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C-1 APPENDIX C Interview Guide Project: NCFRP 04: Identifying and Using Low-Cost and implementing improvements or Quickly Implementable Ways to Address Freight-System evaluating effectiveness of improvements? Mobility Constraints 5. What other agencies does your agency collaborate with in assessing and addressing freight mobility issues? Purpose of Study and Interview Objectives Agencies Responsible for the Provision, Maintenance, and The primary objective of the study is to develop and test Regulation of Transportation a methodology to successfully address multi-modal freight Infrastructure (State DOTs, mobility congestion points through low-cost, quickly imple- MPOs, Terminal Operators, mentable physical and operational improvements. The pur- Federal Agencies, etc.) pose of the interviews is to gather sufficient information to develop a better understanding of constraints facing freight The questions in this section are directed at gathering transportation by different modes and the range of improve- information on identification and classification of mobility ments taken to remove these constraints. The interview guide constraints as well as definition and selection of improve- is designed with the primary objective to obtain sufficient ment options. information on: 1. What are the predominant modes of freight transporta- Definition of freight mobility constraint tion of your agency? Identification of constraint indicators and trigger factors 2. From your perspective, how would you define a "freight Definition of low-cost and quickly implementable (quick fix) mobility constraint"? improvements 3. What are the major causes of freight mobility constraints? Decision process/approach in selecting appropriate im- 4. What are the major severe and persistent freight mobility provements constraints that you experience? Cost of low-cost improvements 5. What are the indicators of the major freight mobility con- Examples of implemented improvements. straint (e.g., traffic volume, truck percentage, delay, level of service, service reliability)? 6. How would you characterize the various types of freight General mobility constraints (e.g., physical capacity, operational, The purpose of this section is to gather information on the regulatory)? types of freight activities undertaken by the organization. 7. Do safety regulations (FRA/FMCSA/RITA/MARAD) im- pose unwarranted burdens such as to impede mobility and 1. Name or interviewee, phone number, email, fax efficient operations? If so, what reforms could be made 2. Name of agency that would ensure both safety and efficiency? 3. What is your agency's major freight-related activity? 8. Do planning and environmental regulations (FHWA, 4. What roles does your agency play in STB, EPA, Corps of Engineers, State agencies) impose identifying mobility constraints or unwarranted burdens such as to impede mobility and monitoring freight mobility indicators or efficient operations? If so, what reforms could be made

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C-2 that would ensure both environmental protection and c. Cyclical boom/bust in imports/exports related to the efficiency? strength of the dollar 9. How do any Department of Homeland Security (and inter- d. Economic/re-regulatory uncertainty causing us to be national) requirements interfere with efficient freight cautious about reinvestment movements (highway, rail, ports, inland waterways, e. Insufficient cash flow for re-investment, e.g., "not earn- pipeline)? ing our cost of capital" 10. Where do these constraints mostly occur in the freight f. Car supply shortages transportation system--highway or rail class (inter- g. Other materials or construction supply shortages, e.g., changes, etc.)? steel rail, concrete, signal systems 11. What steps are involved in selecting potential improve- h. Other ment options (decision process)? 4. Do you believe improving your service reliability "creates" 12. What alternatives are considered in trying to address capacity through improved asset utilization, or requires the freight constraints (by type)? additional (surge) capacity to stay on schedule? 13. What factors are considered in selecting an improvement 5. What technologies would help you improve service reli- action (e.g., cost, implementation time, safety)? ability? 14. How would you characterize a "low-cost" action directed a. Train control/advanced dispatching at improving freight mobility? b. Onboard sensors 15. How would you characterize a "quickly implementable" c. Rapid on/off maintenance of way machinery or "quick fix" improvement action directed at address- d. Electronically controlled pneumatic brakes ing freight mobility constraint? e. Advanced electronic inspection techniques 16. Do you typically use benefit-cost analysis in selecting f. Trunked digital communications systems alternative options? g. Other 17. What is the role of stakeholders in selecting and imple- 6. Do you have any comments that you would like to add? mentation of improvements? 18. What are the measures and how do you assess the success Short-Line and Regional Railroads of implemented improvements? 19. Please provide the following information on examples of 1. Are there impediments to freight mobility that short lines implemented improvements by type of improvement and regional railroads face that make re-acquisition by Class a. type of improvement Is more or less likely? What are they, and which direction do b. cost of improvement they point? c. duration of improvement 2. How effective do you think short lines are in supporting d. impacts of improvement action participation by local industry in national rail service 20. What are potential sources of detailed information on markets? Do they help overcome Class I bottlenecks/labor implemented improvements? constraints/service weaknesses? 21. Do you have any comments that you would like to add? 3. Is there a need for improved computerized management systems that are scaled to short-line operations and inter- Rail--Additional Questions operable with the Class Is? If so, how might they be devel- oped and deployed? 1. Is any part of your railroad currently operating at full capac- 4. Do you have any comments that you would like to add? ity? e.g., 2. Where/what kind of congestion and bottlenecks are most Ports and Terminal Operators-- severe and persistent? Additional Questions a. Yards and Industrial Switching Terminals b. Line Haul (include major maintenance windows/work 1. What are the top 3 issues you face regarding physical con- performed under traffic) straints to your port or terminal operations? e.g., c. Intermodal Terminals a. wharf conditions, d. Locomotive Power b. terminal layout, e. Crews c. gate configurations, f. Maintenance Shops d. barriers to rail efficiency, 3. What are the causes of the most severe capacity prob- e. access to streets and highways outside the gate lems? e.g., f. inside the gate operations? a. General economic growth 2. What are the top 3 issues you face regarding operational b. Secular growth in key commodities constraints to your port or terminal operations? e.g.,

