Financing congressional earmarks: Implications for transport policy and planning

This research documents the primary strategies used by the US Congress to fund transportation earmarks from the early 1990s to the mid-2000s. It draws on careful analysis of funding bills and primary and secondary sources including government reports, industry and policy newsletters, scholarly articles, and publicly available data on earmarks. It is also informed by interviews with transportation stakeholders involved with earmarks at federal, state, and regional levels. By detailing how Congress pays for earmarks, I show that earmarks do more to redistribute than add to existing transportation resources, and that the intricacy of Congressional funding maneuvers can make earmarks’ fiscal impacts hard to discern. Several implications follow for transportation policy and practice. First, critiques that earmarks increase federal transportation spending are misplaced. While such claims make it easy to discredit national investment in transportation, skepticism is in order when earmarks are invoked to throw out the baby with the bathwater. Second, earmarks’ true costs are related not to increased deficits but rather to opportunity costs incurred when unplanned earmarks replace other investments, particularly projects identified through regional and state planning or competitive selection by an executive agency. Finally, this work suggests productive directions for future earmark reform, such as limiting earmarks to projects in regional or state plans and making explicit for any earmarks in a bill the funding mechanisms that support them. Such steps could lessen the opportunity costs (and administrative inefficiencies) of earmarks, increase transparency in earmarking, and potentially make the practice less objectionable if used to facilitate passage of the long overdue surface transportation authorization bill.     

The strategic transportation research study — Its origins and purposes

The highway industry in the United States spends about $35 to $40 billion annually. Management of the industry is almost wholly decentralized. This decentralization plus diminishing fuel tax revenues used to finance road improvements have caused road research efforts to decline to a very low level. Comparisons between funds for highway research and those spent by private firms in similar industries show that private firms spend from 5 to 12 times the rate of highway agencies. The problem of how much to spend on research is difficult both for private-sector and for public-sector enterprises. The level of research spending is shown to correlate well with both profitability and growth in U.S. firms. Four methods used for making research decisions in the private sector are discussed. The goals of the Strategic Transportation Research Study (STRS), which is being conducted by the Transportation Research Board to examine highway and transportation needs, are described.     

Commercially managed road funds: managing roads like a business,not like a bureaucracy

Nearly all countries are seriously short of revenues for investment and maintenance of roads. Improving utilization of the existing road budget has helped to narrow, but not eliminate, this financing gap. Requests for additional resources from the government's budget have fallen on deaf ears, because the road sector has grown too large to be fully-financed through general tax revenues. Government tax systems were not designed to finance major economic sectors like roads. Faced with an acute shortage of funds, many road agencies have introduced tolls on high-volume roads and have invited the private sector to build and operate such roads under concession agreements. Although this has narrowed the financing gap, tolling is only economic on a small part of the road network. Tolls have thus had a relatively small impact on the financing gap. Against this background, and mindful of the fact that roads are now 'big business' on the scale of the Fortune Global 500, a growing number of countries have started to 'bring roads into the market place, put them on a fee-for-service basis and manage them like a business.' The fee-for-service concept, though superficially like the user-pay principle and the associated road funds which became popular during the 1950s, differs from user-pay in a number of important respects. The key differences are that: (i) only road user charges go into the road fund (i.e., there are no earmarked taxes); (ii) the fund is managed by a representative board with half or more members representing road users and the business community; (iii) members are nominated by the constituencies they represent and there is an independent chairperson; (iv) financing arrangements are designed to ensure that money is not diverted from other sectors; (v) funds are managed pro-actively by a small secretariat; (vi) there are published financial regulations governing the way funds are managed; (vii) charges are adjusted regularly to meet agreed expenditure targets; and (viii) there are regular technical and financial audits. Other important characteristics are that most commercially managed road funds are managed through a separate road fund administration, funds are channeled to all roads (sometimes even to unclassified roads) and they are introduced as part of a wider agenda to commercialize road management. Some of these road funds have been set up as road public utilities under a board with powers to set their own tariffs.     

