Advisers to the Nation on Science, Engineering, and Medicine

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. Upon 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. Bruce M. Alberts 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. William A. Wulf 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, upon 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 the Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chairman and vice chairman, respectively, of the National Research Council.

The Transportation Research Board is a division of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board’s mission is to promote innovation and progress in transportation through research. In an objective and interdisciplinary setting, the Board facilitates the sharing of information on transportation practice and policy by researchers and practitioners; stimulates research and offers research management services that promote technical excellence; provides expert advice on transportation policy and programs; and disseminates research results broadly and encourages their implementation. The Board’s varied activities annually engage more than 4,000 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 individuals interested in the development of transportation. www.TRB.org

www.national-academies.org

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The federal government provides a wide array of infrastructure and services in support of the nation’s marine transportation system (MTS). It does so through a number of federal agencies in several cabinet-level departments. In 1998, Congress directed the Secretary of Transportation to convene a broad-based task force to assess the adequacy of the MTS to operate in a safe, efficient, secure, and environmentally sound manner and to assess the federal role in furthering these goals.¹ In reporting back to Congress, the MTS Task Force identified a number of challenges facing the system and urged improved coordination

among the federal agencies and other suppliers and users of marine transportation infrastructure and services.² The task force’s recommendations led to the creation of the MTS National Advisory Council (MTSNAC), consisting largely of maritime industry representatives, and the Interagency Committee for the Marine Transportation System (ICMTS), consisting of representatives from the 18 federal agencies with responsibilities related to the MTS.

The creation of MTSNAC and ICMTS has prompted closer examination of the federal role in the MTS and how the efforts of individual federal agencies relate to one another and to broader national interests that underlie federal involvement in the system. Both bodies seek to ensure that federal decisions are consistent, complementary, and responsive to these national interests. Hence, in September 2002, several of the federal agencies and departments that are members of ICMTS—the U.S. Coast Guard, the National Oceanic and Atmospheric Administration, the U.S. Department of Homeland Security, the Maritime Administration, the Office of the Secretary of the U.S. Department of Transportation, the U.S. Department of Agriculture, and the U.S. Army Corps of Engineers— commissioned the National Research Council (NRC), under the auspices of the Transportation Research Board (TRB) and its Marine Board, to examine the federal role in the MTS and develop an analytic framework for federal policy makers to use in assessing system needs and informing and coordinating decisions to meet them.

To conduct the study, NRC formed a 14-member committee with expertise in economics; marine industry structure and operations; environmental protection; port management and planning; waterways management and operations; and transportation policy, administration, and finance. Committee members served in the public interest without compensation. Mortimer L. Downey, President of PBConsult, Inc., chaired the committee. The Statement of Task, or charge to the committee, is provided in Box P-1.

How the committee chose to interpret and approach this charge is described at the end of Chapter 1. This report follows several other TRB, Marine Board, and NRC studies of the nation’s transportation and freight systems’ capacity to support commerce (TRB 2003a; NRC 2001), security requirements (TRB 2002; TRB 2003b), and safety and environmental issues (NRC 1998; NRC 2001; TRB 2001). Each of these topics is complex and requires special expertise and understanding of particular components of the MTS. This committee did not have the time or requisite composition to examine and make specific recommendations on individual federal programs, policy initiatives, or provisions in legislation. Likewise, it did not have the mandate or capability to focus on specific environmental, safety, and security concerns, although such studies have been undertaken by NRC when requested [see, for instance, the Marine Board’s assessment of the Oil Pollution Act of 1990 (NRC 1998)]. Therefore, the committee elected to focus its efforts not on detailed compilations of needs for each segment of the MTS, but on ways in which the federal government and marine transportation community as a whole can better identify and prioritize needs and make decisions on the basis of sound information and analysis. In the committee’s view, the enhanced capability to make informed and responsive decisions on an ongoing basis will have far greater value than a one-time compilation of priorities.

Believing the report does not go far enough in identifying challenges facing the MTS and requisite changes in federal policies and funding, committee members William O. Gray and James R. McCarville each authored supplemental statements. These individual statements, which are presented in Appendices A and B, are not part of the consensus report, although committee member Geraldine Knatz endorses them.

