail Capacity in the I-5 Corridor. U.S. Railroads. A Review of Capacity and Performance Data, Presented for the Standing Committee on Rail Transporta- RAND, Santa Monica, CA, 2008. tion, San Diego, CA, Oct. 2004. RAND has produced an exceptional analysis of the current This research used simulation techniques to examine rail railroad situation. Sponsored by UPS, the project appears to capacity issues on I-5 and access to the port of Oregon. The result from concerns as to whether the railroads will be able paper identified factors that impact rail capacity to include: to expand efficient operations under the pressure of rapidly increasing future freight volumes. The study points out that Speed and length of trains capacity constraints encountered by Union Pacific in March Differing priorities and April 2004 affected its new expedited long-distance inter- Many types of facilities in the same areas. modal service. These problems caused UPS to cease its new service, whereupon UPS shifted some intermodal freight The paper also identified measures of performance to back to the highways. "This example illustrates two impor- include: tant themes. The first is that railroad capacity constraints-- resulting from trains running at different speeds and limited Average speed track, cars and locomotives, and crews--may lead firms to shift Hours of delay freight among modes. The second theme is that these private Delay ratio. decisions have public costs" (p. 6). RAND concludes that "if railroads underinvest in new road [railway track, bridges, and Finally, the paper identified a number of potential improve- signals], rail market share will continue to fall and the number ment options to address the freight mobility constraints: of trucks on the road [highways] will grow at an accelerating rate" (p. 29). Increase track speeds Expanded yard capacity Wilner, F.N. Railroad Mergers: History, Analysis, Insight, Adding controlled siding at certain sections Simmons-Boardman Books, Omaha, NE. 1997. Install second main track at certain sections. Wilner attempted a comprehensive study of railroad merg- ers from shortly after the beginnings of the industry in 1830 Dennis, S.M. Changes in Railroad Rates Since the Staggers through partition of Conrail in 1999, dividing most of the book Act. Transportation Research Part E 37. 2000, pp. 5569. into eras: the period before 1950; 1950 to 1979; and the 1980s This document describes factors that may have caused a and 1990s. Six essays from respected industry observers help huge rate reduction after the Staggers Act. The objective of this provide context for legal, international and investment issues, paper is to determine the relative importance of the various

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B-8 factors underlying the decline in railroad rates since the Stag- deployment and how the freight transportation infrastructure gers Act. Some factors contributing to the decline in rail- is expected to handle it. Port capacity is one of many issues road rates are an increasing percentage of bulk commodities, this report touches on. Agile port projects help increase increased length of haul, and increased private ownership of capacity on the same waterfront acreage by using sprint trains equipment. To determine the relative importance of these fac- to take intermodal cargo directly from the dockside and move tors, this paper uses a reduced form railroad rate equation. it to an inland location. Recommendations have been pro- Some results from this study are that shippers saved approxi- vided to guide port transportation system policies for the mately 28 billion dollars per year, length of haul increased, future. These improvements consist mainly of regulatory and private ownership increased, and equipment cited by some policy changes. shippers accounted for only about 2 percent of the reduction in railroad revenue per ton-mile since deregulation. Pfiegal, R. and A. Back. Increasing Attractiveness of Inland Waterway Transport with E-Transport River Information Services. In Transportation Research Record 1963. Trans- Deepwater Ports and portation Research Board of the National Academies, Wash- Inland Waterways ington, D.C. 2006, pp. 1522. Government Accountability Office. Surface and Marine Innovative information systems have a positive impact on Transportation: Developing Strategies for Enhancing freight mobility, affecting safety and efficiency. This paper Mobility: A National Challenge. GAO-02-775. Government describes a telematic service to support traffic and transport Accountability Office, Washington, D.C. August 2002. management called River Information Services (RIS). RIS will Over the next 10 years passenger and freight travel are improve the information processes of inland navigation. The expected to grow by a large margin; with the increase, the sur- setup of RIS includes electronic navigation charts and vessel face and maritime transportation systems face a number of tracking and tracing systems (automatic identification sys- challenges to ensure continued mobility. This report also tems). E-Transport applications make use of the RIS core provides important information about the increase of system and provide advanced services, namely electronic ship freight mobility. The amount of freight moved is expected to reporting and collision avoidance. Austria is the first country increase to 19.3 billion tons annually by 2010. It states that to implement this new technology to provide a safer and more trucks move the majority of freight tonnage and are expected efficient mobility. to continue moving the bulk of freight into the future; trucks