Linking participation, program design and outcomes; voluntary air quality programs at the ports of Los Angeles and Long Beach

An increase in global trade has increased transportation related environmental externalities in urban areas. Particularly noticeable is the contribution to air quality problems due to emissions from ships, trucks, rail and other cargo handling equipment. Because local jurisdictions often lack authority over these sources, voluntary, incentive based programs have emerged as an alternative to traditional top down regulation or market based solutions. By using both quantitative and qualitative methods, this dissertation expands understanding of how voluntary programs operate. Much previous work concentrates on a single aspect of a voluntary program or a single motivation for participation. Through detailed case studies, this dissertation provides a more holistic picture of how voluntary programs work. Program design, the surrounding context and operator motivations for participation were explored as they lead to program outcomes.;Three theories to explain participation in voluntary programs, including social legitimacy, regulatory pressures and economic motivations, were investigated. The linkages between these motivations and program design were explored as they led to participation and program outcomes. Two cases were selected from the Ports of Los Angeles and Long Beach. The first is the Vessel Speed Reduction program, an example of a negotiated agreement that asked vessels to slow down as they approached the coast, thereby burning less fuel and emitting fewer emissions close to shore. The second is the Cargo Handling Equipment Retrofit program, an example of a regulator designed program where the ports financed the addition of Diesel Oxidation Catalysts to Cargo Handling Equipment. In the VSR case, it was determined that an easy program in a context of high social and regulatory pressures led to roughly a 50% reduction in emissions over an estimated business-as-usual scenario. Both qualitative and quantitative analysis show that strong social and regulatory pressures contributed to participation more than specific program incentives. In the CHE case, participation occurred because of the ease of the program and the desire to maintain good relationships with port officials. Despite almost complete participation, program outcomes were limited by the technology available. This study found that program design is a key element as programs must be simple enough to encourage participation, but effective enough to achieve environmental goals. Despite the ease of programs, risk and uncertainty must also be eliminated for voluntary efforts to work. By using a mixed methods case study approach, this dissertation provided enhanced understanding of the multiple elements that contribute to the outcomes of a voluntary program.