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NATIONAL NCHRP REPORT 686 COOPERATIVE HIGHWAY RESEARCH PROGRAM Road Pricing: Public Perceptions and Program Development

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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 Larry L. Brown, Sr., Executive Director, Mississippi DOT, Jackson 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 Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley 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 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 Carolann D. Wicks, Secretary, Delaware DOT, Dover 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 George Bugliarello, President Emeritus and University Professor, Polytechnic Institute of New York University, Brooklyn; Foreign Secretary, National Academy of Engineering, Washington, DC Anne S. Ferro, Administrator, Federal Motor Carrier Safety Administration, 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 February 2011.

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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP REPORT 686 Road Pricing: Public Perceptions and Program Development Anjali Mahendra Michael Grant ICF INTERNATIONAL Fairfax, VA Thomas Higgins Kiran Bhatt K. T. ANALYTICS, INC. Bethesda, MD Subscriber Categories Administration and Management Finance Highways Planning and Forecasting Policy Society Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2011 www.TRB.org

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NATIONAL COOPERATIVE HIGHWAY NCHRP REPORT 686 RESEARCH PROGRAM Systematic, well-designed research provides the most effective Project 08-73 approach to the solution of many problems facing highway ISSN 0077-5614 administrators and engineers. Often, highway problems are of local ISBN 978-0-309-15543-4 interest and can best be studied by highway departments individually Library of Congress Control Number 2011922251 or in cooperation with their state universities and others. However, the 2011 National Academy of Sciences. All rights reserved. accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of COPYRIGHT INFORMATION cooperative research. Authors herein are responsible for the authenticity of their materials and for obtaining In recognition of these needs, the highway administrators of the written permissions from publishers or persons who own the copyright to any previously American Association of State Highway and Transportation Officials published or copyrighted material used herein. initiated in 1962 an objective national highway research program Cooperative Research Programs (CRP) grants permission to reproduce material in this employing modern scientific techniques. This program is supported on 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, a continuing basis by funds from participating member states of the FMCSA, FTA, or Transit Development Corporation endorsement of a particular product, Association and it receives the full cooperation and support of the method, or practice. It is expected that those reproducing the material in this document for Federal Highway Administration, United States Department of educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission Transportation. from CRP. The Transportation Research Board of the National Academies was requested by the Association to administer the research program because of the Board's recognized objectivity and understanding of NOTICE modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which The project that is the subject of this report was a part of the National Cooperative Highway Research Program, conducted by the Transportation Research Board with the approval of authorities on any highway transportation subject may be drawn; it the Governing Board of the National Research Council. possesses avenues of communications and cooperation with federal, The members of the technical panel selected to monitor this project and to review this state and local governmental agencies, universities, and industry; its report were chosen for their special competencies and with regard for appropriate balance. relationship to the National Research Council is an insurance of The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved objectivity; it maintains a full-time research correlation staff of by the Governing Board of the National Research Council. specialists in highway transportation matters to bring the findings of The opinions and conclusions expressed or implied in this report are those of the research directly to those who are in a position to use them. researchers who performed the research and are not necessarily those of the Transportation The program is developed on the basis of research needs identified Research Board, the National Research Council, or the program sponsors. by chief administrators of the highway and transportation departments The Transportation Research Board of the National Academies, the National Research and by committees of AASHTO. Each year, specific areas of research Council, and the sponsors of the National Cooperative Highway Research Program do not needs to be included in the program are proposed to the National endorse products or manufacturers. Trade or manufacturers' names appear herein solely because they are considered essential to the object of the report. Research Council and the Board by the American Association of State Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or duplicate other highway research programs. Published reports of the NATIONAL COOPERATIVE HIGHWAY 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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COOPERATIVE RESEARCH PROGRAMS CRP STAFF FOR NCHRP REPORT 686 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs Nanda Srinivasan, Senior Program Officer Charlotte Thomas, Senior Program Assistant Eileen P. Delaney, Director of Publications Natalie Barnes, Editor NCHRP PROJECT 08-73 PANEL Field of Transportation Planning--Area of Forecasting Mark F. Muriello, Port Authority of New York and New Jersey, New York, NY (Chair) Kenneth R. Buckeye, Minnesota DOT, St. Paul, MN Robert E. Fellows, Washington State DOT, Seattle, WA Robin Grier, Virginia DOT, Richmond, VA Deborah Robertson, California DOT, Los Angeles, CA Bruce Schaller, New York City DOT, New York, NY Edward C. Sullivan, California Polytechnic State University, San Luis Obispo, CA (deceased) Humberto A. Tasaico, North Carolina DOT, Raleigh, NC Kathy Daniel, FHWA Liaison Martine A. Micozzi, TRB Liaison