remain the dominant mode in terms of tonnage. Inter- Special Report 279: The Marine Transportation System and national freight is an increasingly important aspect of the U.S. the Federal Role: Measuring Performance, Targeting Improve- economy and water is the dominant mode in terms of ton- ment. Transportation Research Board of the National Acade- nage. This report lists the following challenges: mies, Washington D.C., 2004. This report identifies waterway infrastructure needs based on Preventing congestion collected data, studies, and surveys provided by MARAD. The Accessibility few issues and recommendations that stood out consisted of: Addressing transportation's negative effects on the envi- ronment and community. Deeper and wider channels to accommodate more and larger ships; Three key strategies mentioned in this report are: Modernized locks and dams to increase service reliability, capacity, and speed 1) Entire maritime and surface transportation systems should New information and navigation technologies to integrate be the main focus. the supply chain and security and safety systems; and 2) Include usage of all tools to achieve desired mobility. More efficient use of land for marine terminal operations 3) Provide more options for financing mobility improvements. and environmental protection. Maritime Administration (MARAD). Report to Congress on A number of concerns were repeated in this report includ- the Performance of Ports and the Intermodal System. U.S. ing insufficient capacity; delays in the dredging of harbor chan- Department of Transportation. Washington, D.C. June 2005. nels; modernizations of locks; and absence of systematic and This report provides an assessment of the conditions of comprehensive efforts to strengthen marine safety, security, commercial ports. These assessments include the performance and environmental protection. The corresponding actions to of major components of the intermodal system. MARAD these concerns are to have a more balanced set of tools to make emphasizes the unexpected surge in cargo during a military national transportation investment and policy decisions that

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B-9 recognize the increasing integration of the transportation Reduced container dwell time--containers coming off ships modes. Also collaborate with industries and Federal agencies first do not receive as much free time as before with the to undertake an applied research and technology program result that carriers have started removing those containers aimed at furthering capacity, environmental protection, etc. from the terminals sooner to avoid storage fees. Lastly the report expressed the need for developing a further Extended hours of operation--increasing the number of understanding of the operations, capacity, and use of the sys- hours and shifts that terminal gates remain open tem, and of freight systems in general. Inland container yard--moving some containers to holding sites outside the terminal areas where there is more land Knatz, G. National Port Planning: A Different Perspective. In available for storage. Transportation Research Record 1963. Transportation Research Board of the National Academies, Washington, Dekker, S., R.J. Verhaeghe, and A.A.J. Pols. Economic D.C. 2006, pp. 5255. Impacts and Public Financing of Port Capacity Investments. This paper addresses the implications of growth for the In Transportation Research Record 1820. Transportation Ports of Long Beach and Los Angeles and how decisions made Research Board of the National Academies, Washington, to address cargo growth there can have national repercus- D.C. 2003. pp. 5561. sions. An analysis of statewide port capacity can guide port This report focuses on the public/private financing of port planning and provide a clear understanding of capacity issues. investments to improve efficiency and reduce congestion. Identifying and prioritizing infrastructure improvements Large-scale infrastructure is described as seaports and airports. cannot be accurately done due to the lack of or failure to This report emphasizes impacts of large-scale infrastructure examine the port system as a whole. Four fundamental prob- projects; examples are costs due to congestion, air pollution, lems are identified: and noise. The Case of Rotterdam Port Area Expansion is also discussed in this report. The efficient or inefficient use of Congestion problems in urban areas surrounding the space determines the need. Because of low land prices in the nation's largest ports have mobilized communities to seek Rotterdam port area, container transshipment is growing and locally imposed limits on port expansion. involves higher distribution and storage requirements. This Port infrastructure requires a significant amount of time to report includes a decision-making framework process for the plan and construct in today's environmental climate. These Maasvlakte investment. The report identified these invest- events need to be planned well in advance. ments: investments to improve physical capacity of the port Federal dredging projects are hampered by an obsolete itself and investments to improve hinterland connections. funding formula for cost sharing that was developed on the basis of the vessel fleet of the early 1980s. Klodzinski, J. and H.M. Al-Deek. Transferability of an Inter- The fundamental principles of coastal protection legislation modal Freight Transportation Forecasting Model to Major are being questioned. Florida Seaports. In Transportation Research Record 1820. Transportation Research Board of the National Academies, Le-Griffin, H.D. and