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NCFRP NATIONAL COOPERATIVE FREIGHT RESEARCH PROGRAM REPORT 6 (Revised) Sponsored by the Research and Innovative Technology Impacts of Public Policy on the Administration Freight Transportation System

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TRANSPORTATION RESEARCH BOARD 2011 EXECUTIVE COMMITTEE* OFFICERS CHAIR: Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore VICE CHAIR: Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board MEMBERS J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles Eugene A. Conti, Jr., Secretary of Transportation, North Carolina DOT, Raleigh James M. Crites, Executive Vice President of Operations, Dallas-Fort Worth International Airport, TX Paula J. Hammond, Secretary, Washington State DOT, Olympia Michael W. Hancock, Secretary, Kentucky Transportation Cabinet, Frankfort Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley Michael P. Lewis, Director, Rhode Island DOT, Providence Susan Martinovich, Director, Nevada DOT, Carson City Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington Tracy L. Rosser, Vice President, Regional General Manager, Wal-Mart Stores, Inc., Mandeville, LA Steven T. Scalzo, Chief Operating Officer, Marine Resources Group, Seattle, WA Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO Beverly A. Scott, General Manager and CEO, Metropolitan Atlanta Rapid Transit Authority, Atlanta, GA David Seltzer, Principal, Mercator Advisors LLC, Philadelphia, PA Lawrence A. Selzer, President and CEO, The Conservation Fund, Arlington, VA Kumares C. Sinha, Olson Distinguished Professor of Civil Engineering, Purdue University, West Lafayette, IN Thomas K. Sorel, Commissioner, Minnesota DOT, St. Paul Daniel Sperling, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies; and Interim Director, Energy Efficiency Center, University of California, Davis Kirk T. Steudle, Director, Michigan DOT, Lansing Douglas W. Stotlar, President and CEO, Con-Way, Inc., Ann Arbor, MI C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin EX OFFICIO MEMBERS Peter H. Appel, Administrator, Research and Innovative Technology Administration, U.S.DOT J. Randolph Babbitt, Administrator, Federal Aviation Administration, U.S.DOT Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, GA Anne S. Ferro, Administrator, Federal Motor Carrier Safety Administration, U.S.DOT LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S.DOT John T. Gray, Senior Vice President, Policy and Economics, Association of American Railroads, Washington, DC John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC David T. Matsuda, Deputy Administrator, Maritime Administration, U.S.DOT Victor M. Mendez, Administrator, Federal Highway Administration, U.S.DOT William W. Millar, President, American Public Transportation Association, Washington, DC Tara O'Toole, Under Secretary for Science and Technology, U.S. Department of Homeland Security, Washington, DC Robert J. Papp (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security, Washington, DC Cynthia L. Quarterman, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT Peter M. Rogoff, Administrator, Federal Transit Administration, U.S.DOT David L. Strickland, Administrator, National Highway Traffic Safety Administration, U.S.DOT Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S.DOT Polly Trottenberg, Assistant Secretary for Transportation Policy, U.S.DOT Robert L. Van Antwerp (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC Barry R. Wallerstein, Executive Officer, South Coast Air Quality Management District, Diamond Bar, CA *Membership as of June 2011.

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NATIONAL COOPERATIVE FREIGHT RESEARCH PROGRAM NCFRP REPORT 6 (Revised) Impacts of Public Policy on the Freight Transportation System ICF INTERNATIONAL Fairfax, VA DELCAN CORPORATION Vienna, VA CHEVAL RESEARCH San Diego, CA Subscriber Categories Aviation Environment Freight Transportation Highways Marine Transportation Motor Carriers Pipelines Railroads Safety and Human Factors Terminals and Facilities Vehicles and Equipment Research sponsored by the Research and Innovative Technology Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2011 www.TRB.org