Subsidizing and pricing private toll roads with noncontractible service quality: A relational contract approach

In private toll roads, some elements of the private operator’s performance are noncontractible. As a result, the government cannot motivate the private operator to improve them through a formal contract but through a self-enforcing contract that both parties are unwilling to deviate unilaterally. In this paper, we use noncontractible service quality to capture these performance elements. By employing a relational contract approach, we aim to investigate the optimal subsidy plan to provide incentives for quality improvement. We show that government subsidy is feasible in quality improvement when the discount factor is sufficiently high and marginal cost of public funds is sufficiently small. Under feasible government subsidy, we have demonstrated the optimal subsidy plans in different scenarios. Moreover, some comparative statics are presented. Based on the derived subsidy plans, we further investigate the optimal toll price. We find that the optimal toll price generates zero surplus for the private operator and positive surplus for consumers. We then make two extensions of our model to re-investigate the government’s optimal decisions on subsidy plan and toll price when her decision sequence is changed and when government compensation is present upon termination of the relationship. Some implications for practice have been derived from our model results.     

Evaluating the public investment mix in US freight transportation infrastructure

This research empirically evaluates the public sector investment in the US freight transportation infrastructure. In particular, the infrastructures to support the two most comparable modes of freight transportation – highway and intermodal rail – are examined as alternatives for public fund allocation. Indicators for public sector transportation infrastructure investment mix are established based on financial analysis of both private and social costs and benefits, as well as the propensity of freight shippers to utilize such infrastructures. The research results in recommendations for the aggregate allocation of public funds in the US based on these indicators. We find that approximately a quarter of truck freight could be handled at a 25% lower cost if rail infrastructure to support it existed. Because an additional 80% reduction in social costs could be achieved through this modal conversion, the public sector is a critical participant in creating a more efficient transportation infrastructure.     

Policies towards suburban rail services in Britain and the federal republic of Germany — a comparison

This paper compares the major role played by suburban rail (S‐Bahn) systems in West German cities with the much more limited role of rail in the British conurbations. Clearly, the difference owes much to the institutional and financial arrangements in the two countries. In West Germany, large amounts of earmarked funds have been available for rail investment, whilst the Federal government has been willing to shoulder much of the burden of operating subsidies. The Verkehrsverbund has emerged as a highly effective way of coordinating fares and services without direct ownership of any mode of transport. By contrast in Britain funds for rail investment have been much more limited. Progress with integration has been far slower, and is threatened by current government policies regarding both bus deregulation and the abolition of the Metropolitan county councils. Whilst rail is firmly established in German cities, its future in Britain looks bleak.     

Transit funding: Implications of federal aid strategies

Federal funding strategies greatly affect investment in urban transportation facilities in the United States. This analysis concentrates on the implications of varying federal aid matching requirements, structuring aid programs as categorical or block grants, and allo cating funds on a discretionary basis or according to formula. Toward this end the effects of recent federal transit aid arrangements are assessed.Increased federal matching share broadens program participation, especially among smaller cities. However, when offered a choice, communities' preference for more generous federal aid shares is tempered by their election of discretionary grants (e.g., Urban Mass Transportation Administration - UMTA - Section 3) instead of drawing on formula funds (e.g., UMTA Section 5 or highway fund transfers). Formula funds are easier to administer, distributed quite evenly in the UMTA case, and generally more suitable than discretionary funds except where expenditures are large relative to budgets. Categorical aid programs shift local priorities, and thus should be used with cautionOverall, results suggest that one must begin with established transportation objectives against which to evaluate the effectiveness of funding arrangements. In particular, it is critical to make clear the rationale for federal involvement in funding specific programs. Four such federal funding intents are distinguished: compelling national interest, regional development, stimulation of recipient investment in the given program, or financial relief for the aid recipient. Conclusions are drawn as to the desirability of various funding policies according to such program intent.     

Greening ports and maritime logistics: A review

This paper aims to examine the past and present research on ‘green ports and maritime logistics’ in order to identify established research streams and fertile research areas with potential for future investigations. Using rigorous bibliometric and network analysis tools, the paper completes a systemic mapping of the existing literature and identifies the key investigators, collaboration patterns, research clusters and interrelationships, and the “seminal research areas” that have provided the field with the foundational knowledge, concepts, theories, tools, and techniques. Major articles within each seminal research area are also identified. This will allow new researchers to quickly build understanding in a particular sub-field by reading these major articles. The findings obtained from the evolution of seminal research areas over time are important from both research and practice perspectives and can help the field grow in many dimensions.     

