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NCFRP National cooperative Freight Research Program Report 10 Sponsored by the Research and Innovative Technology Performance Measures for Administration Freight Transportation

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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 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 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 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 March 2011.

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National cooperative Freight Research Program NCFRP Report 10 Performance Measures for Freight Transportation Gordon Proctor & Associates Dublin, OH Cambridge Systematics, Inc. Cambridge, MA American Transportation Research Institute Arlington, VA StarIsis Corporation Lewis Center, OH Council of Supply Chain Management Professionals Lombard, IL Subscriber Categories Administration and Management Bridges and Other Structures Economics Energy Environment Freight Transportation Highways Marine Transportation Motor Carriers Operations and Traffic Management Pavements Railroads Safety and Human Factors 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 NCFRPREPORT 10 research program America's freight transportation system makes critical contributions Project NCFRP-3 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 978-0-309-15557-1 and dynamic network of private and public entities, involving all Library of Congress Control Number 2011926817 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) FMCSA, FTA, RITA, or PHMSA endorsement of a particular product, method, or practice. is a cooperative research program sponsored by the Research and It is expected that those reproducing the material in this document for educational and Innovative Technology Administration (RITA) under Grant No. 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 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 Research program by identifying the highest priority projects and defining 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 endorse products or manufacturers. Trade or manufacturers' names appear herein solely any time. Each selected project is assigned to a panel, appointed by because they are considered essential to the object of the report. TRB, 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 10 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 Ellen Chafee, Editor NCFRP PROJECT 3 Panel Scott R. Drumm, Port of Portland (OR), Portland, OR (Chair) Maria P. Boile, Rutgers, The State University of New Jersey, Piscataway, NJ Thomas Crawford, Missouri Motor Carriers Association, Jefferson City, MO Rodney Gregory, Business Transformation Agency, Reston, VA Robert James, Port Authority of New York & New Jersey, New York, NY Joseph L. Schofer, Northwestern University, Evanston, IL Mary Lynn Tischer, Federal Highway Administration, Washington, DC Mark Johnson, FMCSA Liaison Crystal Jones, FHWA Liaison Thomas P. Keane, FMCSA Liaison Michael Sprung, RITA Liaison Joedy W. Cambridge, TRB Liaison Martine A. Micozzi, TRB Liaison Thomas Palmerlee, TRB Liaison Ann Purdue, TRB Liaison author ACKNOWLEDGMENTS The authors would like to acknowledge the assistance of Dr. Thomas Speh. In addition, they would like to acknowledge Mr. Nick Vlahos and Erica Witzke of Cambridge Systematics and Mr. Jeffrey Short and Katie Fender of the American Transportation Research Institute.

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F ORE W OR D By William C. Rogers Staff Officer Transportation Research Board NCFRP Report 10: Performance Measures for Freight Transportation presents a compre- hensive, objective, and consistent set of measures to gauge the performance of the freight transportation system. These measures are presented in the form of a Freight System Report Card, which reports information in three formats, each increasingly detailed, to serve the needs of a wide variety of users from decision makers at all levels to anyone interested in assessing the performance of the nation's freight transportation system. As the demand for freight transportation outstrips the capacity of the nation's highway, rail, waterway, air, and port systems, the effects are felt as congestion, longer and less reliable transit times, upward pressure on freight prices, and higher inventory levels. These impacts increase the cost of doing business and the cost of living and result in a less productive and competitive economy. A comprehensive, objective, and consistent set of performance measures for the U.S. freight transportation system is important for assessing the condition of that system, identifying its problems, prioritizing actions to resolve those problems, and measuring the effectiveness of the remedial actions. Under NCFRP Project 03, Gordon Proctor & Associates reviewed current work on per- formance measures, identified freight transportation performance issues important to stakeholders, and, on the basis of this research, developed a framework for measuring the performance of the freight transportation system, subsystems, and components. The frame- work includes a Freight System Report Card, which is structured as a modified Balanced Scorecard and includes 29 performance measures in 6 categories. The performance mea- sures and Freight System Report Card reflect local, regional, national, and global perspec- tives and are intended to serve as a resource for a range of stakeholders, both public and private, who need to make investment, operations, and policy decisions.

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Contents 1Summary 19 Chapter 1Research Objective 19Research Statement 19 Background on Research Need 22 Movement Toward Measurement 22Research Approach 23 Anticipated Use of Research Findings 24Endnotes 25 Chapter 2Performance Measurement Lessons from the Private Sector 25 The Evolution of Private-Sector Measurement 25 From Lagging to Leading Indicators 26 From Measuring Process to Measuring Strategic Outcomes 27 From Skewing Performance to Balancing Competing Objectives 28 Learning to Support Measurement Systems 29 From Measuring Performance to Improving Performance 29 Relevance of the Private-Sector Lessons 29Endnotes 30 Chapter 3Performance Measurement Experience in the Public Sector 30 Migration of Performance Measures from the Private to Public Sectors 31 The Maturation of Public-Sector Performance Measurement 32 Public-Sector Logic for Selecting Measures 32 States Use Only a Handful of Freight Measures 34 Relevance of the Public-Sector Experience 34Endnotes 35 Chapter 4Freight Performance Measures 35Trucking Data 35Rail Data 36 Ports and Waterways Data 36 Highway Condition Data 36 Freight Externality Data 36 Emerging but Incomplete National Measures 37Disjointed Data 37 Lack of Performance Data 37 Lack of Well-Defined Goals 38Endnotes

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40 Chapter 5Freight Stakeholder Preferences 40Private-Sector Perspectives 41 Responses to Individual Measures 44Public-Sector Perspectives 44State Perspectives 45 Federal Agency Perspectives 46 Trucking Industry Perspectives 46 Railroad Industry Perspectives 47 Maritime Industry Perspectives 48Additional Practitioners 49Endnotes 50 Chapter 6Data Considerations to Support Performance Measurement 50Summary 50 Freight Data Issues 53Case Studies 57 Data Considerations for the Freight Report Card 60Endnotes 61 Chapter 7Findings and Recommendations 61 A Reporting Framework Is Possible 61Overcoming Impediments 62 Creating a Coalition 65 Appendix ASummaries of Freight Performance Information for National Report Card Performance Summaries 97 Appendix BStatewide and Metropolitan Freight Performance Metrics Examples 113 Appendix CState-Level Freight Performance Measures: State of Practice 117 Appendix DNational-Level Performance Measures: State of Practice 121 Appendix EModal Freight Performance Measures: State of Practice 133 Appendix FEnvironmental Freight Performance Measures: State of Practice 139 Appendix GStakeholder Perspectives