M. Murphy. Container Terminal Pro- Washington, D.C. 2003. pp. 3645. ductivity: Experiences at the Ports of Los Angeles and Long This paper focuses on the development of a transportation Beach. Proc. National Urban Freight Conference, Long forecasting model to better predict future capacity issues. The Beach, CA. report identifies operational improvements that need attention, This paper describes a study that examined the productiv- which are accessibility for heavy trucks to access port terminals. ity of the Los Angeles and Long Beach ports and compares Improvements to infrastructure of seaports transportation them with other major container ports in the U.S. and over- operations are discussed. seas. The paper noted that with the increasing demand for international trade and global logistic services, there is the Soriguera, F., F. Robuste, R. Juanola, and A. Lopez-Pita. Opti- need for substantial investments and improvements in phys- mization of Handling Equipment in the Container Terminal ical capacity and operational efficiencies to enhance produc- of the Port of Barcelona. In Transportation Research Record tivity of terminals. The paper identifies a range of internal and 1963. Transportation Research Board of the National Acad- external factors that influence the productivity of container emies, Washington, D.C. 2006. pp. 2251. terminals. The external factors include the size and type of This paper analyzes the internal transport system in a ships accommodated by the terminal as well as the landside marine container terminal and investigates the effect of the capacities and performance of intermodal rail and highway type of handling equipment used. Congestion at ports is caused systems serving the ports. The paper also identifies strategies not only by ship and wharf, but also by port activities. Using to improve productivity: research from Port Planning and Development, the authors

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B-10 state that the transfer capacity between ship and wharf achieved ally insignificant and environmentally friendly. Water trans- by the wharf cranes exceeds the capacity of the port handling port and rail modes are encouraged to keep up with the equipment to move, stack, and deliver the cargo. Therefore the growth. This report suggests that the only way to keep up with capacity of the handling equipment between the wharf and the the increasing demand is through short sea shipping. This storage yard is critical. This paper describes the basic functions report also describes EU's TEN-T (Priority Projects) that of a marine container terminal as loading, unloading, storage, include short sea shipping, roadway, railway, inland waterway, reception, and delivery of containers through the gates. airports, seaports, inland ports, and traffic management. These projects would: Global Insight Inc. Port Tracker: Monthly Trade Logistics and Intermodal Outlook. National Rail Federation, Wash- Produce significant time savings ington, D.C. 2007. Reduce CO2 emissions and other emissions An econometric forecasting model for major U.S. ports was Rebalance the modal split developed by Global Transportation Service. The data were Stimulate intermodal trade collected from both public and private sources. Some of the Reduce road congestion highlights included in this newsletter are: Improve welfare. The slowest traffic month of the year is Feb. 2007 and Van- Konings, R. "Ports of Long Beach and Los Angeles Trans- couver is rated medium for congestion. portation Study." In Transportation Research Record 1820, All uncovered U.S. ports are operating without congestion Transportation Research Board of the National Academies, from the harbor to gate. Washington, D.C. 2003, pp. 2635. Rail performance has improved. The article mainly focuses on the creation of the trip gener- Monthly container volumes are higher than last year's. ation model used to study recommended improvements to the Ports of Long Beach and Los Angeles. Data were collected This document contains container volume highlights. U.S. and assumptions were made about the truck and automobile ports are operating congestion free, while truck and rail per- traffic at and near the terminal. The distribution of trucks and formance is more than adequate for the slow season volume. automobiles over the network was developed by doing a driver They rate the West and East Coast ports according to their survey at 13 container terminals during a 4-hour period. They congestion. also conducted traffic counts to separate the vehicles of those that reported to the union halls and then to the terminals, from Yonge, M. European Union Short Sea Shipping: European those that reported directly to the terminals. Union Transport Initiatives to Achieve Sufficient Mobility in It references a developing system that could potentially be a Order to Sustain Economic Growth. Ft. Lauderdale, FL: Mar- low-cost, quickly implementable solution to ease freight con- itime Transport & Logistics Advisors. 2004. gestion. It is an appointment system for container pickup. This Short sea shipping is seen as an opportunity to maintain, if system is within eModal, the Internet system that most of the not enhance, the European Union Flag Maritime transport sec- container terminals and many harbor trucking companies use. tor as well as maritime employment of EU state members. The In the trip generation estimates, they defined a changing oper- benefits of short sea shipping are that infrastructure costs are ation parameter of increased street turns as a result of the use low unlike rail and highway and energy consumption is virtu- of the eModal system.