Practical modelling of trip re-scheduling under congested conditions

There is plenty of evidence that drivers may make small changes in their time of travel to take advantage of lower levels of congestion. However, progress in the practical modelling of such “micro” re-scheduling within peak period traffic remains slow. While there exist research papers describing theoretical solutions, techniques for practical use are not generally available. Most commonly used assignment programs are temporally aggregate, while packages which do allow some “dynamic assignment” typically assume a fixed demand profile.The aim of the paper is to present a more heuristic method which could at least be used on an interim basis. The assumption is that the demand profile can be segmented into a number of mutually exclusive “windows” in relation to the “preferred arrival time”, while on the assignment side, independently defined sequential “timeslices” are used in order to respect some of the dynamic processes relating to the build-up of queues. The demand process, whereby some drivers shift away from their preferred window, leads to an iterative procedure with the aim of achieving reasonable convergence.Using the well-known scheduling theory developed by Vickrey, Small, and Arnott, de Palma & Lindsey, the basic approach can be described, extending from the simple “bottleneck”, to which the theory was originally applied, to a general network. So far, insufficient research funds have been made available to test the approach properly. It is hoped that by bringing the ideas into the public domain, further research into this area may be stimulated.     

Commercializing management and financing of roads in developing and transition countries

The road sector reforms undertaken by a growing number of developing and transition countries during the past 10-20 years are described. The problems these countries share with industrialized countries and the additional factors that also affect them--large backlogs of deferred maintenance, an acute shortage of funds and dysfunctional road agencies--are also described. The paper then describes how these countries have restructured road management by separating planning and management of roads from implementation of works, provided road agencies with more autonomy, created more effective oversight, introduced annual performance agreements and turned the road agency into a more commercial organization paying market-based wages. In relation to road financing, road tolls and toll roads are touched on briefly before the new style road funds that have recently been set up in these countries are detailed. The paper then describes how they were established and their basic operating modalities--revenues only from charges related to road use (with one notable exception), no abstraction of revenues from other sectors, proactive management and oversight provided by a board of directors that includes members nominated by road users and the business community.     

The relationship among highway geometrics,traffic-related elements and motor-vehicle accident frequencies

This research provides a demonstration of a statistical model of accident frequency that can eventually be used as part of a proactive program to allocate safety-related highway improvement funds. Negative binomial regressions of annual accident frequency on sections of principal arterials in Washington State were estimated using data from two years (1992 and 1993). In all, 31306 observations were used in model estimation (annual accident frequencies on specific sections of highway). Our estimation results isolated the effects of various highway geometric and traffic characteristics on annual accident frequency. Subsequent elasticity computations identified the relative importance of the variables included in our specifications. The findings show that the negative binomial regression used in this paper is a powerful predictive tool and one that should be increasingly applied in future accident frequency studies.     

Transit pricing research

Several decades of research on transit pricing have provided clear insights into how riders respond to price changes in both the transit and automobile sectors. For the most part, riders are insensitive to changes in either fare levels, structures, or forms of payments, though this varies considerably among user groups and operating environments. Since riders are approximately twice as sensitive to changes in travel time as they are to changes in fares, a compelling argument can be made for operating more premium quality transit services at higher prices. Such programs could be supplemented by vouchers and concessionary programs to reduce the burden of higher fares on low-income users. Also, cross-elasticity research suggests that higher automobile prices would have a significantly greater affect on ridership than lower fares. Most research on transit fare structures shows that the common practice of flat fares is highly inequitable, penalizing short-distance and off-peak users. Free fare programs have proven quite costly for each new transit user attracted and have rarely lured motorists to transit. Free fares limited to downtowns have been more successful than systemwide free fare programs. While prepayment schemes have met with success in the U.S. and Europe, honor fares have suffered from excessive revenue losses in at least one case in the U.S. Some of the more noteworthy fare policy successes in North America have been Bridgeport's combined pass-fare program, Allentown's deep discounts, Ottawa's major fare reduction and differentiation, and Columbus's substantial midday discount. As paratransit and other new transit alternatives to conventional bus continue to emerge, new, more differentiated fare practices can be expected in the future.     

