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HMCRP
HAZARDOUS
MATERIALS
COOPERATIVE
RESEARCH
PROGRAM
REPORT 5
Sponsored by the
Pipeline and Hazardous
Materials Safety
A Guide for Assessing Administration
Community Emergency Response
Needs and Capabilities for
Hazardous Materials Releases
OCR for page R2
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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HAZARDOUS MATERIALS COOPERATIVE RESEARCH PROGRAM
HMCRP REPORT 5
A Guide for Assessing
Community Emergency Response
Needs and Capabilities for
Hazardous Materials Releases
BATTELLE MEMORIAL INSTITUTE
Columbus, OH
Subscriber Categories
Administration and Management · Education and Training · Environment · Highways · Marine Transportation ·
Motor Carriers · Planning and Forecasting · Public Transportation · Railroads · Security and Emergencies
Research sponsored by the Pipeline and Hazardous Materials Safety Administration
TRANSPORTATION RESEARCH BOARD
WASHINGTON, D.C.
2011
www.TRB.org
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HAZARDOUS MATERIALS COOPERATIVE HMCRP REPORT 5
RESEARCH PROGRAM
The safety, security, and environmental concerns associated with Project HM-03
transportation of hazardous materials are growing in number and ISSN 2150-4849
complexity. Hazardous materials are substances that are flammable, ISBN: 978-0-309-15545-8
explosive, or toxic or that, if released, produce effects that would threaten Library of Congress Control Number 2011923463
human safety, health, the environment, or property. Hazardous materials
© 2011 National Academy of Sciences. All rights reserved.
are moved throughout the country by all modes of freight transportation,
including ships, trucks, trains, airplanes, and pipelines.
The private sector and a diverse mix of government agencies at all levels
are responsible for controlling the transport of hazardous materials and for COPYRIGHT INFORMATION
ensuring that hazardous cargoes move without incident. This shared goal Authors herein are responsible for the authenticity of their materials and for obtaining
has spurred the creation of several venues for organizations with related written permissions from publishers or persons who own the copyright to any previously
interests to work together in preventing and responding to hazardous published or copyrighted material used herein.
materials incidents. The freight transportation and chemical industries; Cooperative Research Programs (CRP) grants permission to reproduce material in this
government regulatory and enforcement agencies at the federal and state publication for classroom and not-for-profit purposes. Permission is given with the
levels; and local emergency planners and responders routinely share understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA,
FMCSA, FTA, RITA, or PHMSA endorsement of a particular product, method, or practice.
information, resources, and expertise. Nevertheless, there has been a long- It is expected that those reproducing the material in this document for educational and not-
standing gap in the system for conducting hazardous materials safety and for-profit uses will give appropriate acknowledgment of the source of any reprinted or
security research. Industry organizations and government agencies have reproduced material. For other uses of the material, request permission from CRP.
their own research programs to support their mission needs. Collaborative
research to address shared problems takes place occasionally, but mostly
occurs on an ad hoc basis. NOTICE
Acknowledging this gap in 2004, the U.S. DOT Office of Hazardous
The project that is the subject of this report was a part of the Hazardous Materials
Materials Safety, the Federal Motor Carrier Safety Administration, the
Cooperative Research Program, conducted by the Transportation Research Board with the
Federal Railroad Administration, and the U.S. Coast Guard pooled their approval of the Governing Board of the National Research Council.
resources for a study. Under the auspices of the Transportation Research
The members of the technical panel selected to monitor this project and to review this
Board (TRB), the National Research Council of the National Academies report were chosen for their special competencies and with regard for appropriate balance.
appointed a committee to examine the feasibility of creating a cooperative The report was reviewed by the technical panel and accepted for publication according to
research program for hazardous materials transportation, similar in concept procedures established and overseen by the Transportation Research Board and approved
to the National Cooperative Highway Research Program (NCHRP) and the by the Governing Board of the National Research Council.
