Environmental Performance Measures for State Departments of Transportation (2015)

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N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP REPORT 809 Environmental Performance Measures for State Departments of Transportation Joe Crossett HigH Street ConSulting group Chevy Chase, MD Jeff Ang-Olson iCF international Fairfax, VA Jeff Frantz CH2M Hill Englewood, CO Subscriber Categories Administration and Management • Environment TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2015 www.TRB.org Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed research is the most effective way to solve many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation results in increasingly complex problems of wide inter- est to highway authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniques—the National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRB’s recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRB’s relationship to the Academies is an insurance of objectivity; and TRB maintains a full-time staff of specialists in high- way transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs identified by chief administrators and other staff of the highway and transporta- tion departments and by committees of AASHTO. Topics of the highest merit are selected by the AASHTO Standing Committee on Research (SCOR), and each year SCOR’s recommendations are proposed to the AASHTO Board of Directors and the Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the Acad- emies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving 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 by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America NCHRP REPORT 809 Project 25-39 ISSN 0077-5614 ISBN 978-0-309-37473-6 Library of Congress Control Number 2015947918 © 2015 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this 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, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for 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 from CRP. NOTICE 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 by the National Academies of Sciences, Engineering, and Medicine. 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 Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report.

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Ralph J. Cicerone is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing 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 individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR NCHRP REPORT 809 Christopher W. Jenks, Director, Cooperative Research Programs Christopher Hedges, Manager, National Cooperative Highway Research Program Lori L. Sundstrom, Senior Program Officer Megan A. Chamberlain, Senior Program Assistant Eileen P. Delaney, Director of Publications Kami Cabral, Editor NCHRP PROJECT 25-39 PANEL Field of Transportation Planning—Area of Impact Analysis Christina M. Martinez, Parsons Transportation Group, Seattle, WA (Chair) Cindy Adams, HDR Engineering, Sacramento, CA Damon Fordham, The Cadmus Group, Inc., Arlington, VA Martin E. Kidner, Wyoming DOT, Cheyenne, WY Karuna R. Pujara, Maryland State Highway Administration, Baltimore, MD Jennie Ross, Minnesota DOT, St. Paul, MN William A. Ryan, Oregon Department of State Lands, Salem, OR Joshua Skov, University of Oregon, Eugene, OR Owen Lindauer, FHWA Liaison Christine Gerencher, TRB Liaison

NCHRP Report 809: Environmental Performance Measures for State Departments of Trans- portation identifies potential key environmental performance measures that can be integrated into a state DOT’s performance management program and provides a practical approach for adding environmental performance considerations to the suite of other performance topics that state DOTs routinely monitor, e.g., pavement conditions. The report establishes rela- tionships between agency activities and environmental outcomes thereby providing a means for demonstrating progress and accountability for environmental performance. The report should be of immediate use to DOT executives and senior managers who set performance goals for their agencies, as well as for staff charged with designing and implementing an environmental performance program. A spreadsheet-based “Measure Calculation Tool” was developed to help state DOTs inter- ested in implementing the project’s chosen performance measures. The tool can be used to record the component data needed to calculate the measures. The tool is available for down- load from the project summary webpage at http://www.trb.org/Main/Blurbs/173012.aspx. Transportation performance management is an established and effective practice for build- ing accountability and driving results in transportation agencies. The American Association of State Highway and Transportation Officials (AASHTO); the Federal Highway Administration (FHWA); and others are actively engaged in determining how to implement performance-based management of surface transportation programs in state departments of transportation (DOTs). In 2004, the chief executive officers of the state DOTs established the NCHRP Project 20-24(37) series in recognition of the potential for comparative performance measure- ment to contribute to both continuous improvement and accountability. Nationally, Congress and the U.S. Department of Transportation have also expressed interest in incorpo- rating performance measures in the identification and prioritization of federal investments in transportation infrastructure. A number of potential national comparative performance measures, including environmental performance measures, are suggested for further research in the NCHRP Project 20-24(37G) Report, “Technical Guidance for Deploying National Level Performance Measurements.” Under NCHRP Project 25-39, High Street Consulting Group, Inc., was asked to build on the research conducted under NCHRP Project 20-24(37G) and identify potential compara- tive environmental performance measures that would (1) be meaningful at a state level, (2) enable national comparisons, (3) be implementable in the near-term, and (4) contrib- ute to informing investment decisions. Performance areas investigated included (1) air, (2) water, (3) materials and recycling, (4) energy, (5) greenhouse gases, and (6) biodiversity and habitat, but did not include social and economic impacts, environmental justice, or cultural F O R E W O R D By Lori L. Sundstrom Senior Program Officer Transportation Research Board

resources. For each of the potential measures, the research team associated the measure with environmental outcomes; examined data requirements; calculation methodologies and how to set appropriate baselines; and suggested approaches for integrating the measures into planning, programming, project development, project delivery, and operations and main- tenance functions. NCHRP Report 809 should be useful to agency staff with responsibility for developing and maintaining agencywide performance management systems, and to executive and senior management in identifying policies and actions needed to improve an agency’s environ- mental performance.

1 Summary 4 Chapter 1 Introduction 4 1.1 Transportation, Environment, Performance Management, and MAP-21 4 1.2 Report Framework 5 1.3 A Word of Caution 6 Chapter 2 Environmental Focus Areas 6 2.1 Air Quality 7 2.2 Energy and Climate Change 8 2.3 Materials Recycling 9 2.4 Stormwater 9 2.5 Wildlife and Ecosystems 10 Chapter 3 Core Environmental Performance Measures 10 3.1 Measure Selection Process 11 3.2 Air Quality Measure 12 3.3 Energy and Climate Change Measures 13 3.4 Materials Recycling Measure 14 3.5 Stormwater Measure 16 3.6 Wildlife and Ecosystems Measure 20 Chapter 4 Measure Proof of Concept Testing 23 4.1 Air Quality Measure: Proof of Concept Results 26 4.2 Fleet Alternative Fuels Measure: Proof of Concept Results 32 4.3 Gasoline Consumption Measure: Proof of Concept Results 37 4.4 Materials Recycling Measure: Proof of Concept Results 39 4.5 Stormwater Measure: Proof of Concept Results 43 4.6 Wildlife and Ecosystems Measure: Proof of Concept Results 46 Chapter 5 First Principles for Using Environmental Performance Measures 46 5.1 Performance-Based Decision Making in DOTs 50 5.2 Using Environmental Measures in a DOT 55 5.3 First Principles for Using Performance Targets 58 Chapter 6 Web-Based Measure-Reporting Template C O N T E N T S

64 Chapter 7 Measure Calculation Guidance 64 7.1 Air Quality Measure Methodology 74 7.2 Alternative Fuels Use Measure Methodology 76 7.3 Gasoline Consumption Measure Methodology 76 7.4 Materials Recycling Measure Methodology 77 7.5 Stormwater Measure Methodology 80 7.6 Wildlife and Ecosystems Measure Methodology 84 Chapter 8 Conclusions and Research Next Steps 84 8.1 Suggested Measures 85 8.2 Research Next Steps 88 References 89 Acronyms 90 Appendix A Initial Measure Screening Results 103 Appendix B Wildlife and Ecosystems Self-Assessment Tool (ESAT) 119 Appendix C States’ Performance Data Note: Photographs, figures, and tables in this report may 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.