The committee deliberated over a 9-month period. It met three times and communicated by e-mail and conference calls. During its information-gathering meetings, which were open to the public, the committee was briefed by representatives of many of the federal agencies with responsibilities related to the MTS. Jeffrey High of the U.S. Coast Guard attended all open meetings and served as the federal sponsors’ liaison with the committee and staff, clarifying and fielding questions about the study charge

and sponsor expectations. The committee thanks him for his close participation and support throughout the course of the study. In addition, thanks go to the following federal agency representatives who briefed the committee during its first meeting: Barry Holliday, U.S. Army Corps of Engineers; David McFarland, National Oceanic and Atmospheric Administration; Craig Vogt, U.S. Environmental Protection Agency; Daniel Floyd, U.S. Bureau of Customs and Border Protection; Raymond Barberisi, Maritime Administration; Edward Weiner, U.S. Department of Transportation; and Rajiv Khandpur, U.S. Coast Guard.

During the committee’s second meeting, two panels of experts from industry briefed the committee on issues of concern from their perspectives. Thanks are due to Christopher Koch, World Shipping Council; Samuel Crane, Maher Terminals Logistics Systems; Peter Finnerty, American Ocean Enterprises; Gary Martin, North American Exporters Grain Association; Robert Flynn, Mallory, Jones, Lynch, Flynn and Associates; Thomas Allegretti, American Waterways Operators; and Les Sutton, Kirby Corporation. The panel discussions provided much insight into the federal role in the MTS and the importance of this system from the standpoint of shippers, carriers, and terminal operators.

During the third meeting, the committee was briefed by Anthony Minyon of Toyota Motor Sales USA and William Lucas of the U.S. Military Traffic Management Command. Their presentations shed further light on the needs and concerns of MTS users. In conjunction with the meeting, the committee visited the Port of Long Beach and San Pedro Harbor. Manny Achemeyer of the Marine Exchange of Southern California and Thomas Jacobsen of Jacobsen Pilot Service offered engaging and informative tours of their facilities and operations. The committee extends its gratitude to them and to the Port of Long Beach and its administrative staff for hosting the meeting and providing logistic support.

Thomas R. Menzies, Jr., managed the study and drafted the report under the guidance of the committee and the supervision of Stephen R. Godwin, Director of Studies and Information Services. Peter Johnson assisted with the drafting and revising of report sections. Eric Beshers authored a commissioned paper that formed the basis for the discussion

of the federal aviation and surface transportation programs in Chapter 4. David St. Amand assisted in the drafting of Chapter 2 and offered information and constructive advice for other sections of the report. Beverly Huey convened the expert panels during the committee’s second and third meetings. Tamar Henkin, Transtech Management, Inc., briefed the committee on opportunities for applying innovative financing programs for the provision of marine infrastructure and services.

This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the NRC’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making the report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process.

The committee thanks the following individuals for their participation in the review of this report: Paul H. Bingham, Global Insight, Washington, D.C.; Lillian C. Borrone, Avon-by-the-Sea, New Jersey; G. Edward Dickey, Independent Consultant, Baltimore, Maryland; David Fluharty, University of Washington, Seattle; Damian J. Kulash, Washington, D.C.; Eugene K. Pentimonti, Maersk, Inc., Arlington, Virginia; and Craig E. Philip, Ingram Barge Company, Nashville, Tennessee. Although the reviewers provided many constructive comments and suggestions, they were not asked to endorse the committee’s findings, conclusions, or recommendations, nor did they see the final draft before its release. The review of this report was overseen by Lester A. Hoel, University of Virginia, Charlottesville. Appointed by NRC, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of the report rests solely with the authoring committee and the institution.

Suzanne Schneider, Associate Executive Director, TRB, managed the report review process. The report was edited and prepared for publication

by Norman Solomon under the supervision of Javy Awan, Director of Publications. Special thanks go to Frances Holland for providing project administrative support.

NRC National Research Council

TRB Transportation Research Board

NRC. 1998. Double-Hull Tanker Legislation: An Assessment of the Oil Pollution Act of 1990. National Academy Press, Washington, D.C.

NRC. 2001. Inland Navigation System Planning: The Upper Mississippi River–Illinois Waterway. National Academy Press, Washington, D.C.

TRB. 2001. Special Report 259: Environmental Performance of Tanker Designs in Collision and Grounding: Method for Comparison.National Research Council, Washington, D.C.

TRB. 2002. Special Report 270: Deterrence, Protection, and Preparation: The New Transportation Security Imperative. National Research Council, Washington, D.C.

TRB. 2003a. Special Report 271: Freight Capacity for the 21st Century. National Research Council, Washington, D.C.

TRB. 2003b. Special Report 274: Cybersecurity of Freight Information Systems: A Scoping Study. National Research Council, Washington, D.C.

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