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NATIONAL COOPERATIVE FREIGHT NCFRP REPORT 6 (Revised) RESEARCH PROGRAM America's freight transportation system makes critical contributions Project NCFRP-02 to the nation's economy, security, and quality of life. The freight ISSN 1947-5659 transportation system in the United States is a complex, decentralized, ISBN 978-0-309-21335-6 and dynamic network of private and public entities, involving all Library of Congress Control Number 2011932595 modes of transportation--trucking, rail, waterways, air, and pipelines. 2011 National Academy of Sciences. All rights reserved. In recent years, the demand for freight transportation service has been increasing fueled by growth in international trade; however, bottlenecks or congestion points in the system are exposing the COPYRIGHT INFORMATION inadequacies of current infrastructure and operations to meet the Authors herein are responsible for the authenticity of their materials and for obtaining growing demand for freight. Strategic operational and investment written permissions from publishers or persons who own the copyright to any previously decisions by governments at all levels will be necessary to maintain published or copyrighted material used herein. freight system performance, and will in turn require sound technical Cooperative Research Programs (CRP) grants permission to reproduce material in this guidance based on research. publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, The National Cooperative Freight Research Program (NCFRP) is FMCSA, FTA, RITA, or PHMSA endorsement of a particular product, method, or practice. a cooperative research program sponsored by the Research and It is expected that those reproducing the material in this document for educational and not- Innovative Technology Administration (RITA) under Grant No. for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. DTOS59-06-G-00039 and administered by the Transportation Research Board (TRB). The program was authorized in 2005 with the passage of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU). On September 6, 2006, a contract to NOTICE begin work was executed between RITA and The National Academies. The project that is the subject of this report was a part of the National Cooperative Freight The NCFRP will carry out applied research on problems facing the Research Program, conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. freight industry that are not being adequately addressed by existing The members of the technical panel selected to monitor this project and to review this research programs. report were chosen for their special competencies and with regard for appropriate balance. Program guidance is provided by an Oversight Committee comprised The report was reviewed by the technical panel and accepted for publication according to of a representative cross section of freight stakeholders appointed by procedures established and overseen by the Transportation Research Board and approved by the Governing Board of the National Research Council. the National Research Council of The National Academies. The NCFRP Oversight Committee meets annually to formulate the research The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation program by identifying the highest priority projects and defining Research Board, the National Research Council, or the program sponsors. funding levels and expected products. Research problem statements The Transportation Research Board of the National Academies, the National Research recommending research needs for consideration by the Oversight Council, and the sponsors of the National Cooperative Freight Research Program do not Committee are solicited annually, but may be submitted to TRB at any endorse products or manufacturers. Trade or manufacturers' names appear herein solely time. Each selected project is assigned to a panel, appointed by TRB, because they are considered essential to the object of the report. which provides technical guidance and counsel throughout the life of the project. Heavy emphasis is placed on including members representing the intended users of the research products. The NCFRP will produce a series of research reports and other products such as guidebooks for practitioners. Primary emphasis will be placed on disseminating NCFRP results to the intended end-users of the research: freight shippers and carriers, service providers, suppliers, and public officials. Published reports of the NATIONAL COOPERATIVE FREIGHT RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: http://www.national-academies.org/trb/bookstore Printed in the United States of America

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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. On 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. Ralph J. Cicerone 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. Charles M. Vest 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, on 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 Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transporta- tion Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board's varied activities annually engage about 7,000 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 individu- als interested in the development of transportation. www.TRB.org www.national-academies.org

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COOPERATIVE RESEARCH PROGRAMS CRP STAFF FOR NCFRP REPORT 6 (Revised) Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs William C. Rogers, Senior Program Officer Charlotte Thomas, Senior Program Assistant Eileen P. Delaney, Director of Publications Hilary Freer, Senior Editor NCFRP PROJECT 02 PANEL Freight Research Projects Allison L. C. de Cerreno, Port Authority of New York & New Jersey, New York, NY (Chair) Keith J. Bucklew, Indiana DOT, Indianapolis, IN Gloria J. Jeff, District of Columbia DOT, Washington, DC David L. Knight, Great Lakes Commission, Ann Arbor, MI Robert E. Martinez, Norfolk Southern Corporation, Norfolk, VA James McCarville, Port of Pittsburgh Commission, Pittsburgh, PA Paul E. Nowicki, BNSF Railway, Chicago, IL M. J. Fiocco, RITA Liaison Joedy W. Cambridge, TRB Liaison