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C-3 a. ship arrival time 10. What metrics does your fleet use to identify freight mobil- b. sufficient labor ity challenges, either recurring or non-recurring? c. checking situation at gates 11. How do you respond to each type of constraint? d. cargo movements within the terminal 12. What are the 3 most common operational impacts of e. ability to adjust to peak flow periods freight mobility constraints? How do they affect your f. gaps in technology customers (shippers and consignees)? 3. What are the top 3 issues you face regarding regulatory re- 13. Have freight mobility issues changed your operating prac- quirements (e.g., security, safety, and environmental con- tices? If so, how? cerns)? Are these causing delays in cargo throughput that 14. What improvements have improved mobility and which need to be addressed? have not? 4. To what extent do you use electronic identification systems 15. Outside of major infrastructure improvements, are there and other technical tools to track containers, communicate short-term fixes (facility-based, operational, etc.) to freight with logistics providers, meet homeland security require- mobility issues that you would judge as successful? Are ments, and participate in information sharing with local there others that you might propose? transportation agencies? Please give some examples where 16. Of those short-term fixes, are there thresholds that you these applications have helped improve the flow of cargo would use to define "low-cost" and "quickly imple- and alleviated congestion problems. mentable?" 5. Overall, how would you rate the "value" of your ability to 17. Do you have any comments that you would like to add? quickly act, at relatively low cost, to address congestion problems at your port or on your terminal and in moving Labor Unions cargo on and off terminal? 6. Do you have any comments that you would like to add? Labor and their union organizations negotiate collective bargaining agreements that specify terms and conditions for their work efforts, including ways to improve safety, decrease Freight Operators--Motor Carriers, lost time, and educate members to accomplish jobs using Freight Forwarders, new technologies. Both management and labor ascribe to Logistics, Warehouse these goals. How labor cooperates and supports low-cost and The questions in this section are directed at gathering in- quickly implementable actions will vary by mode and func- formation on operators' perspectives of freight mobility tion within that labor group's sphere of influence. The fol- constraints and impacts of improvements. lowing questions are generic and may be modified by mode and labor participant in the interview process. 1. Are there areas of the country where you assess conges- tion/mobility-related accessorial charges? 1. From your perspective, how would you define a "freight 2. From your perspective, how would you define a "freight mobility constraint?" mobility constraint"? 2. What are the top 3 issues or problems you face in your 3. Are there areas of the country where you face mobility work that impact freight flow and involve congestion? constraints more than other areas? In this case, congestion is defined as a delay or block- 4. What mobility constraints do you face in these identified age in the supply chain that causes a "back-up" to areas of the country? freight flow. 5. What are the major causes of freight mobility constraints? 3. What are the top 3 actions you have seen implemented 6. How would you characterize the various types of mobility that have helped reduce these congestion problems if at constraints you face? all and, if not, what would you suggest could be done to 7. At what type or types of facilities do your drivers most fre- address them? quently encounter freight mobility challenges (ports, rail 4. How do you know when things are operating smoothly yards, intermodal facilities, major bridges and tunnels, during your work day and when they are not, what causes urban areas, etc.)? the most delays and barriers to doing so? 8. Do safety regulations (FRA/FMCSA/RITA/MARAD) im- 5. Has your union been able to work with management to try pose unwarranted burdens such as to impede mobility and to implement what might be considered "best practices" efficient operations? If so, what reforms could be made that in supplying labor when needed? For example, do you sit would ensure both safety and efficiency? down with management on a regular basis to determine 9. Which facilities offer better freight mobility than others? when labor will be needed so that workers will be ready If so, what makes the difference? to go as soon as the freight needs to be moved? Are there

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C-4 other cooperative examples you can cite where specific 9. To what extent do you use electronic identification sys- problems affecting the speed of freight flow have been tems and other technical tools to track containers, com- addressed by your workers? municate with logistics providers, meet homeland secu- 6. What would you consider to be a "low-cost" or "quickly rity requirements, and participate in information sharing implementable" fix to address congestion issues? Can with local transportation agencies and other unions? you give an example of one that has worked including Please give some examples where these applications have cost and time it took to implement? helped improve the flow of cargo and alleviated conges- 7. Can you make decisions about problem solving im- tion problems. provements at your level of decision making or do you 10. To what extent are international and homeland security have to go through a process for approval by persons requirements adding to operational constraints for you higher up in the organization? Can you give an example in transporting freight? of one such improvement including the time and cost to 11. Overall, how would you rate the "value" of your ability you of sending it up the chain of command for approval? to quickly act, at relatively low cost, to address congestion 8. How do you measure the flow of cargo involving your problems in carrying out your work efforts to move freight? labor to move cargo? 12. Do you have any comments that you would like to add?