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FOREWORD By Nanda Srinivasan Staff Officer Transportation Research Board This report describes road pricing concepts and discusses their potential effectiveness and applicability. It also provides guidelines for project planning and integrating pricing into regional and state planning processes, and for communicating strategies and engaging affected parties. The report is structured to aid both readers familiar and unfamiliar with road pricing, providing both a brief overview of the concepts as well as in depth informa- tion on the latest applications, impacts, operations, costs, and policy and acceptability considerations. The report is divided into two parts. Part 1 provides a review of six road pricing concepts and information for planners and decision makers to evaluate the potential of the concepts and understand the best engagement and communication strategies. Part 2 provides inter- view findings, literature reviews, and references to resource materials on planning, engage- ment, and communication related to road pricing strategies. The report will be of broad interest to state, regional, and local planners; project development staff; chief executives; and other decision makers. Road pricing (RP) has advanced over the years, moving from the level of basic research and economic and policy analysis to effective and acceptable implemented projects. The most popular and widespread RP concept to date has been conversion of high-occupancy vehicle (HOV) lanes to high-occupancy toll (HOT) lanes and new-capacity HOT lane proj- ects. These projects have shown initial success in managing traffic more effectively, raising revenue for system investment, advancing greater travel reliability for roadway users, and creating new travel options. The objective of this research project was to develop both eas- ily digestible information and guidance as well as supporting detailed resource information to help planners; state, regional, and local decision makers; and stakeholders in transporta- tion developments to (1) understand transportation needs and challenges which RP can effectively address; (2) identify opportunities and conditions for applying and integrating RP into local, regional, and state projects and programs; and (3) develop effective commu- nication and public engagement actions to ensure best chances at acceptable and effective implementation of RP. A better understanding of how all these concepts apply to pressing problems of congestion, pollution, and lagging financial resources for transportation is needed to ensure that RP solutions are considered in projects and programs. Good articu- lation of the issues RP can address and of the best ways to advance acceptable and effective projects will boost attention to RP in the mix of solutions for the future. The research was performed by ICF International and K.T. Analytics. Information was gathered via literature review and interviews with practitioners. Six road pricing concepts

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for possible application based on experience to date are discussed: (1) conversion of exist- ing HOV or other lanes to HOT lanes; (2) variable pricing on new or rehabilitated facilities; (3) variable pricing on existing tolling facilities; (4) areawide/cordon pricing; (5) distance- based pricing; and (6) variable pricing applied to parking.

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CONTENTS P A R T 1 Decision-Making and Planning Guide 3 Introduction 6 Section 1 Decision-Making Guide: Evaluating Road Pricing Potential for Your Local Area and Conditions 6 1.1 Road Pricing Concepts 6 1.1.1 Conversion of Existing HOV or Other Lanes to HOT Lanes 7 1.1.2 Variable Pricing on New or Rehabilitated Facilities and Regionwide Networks 7 1.1.3 Variable Pricing on Existing Toll Facilities 8 1.1.4 Areawide Pricing 8 1.1.5 Distance-Based Pricing or Mileage Fees 9 1.1.6 Parking Pricing 9 1.2 Local Community Goals 11 1.3 Existing Conditions and Policy Requirements 12 1.4 Planning, Acceptability and Engagement 16 Section 2 Planning Guide: Developing Road Pricing Plans and Programs 16 2.1 Checkpoints for Planning, Engagement, and Communication 17 2.1.1 Overview of Planning for Road Pricing 17 2.1.2 Planning Phases of Project Development 32 2.2 Road Pricing in the Transportation Planning Process 33 2.2.1 Overview of the Transportation Planning Process 35 2.2.2 Bringing Road Pricing into the Transportation Planning Process 41 2.3 Analytic, Policy, and Success Considerations for Each Road Pricing Concept 41 2.3.1 Conversion of Existing HOV and Other Lanes to HOT Lanes 43 2.3.2 Variable Pricing on New or Rehabilitated Facilities and Regionwide Networks 45 2.3.3 Variable Pricing on Existing Toll Facilities 47 2.3.4 Areawide Pricing 51 2.3.5 Mileage Fees 54 2.3.6 Parking Pricing P A R T 2 Resources and References 59 Section 3 Summary of Literature Review on Planning for Road Pricing 59 3.1 Domestic Scan of Congestion Pricing and Managed Lanes 60 3.2 GAO Report on MPOs 60 3.3 MPO Review on Congestion Policies by Anthony Downs

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60 3.4 MPO Review for TEA-21 Reauthorization by Bruce Katz et al. 61 3.5 Decision-Making Framework for Pricing Decisions 61 3.6 Federal Interim Guidebooks and Briefing Book 62 3.7 Strategic Highway Research Program 2 Project C01 64 Section 4 Interview Findings 64 4.1 Road Pricing Emergence Factors 66 4.2 Relationship of RP with Regional Transportation Planning Requirements 66 4.3 Relationship of RP with Specific Planning Actions and Required Planning Processes 67 4.4 Role of State and State Department of Transportation in Planning for RP 68 4.5 Role of Federal Government in Planning for RP 69 4.6 Public/Stakeholder Involvement in RP Plans 70 4.7 Maximizing Attention to RP in Planning--Barriers and Opportunities 73 Appendix A Literature Review on Planning for Road Pricing 84 Appendix B Literature Review on Road Pricing Acceptability, Communication, and Engagement 95 Appendix C Interview Guide 97 Appendix D List of Interview Sites and Interviewees 98 Appendix E Interview Summaries Related to Planning for Road Pricing 117 Appendix F Interview Summaries Related to Communication and Engagement 133 Appendix G Planning Resources for the Road Pricing Concepts Note: Many of the photographs, 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.