Transit Cooperative Research Program (TCRP). The committee concluded, The opinions and conclusions expressed or implied in this report are those of the
in TRB Special Report 283: Cooperative Research for Hazardous Materials researchers who performed the research and are not necessarily those of the Transportation
Research Board, the National Research Council, or the program sponsors.
Transportation: Defining the Need, Converging on Solutions, that the need for
cooperative research in this field is significant and growing, and the The Transportation Research Board of the National Academies, the National Research
committee recommended establishing an ongoing program of cooperative Council, and the sponsors of the Hazardous Materials Cooperative Research Program do
not endorse products or manufacturers. Trade or manufacturers' names appear herein
research. In 2005, based in part on the findings of that report, the Safe, solely because they are considered essential to the object of the report.
Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for
Users (SAFETEA-LU) authorized the Pipeline and Hazardous Materials
Safety Administration (PHMSA) to contract with the National Academy of
Sciences to conduct the Hazardous Materials Cooperative Research Program
(HMCRP). The HMCRP is intended to complement other U.S. DOT
research programs as a stakeholder-driven, problem-solving program,
researching real-world, day-to-day operational issues with near- to mid-
term time frames.
Published reports of the
HAZARDOUS MATERIALS COOPERATIVE 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 HMCRP REPORT 5
Christopher W. Jenks, Director, Cooperative Research Programs
Crawford F. Jencks, Deputy Director, Cooperative Research Programs
William C. Rogers, Senior Program Officer
Eileen P. Delaney, Director of Publications
Natalie Barnes, Editor
HMCRP PROJECT 03 PANEL
Gordon L. Veerman, New Lenox, IL (Chair)
Timothy P. Butters, City of Fairfax Fire Department, Fairfax, VA
Stanley Kimura, Northbrook Fire Department, Northbrook, IL
Phil Olekszyk, World Wide Rail, Inc., Gloucester, VA
Mariana Ruiz-Temple, Oregon Office of State Fire Marshal, Salem, OR
Robert D. Jaffin, International Association of Emergency Managers Liaison
Richard Moskowitz, American Trucking Associations Liaison
Richard Raksnis, CHEMTREC Liaison
Ann Purdue, TRB Liaison
AUTHOR ACKNOWLEDGMENTS
Battelle Columbus, Ohio, along with team members Visual Risk Assessment and Virginia Tech Univer-
sity, prepared A Guide for Assessing Community Emergency Response Needs and Capabilities for Hazardous
Materials Releases (Guide) under HMCRP Project 03. Dr. Arthur Greenberg was the project manager for
Battelle. Contributing authors for this Guide are Dr. Mark Lepofsky of Visual Risk Assessment, Dr. Kitty
Hancock of Virginia Tech University, and Dr. Tom McSweeney of Battelle. Battelle acknowledges the
guidance and support of the HMCRP Project 03 panel members.
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FOREWORD
By William C. Rogers
Staff Officer
Transportation Research Board
HMCRP Report 5: A Guide for Assessing Community Emergency Response Needs and Capa-
bilities for Hazardous Materials Releases presents comprehensive, step-by-step guidance on
assessing hazardous materials emergency response needs at state, regional, and local levels;
matching state, regional, and local capabilities with potential emergencies involving differ-
ent types of hazardous materials; and assessing how quickly resources can be brought to bear
in an emergency. The methodology described in the Guide is designed to be scalable, allow-
ing the implementation results to be aggregated at the local level up through regional, state,
and national levels. Also, the Guide is designed to connect as many components as possible
to already-established standards, guidelines, regulations, and laws, so that the Guide will
remain current as these underlying components are updated. In addition, the Guide dis-
cusses appropriate means for maintaining currency of the information over time.
The Guide and accompanying spreadsheet tool (on the attached CD-ROM), which leads
planners through the assessment process, will be most useful for local jurisdictions that have
limited resources and expertise in hazardous materials emergency response planning.