Characteristics of premium transit services that affect mode choice

This research seeks to improve the understanding of the full range of determinants for mode choice behavior and to offer practical solutions to practitioners on representing and distinguishing these characteristics in travel demand forecasting models. The principal findings were that the representation of awareness of transit services is significantly different than the underlying assumption of mode choice and forecasting models that there is perfect awareness and consideration of all modes. Furthermore, inclusion of non-traditional transit attributes and attitudes can improve mode choice models and reduce bias constants. Additional methods and analyses are necessary to bring these results into practice. The work is being conducted in two phases. This paper documents the results of Phase I, which included data collection for one case study city (Salt Lake City), research and analysis of non-traditional transit attributes in mode choice models, awareness of transit services, and recommendations for bringing these analyses into practice. Phase II will include data collection for two additional case study cities (Chicago and Charlotte) with minor modifications based on limitations identified in Phase I, additional analyses where Phase I results indicated a need, and a demonstration of the research in practice for at least one case study city.     

Public financing of private freight rail infrastructure to reduce highway congestion: A case study of public policy and decision making in the United States

As goods movement continues to increase it is expected to outpace infrastructure capacity in the United States. Moving a larger share of goods by rail rather than truck is a potentially cost effective part of a solution. Freight rail not only offers a substitute for truck trips but is a cleaner, more energy efficient, and safer alternative. Recently a number of private freight rail projects have received public funding. The public funds are aimed at increasing freight rail capacity with the goal of diverting some goods currently moved by truck to rail. While the benefits of moving goods by rail are relatively clear, it is unclear if public decision makers can effectively identify strategic rail investments that will achieve their policy goals. This study critically examines the analytical methods, models, and data that are commonly used to support decisions to provide public funds for private freight rail projects. This is accomplished through a case study of California’s Trade Corridors Improvement Fund program which provided $680 million for 11 freight rail projects. The study’s contributions include identifying critical analytical flaws and challenges affecting the benefit estimates that public funding decisions rely on. Improvements to current evaluation methods are also identified as are regulatory reforms and policy interventions that may offer more effective and reliable outcomes.     

Roadmap for free-floating bikeshare research and practice in North America

ABSTRACT

The deployment of smartphone-operated, non-station-based bicycle fleets (“dockless” or “free-floating” bikeshare) represents a new generation of bikesharing. Users locate bikes in these free-floating systems using Global Positioning Systems (GPS) and lock bikes in place at their destinations. In this paper, we review current free-floating bikesharing systems in North America and discuss priorities for future research and practice. Since launching in 2017, free-floating bikeshare has expanded rapidly to encompass 200+ systems operating 40,000+ bikes within 150+ cities. In contrast with previous systems, free-floating systems operate almost exclusively using commercial “for-profit” models, amidst concerns of financial sustainability. Governance for these systems is in early stages and can include operating fees, fleet size caps, safety requirements, parking restrictions, data sharing, and equity obligations. We identify research and practice gaps within the themes of usage, equity, sharing resources, business model, and context. While some existing bikesharing literature translates to free-floating systems, novel topics arise due to the ubiquity, fluidity, and business models of these new systems. Systems have numerous obstacles to overcome for long-term sustainability, including barriers common to station-based systems: limited supportive infrastructure, equity, theft or vandalism, and funding. Other unique obstacles arise in free-floating bikeshare around parking, sidewalk right of ways, varied bicycle types, and data sharing. This review offers background in and critical reflection on the rapidly evolving free-floating bikeshare landscape, including priorities for future research and practice. If concerns can be overcome, free-floating bikeshare may provide unprecedented opportunities to bypass congested streets, encourage physical activity, and support urban sustainability.     