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FOREWORD By William C. Rogers Staff Officer Transportation Research Board NCFRP Report 6 (Revised): Impacts of Public Policy on the Freight Transportation System describes the numerous ways that government policy decisions can affect the freight system and, in turn, how understanding the differing concerns and priorities of governments is cru- cial to better consideration of the potential impacts of public policy. Using interviews with industry experts and an extensive review of documents, the research identifies current and recent policy issues with potential freight system impacts, evaluates the magnitude of the impacts, and assesses the extent to which the impacts were unexpected. Among the types of impacts identified were (1) changes in costs and revenues to freight carriers and shippers, (2) changes in freight volumes or shifts in mode, (3) changes in freight service quality, and (4) changes to freight system operations and safety. The research will promote a better under- standing at all levels of government of the complex relationships inherent in public policy and foster appreciation for how public policies affect the freight transportation system. The freight system is largely a private-sector enterprise, but public policy decisions have major impacts on its development and operations. To a large degree, the system is invisible to most Americans, and to most people, the phrase "transportation policy" is usually associated with passenger transportation. Even for most transportation officials, the freight transportation system receives little thought. Not only is the freight system little known or understood, there is even less understanding of the many links through which policy actions, whether related to transportation or not, can affect the movement of freight. Under NCFRP Project 2, ICF International was asked to examine a wide range of public policy decisions made since 1980, as well as some policies currently being debated but not yet enacted, in order to reveal the numerous ways that government policy decisions have affected (or could affect) the freight system. In addition to identifying freight system impacts, the report also assesses the extent to which such impacts were unexpected by the relevant decisionmakers. Lastly, the report considers the opportunity to improve public pol- icy decisions through access to better information about freight system impacts. Editor's Note: NCFRP Report 6 (Revised): Impacts of Public Policy on the Freight Trans- portation System replaces NCFRP Report 6 of the same title, previously distributed. Revi- sions have been made to two sections of the report, as follows: The section on "Truck Size and Weight Rules," in Chapter 4 has been corrected and updated. The second paragraph of "Operations and Maintenance Policy," in Chapter 6 under Summary Discussion, has been revised. The assistance of C. Randal Mullett (Con-way, Inc.) and Dr. Michael Belzer (Wayne State University) in this work is acknowledged with thanks.

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CONTENTS 1 Summary 8 Chapter 1 Introduction 8 Definition of Policy 8 Methodology 9 Report Organization 10 Chapter 2 Overview of the Freight Transportation System 10 What Is Freight Transportation? 10 The Freight Transportation Modes 16 The Role of Government 18 Chapter 3 What Public Policies Can Affect the Freight Transportation System? 18 Safety Policy 18 Security Policy 19 Land Use Policy 19 Environmental Policy 20 Energy and Climate Change Policy 20 Infrastructure Operations and Maintenance Policy 21 Infrastructure Investment Policy 21 Infrastructure Finance Policy 22 Trade Policy and Economic Regulation 24 Chapter 4 How Do Public Policies Affect the Freight Transportation System? 24 Introduction 24 HOS Rules for Truck Drivers 26 HOS Rules for Train Operators 27 Truck Speed Limits and Speed Governor Rules 28 Aircraft Fuel Tank Flammability Rules 29 Restrictions on Locomotive Horns 30 TWIC for Ports and Inland Towboats 32 Alien Fingerprint Rules for Outbound Planes and Ships 32 Federal Emission Standards for Diesel Engines 33 California In-Use Truck Emission Standards 34 Idling Restrictions for Trucks and Locomotives 35 Restrictions on Port Drayage Trucks 36 Restrictions on Disposal of Port Dredging Spoil 37 Water Pollutant Discharge Rules for Vessels 38 International Air Emissions Regulations for Vessels 39 State Truck Route Restrictions 40 Local Policies to Oppose a Railroad Acquisition

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41 Truck Size and Weight Rules 43 Level of Investment in Highway Infrastructure 44 Level of Investment in Inland Waterway Infrastructure 45 Highway Tolls and Other User Charges 46 Lockage Fees for Inland Waterways 46 Peak Pricing for Port Trucks 47 Peak Pricing for Airports 49 Chapter 5 Case Studies 49 Case Study 1: Local Land Use Policies Affecting Port Facilities and Other Freight Terminals 54 Case Study 2: Local Truck Access and Parking Policies 58 Case Study 3: Air Cargo Screening Requirements 63 Case Study 4: State and Federal Climate Change Policies 72 Chapter 6 Conclusion 72 Availability of Information on Impacts of Policies 72 Decisionmaker Constituencies 73 Decision Context Framework 74 Summary Discussion 76 Conclusions 79 Appendix A Interviewees and Focus Group Participants 81 Appendix B Details on Impacts of Selected Policies 96 Appendix C Resources 102 Appendix D Abbreviations, Acronyms, and Initialisms Note: Some of the figures and tables in this report have been converted from color to grayscale for printing. The electronic version of the report (posted on the Web at www.trb.org) retains the color versions.