Federal health, safety, and environmental regulations address emergency response plan-
ning and preparations in the event of a hazardous materials release. The Emergency Pre-
paredness and Community Right-to-Know Act of 1986 (EPCRA), enacted as Title III of the
Superfund Amendments and Reauthorization Act of 1986 (SARA), calls for State Emer-
gency Response Committees (SERCs) and their designated Local Emergency Planning
Committees (LEPCs) to plan and prepare for such hazardous materials releases. However,
few efforts have been made at the national, state, or regional levels to identify capable
response teams, to match their capabilities with potential emergencies involving different
types of hazardous materials, or to assess how quickly resources can be brought to bear in
an emergency.
Under HMCRP Project 03, Battelle was asked to develop a guide to address (1) conducting
state, regional, and local hazardous material emergency needs assessments; (2) developing,
maintaining, and sharing capability assessments; (3) aligning assessed needs with various
levels of capability; and (4) identifying shortfalls where additional or different capabilities
are warranted.
The Guide addresses materials that are transported commercially under the auspices of
the U.S.DOT Hazardous Materials Regulations as found in Title 49 of the Code of Federal
Regulations. The scope of the Guide includes the storage of materials incidental to trans-
portation (including at facilities at both the origin and destination) as well as along any trans-
portation corridor and the storage, handling, and processing of materials at fixed facilities.
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CONTENTS
1 Introduction
3 How to Use This Document
5 Chapter 1 Overview of the Approach
5 Use of the Risk Assessment Tool
5 Balancing Assessment with Planning Capabilities
of a Local Emergency Response Organization
7 Developing a Hazmat Portfolio
7 Defining the Risk Metric
8 Hazard
8 Vulnerability
9 Consequence
9 Emergency Response Capability
9 Response Time
9 Summary of Risk Metric Evaluation Steps
11 Chapter 2 Assessing Emergency Response Capability
11 Team Definition/Organization
11 Terminology to Represent Emergency Response Capability
12 Defining Emergency Response Capability Tiers
15 Determining Your Teams' Capability Tiers
16 Chapter 3 Defining Your Jurisdictional
Emergency Response Objectives
16 Determining Your Jurisdictional Class
16 Establishing Your Performance Objectives
22 Chapter 4 Identifying Hazardous Materials
in Your Jurisdiction
22 Hazardous Materials Covered
22 Material Categorization--Incident Release Types
24 Performing a Hazard Survey
24 Additional Sources of Information
25 Documentation--Creating a Hazardous Materials Portfolio
26 Facilities (Fixed Sources)
26 Transportation Corridors (Mobile Sources)
28 Chapter 5 Potential Consequences of Incidents
Involving the Identified Hazardous Materials
28 Defining Consequences
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29 Estimating Consequences
29 Estimating Human-Health Consequences
31 Estimating Environmental Consequences
32 Selecting the Consequence Value
33 Chapter 6 The Mitigating Effects of Emergency Response
33 Determining the Response Capability Tier
33 Emergency Response Capability Factor
35 Response Time
35 Response Time Objectives
35 Response Time Factor
36 Quantifying the Mitigating Effects
37 Chapter 7 Aligning Hazardous Materials
with Varying Levels of Capability
37 Adding Risk to the Hazardous Materials Portfolio
39 Hazardous Materials Portfolio Example
41 Chapter 8 Identifying Shortfalls where Additional/Different
Capabilities Are Warranted
42 Chapter 9 Approaches for Addressing Identified Shortfalls
42 Improving Emergency Response Capabilities
42 Reallocating Resources
43 Mutual-Aid Agreements
43 Hazardous Materials Route Restrictions
44 Chapter 10 Sustaining the Process
44 Maintaining Emergency Response Capability Assessments
44 Sharing Emergency Response Capability Assessments
45 Acronyms
A-1 Appendix A Information Sources
B-1 Appendix B Estimating Vulnerability
C-1 Appendix C Estimating the Consequence Term
in the Risk Metric Equation
D-1 Appendix D Additional Details on Capability Assessment
E-1 Appendix E Estimating Emergency Response Times
F-1 Appendix F Bibliography
G-1 Appendix G Final Report for HMCRP Project 03
Note: Many of the photographs, figures, and tables in this report 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.
