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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
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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.