Restructuring land transport in New Zealand

Restructuring of governmental activities in New Zealand calls for public enterprises to operate in competitive environments. This has created problems for highways and urban passenger transport. Whereas the national airline has been privatized and railways corporatized, legislation for land transport has created a Crown agency that is expected to operate commercially within funding and policy constraints. The problems are assessed as Transit New Zealand attempts to allocate state funds between competing projects using commercial criteria. New roles have been legislated for regional agencies and local governments: they are expected to either privatize service delivery or create public corporations to maintain highways and operate passenger transport. Principles underlying restructuring are examined, and suggestions are made on how agencies might take advantage of opportunities.     

虚拟支撑力法数值模拟技术的应用

文章结合湖南雪峰山特长公路隧道的工程实践,根据隧道开挖过程中地应力随施工工序逐步释放的真实过程,基于有限元计算程序,运用“施加虚拟支撑力法”进行适当的开发,对隧道开挖过程进行数值模拟研究,获得了对隧道围岩应力形变场一种快捷准确的认识思路,不仅能更好的符合工程实际,也为隧道开挖过程的数值模拟研究提供了一种思路和方法。     

深埋隧洞围岩应力分布与破坏机理

深埋隧洞围岩高应力破坏机理是研究深埋岩体力学特性和深埋地下工程实践中被关注的一个重要认识问题,深埋条件下围岩应力和围岩强度之间的矛盾更加复杂和典型,也成为认识问题的基本出发点。文章介绍了深埋隧洞开挖时不同部位围岩应力的变化路径;通过对比锦屏辅助洞出现的围岩破坏现象,分别论述了导致边墙松弛型破坏、应力集中部位的片帮破坏和岩爆破坏的围岩应力变化特征,在一定程度上解释了这些破坏的内在机理;并通过采用数值方法再现脆性围岩V型破坏形式,分析探讨了脆性围岩高应力破坏的局部化问题;指出了深埋岩石力学研究中的几个重要环节,如岩体力学特征的尺寸效应和应力路径效应等对准确认识深埋隧洞高应力破坏内在机理的重要意义。     

Institutional issues in planning for more uncertain futures

Future travel demand has always been difficult to estimate. Recent trends of a slow down or stagnation in traffic growth combined with substantial demographic, economic, and technological shifts further complicate that task. This poses a significant planning challenge given that decision-making is often based on the benefits of infrastructure investments which accrue over periods as long as 60 years. In contrast to the changing ideas around what mobility in the future will look like and the types of demand it may need to service, the practice of forecasting future travel demand remains largely unchanged as do the decision-making processes which flow from this. Alternative approaches to thinking about futures such as scenario planning exist but have had more limited deployment in the transport sector. This paper explores the institutional issues surrounding the purpose, practice and barriers to changing the approaches of forecasting and decision-making through an exploration of the state of practice in the UK drawing on interviews with 23 practitioners. Drawing on Hall’s work on policy change, the research finds that there is a strong policy paradigm built around the relationships between transport investment and traffic growth. This has strengthened since the recession with an increased focus on the relationship between transport and job creation. The forecasting approaches in use today are an important part of a complex decision-making apparatus reflective of specialized policy arenas like transport. Challenges in acknowledging, representing and communicating uncertainty are identified leaving a growing tension between planning visions and planning practice. We conclude by reflecting on events which may stimulate a broader reframing of how we plan for transport futures whilst embracing key uncertainties.

     

Barriers to Passenger Rail Use: A Review of the Evidence

Research has shown that even when rail travel is the most cost-effective mode of transport for a particular journey, many travellers will still choose other modes. This indicates the existence of non-financial barriers to rail use, and this paper reviews the evidence on the importance of such barriers, focusing particularly on the UK but also considering research from other countries. A total of 37 distinct barriers were identified, and these can be divided into “hard”, “soft” and “complementary” factors. Travellers are unlikely to consider these barriers individually, viewing them instead as a package, which can make it difficult to identify which barriers are most significant. In many cases, all barriers which exist for a particular traveller will need to be addressed before mode shift occurs. After considering the relative importance of the different barriers, the paper concludes by making some suggestions as to the most effective ways in which these barriers can be overcome and mode shift to rail achieved. This has key implications for transport policy, as it can inform the targeting of the limited funds available to influence travel behaviour and increase the sustainability of travel patterns.