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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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Suggested Citation:"Chapter 2 - Research Approach." National Academies of Sciences, Engineering, and Medicine. 2011. Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security. Washington, DC: The National Academies Press. doi: 10.17226/14526.
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10 The project consisted of performing the following tasks: 1. Conduct a survey and document emerging technologies (short term and long term) that have potential application to Hazmat transportation safety and security. 2. Develop criteria for selecting the most promising tech- nologies. 3. Develop a preliminary list of the most promising technolo- gies based on the aforementioned criteria. 4. Develop a detailed work plan for more in-depth exploration of the most promising technologies. 5. Submit an interim report documenting Tasks 1 through 4 for review by the HMCRP Project 04 panel. 6. Upon approval by HMCRP Project 04 panel, execute the work plan developed in Task 4 and develop recommen- dations for advancing the most promising technologies. 7. Prepare a final report documenting the entire research effort. The following sections describe the approach followed through the project’s task progression. Definitions of acronyms are found in Appendix A. 2.1 Research and Information Gathering To understand the challenge of protecting Hazmat ship- ments, consider first the U.S. transportation system which encompasses the following: • 452 commercial airports • 361 major seaports • 3.9 million miles of public roads • 140,000 miles of major railroads • 25,000 miles of commercial navigable waterways – million miles of pipelines, including 2.2 million miles of hazardous liquid and natural gas pipeline (2). Each year, 3.1 billion tons of Hazmat are transported throughout the United States by truck, rail, pipeline, and water. • More than 800,000 Hazmat shipments are transported daily • 500,000 daily shipments involve chemical and allied products • 300,000 daily shipments involve petroleum products • 10,000 daily shipments involve hazardous and medical waste • 94 percent of individual shipments are carried by truck • 5 percent of individual shipments are carried by air • Less than 1 percent of individual shipments are carried by rail, pipeline, and water; however, these shipments are the largest (3) • 1.2 million trucking companies operate 15.5 million trucks including 42,000 Hazmat trucks • 10 million licensed commercial vehicle drivers include 2.7 million Hazmat drivers (4). To appreciate the significance and departure point for iden- tification of emerging technologies applicable to Hazmat trans- portation, it is appropriate to be aware of existing safety and security systems as well as current and planned research. The following discussion of these topics is intended to be illustrative, not all inclusive. Within the past decade, the transportation industry includ- ing Hazmat transport has undergone a remarkable technolog- ical revolution. Carriers and shippers have adopted a number of new technologies to optimize their productivity and min- imize the costs of their operation. Many new technologies for transportation have been developed in recent years, and others are in planning or development stages. Advances in motor vehicle technologies are edging closer to the time when the technologies will be able to drive the vehicle. Sensors pro- vide information to systems that improve both performance and safety. Engine and performance information can be read remotely. In-vehicle sensors can be tied to the vehicle’s system in a way that allows automatic adjustment of settings accord- ing to the vehicle’s speed, steering, and road surface conditions. C H A P T E R 2 Research Approach

11 With adaptive cruise control, vehicles equipped with radar can look hundreds of feet ahead for safe positioning or colli- sion warning. An adaptive cruise control (ACC) system can adjust speed and following distance with collision warnings and automatic triggering of brakes. While ACC works only at speeds of greater than 25 mph, the next version, called Full Speed Range ACC, will work if the vehicle is traveling very slowly or is even stopped (5). There are systems to warn of lane drift, side collision alert, or the presence of another vehicle in the visual blind spot (6). Roll alert sensors can help prevent tank trucks, such as those that carry Hazmat, from turning over. One prominent development effort is the U.S. Department of Transportation’s (U.S. DOT’s) IntelliDriveSM initiative (NOTE: use of the term IntelliDriveSM is with U.S. DOT’s per- mission). This initiative includes the establishment of tech- nologies that wirelessly link vehicles with the transportation infrastructure and with value-added services using, among others, dedicated short range communications (DSRC) and commercial cellular networks. Significant research has been devoted to the study and application of communications tech- nologies that would support wireless data exchange and the integration of vehicles with the national transportation infra- structure. This communication between vehicle and roadside (and more recently, advances in the capability of vehicle-to- vehicle communication) make it possible that this research will lead to advances in Hazmat transportation safety and security for motor carriers (7). If the IntelliDriveSM initiative is successful in integrating wireless communications as commonplace on Hazmat vehi- cles in the future, events that are happening with the vehicle will be shared with other vehicles as well as the roadside. For example, if a windshield wiper is operating, that can be an indication of precipitation at that location. If safety systems such as electronic stability control are activated on a vehicle, that activation can be an indication of a slick road surface. A mass of vehicles showing very low velocity will indicate traffic jams. The vehicle could sense a red light and warn the driver to take action or even stop the vehicle if the driver does not appear to be reacting properly (8). In its Hazmat Truck Security Pilot project, the Transporta- tion Security Administration (TSA) researched the state-of-the- practice in Global Positioning System (GPS)/Global Locating System (GLS) tracking and alerting features (9). Concurrently, the system and communication architecture and software were developed. The operational possibilities of a national Hazmat truck tracking center prototype, incorporating a Universal Communication Interface (UCI) for electronic exchange of manifest information, were explored. The Uni- versity of Kentucky, including the Kentucky Transportation Center (KTC) and its partners such as the National Institute of Hometown Security (NIHS), are continuing the work origi- nally developed in the Hazmat Truck Security Pilot. The North American Transportation Security Center program aims to track motor carrier shipments of security-sensitive materials. It seeks to build a functional prototype of a Hazmat truck tracking center and take the tracking center into full opera- tional status through an implementation program (10). The TSA has delineated voluntary security practices (referred to as Security Action Items or SAIs) that they recommend be implemented to increase the security of certain highway security-sensitive materials transported by motor vehicles (11). TSA has conducted research on tracking of bulk Toxic Inhala- tion Hazards (TIH) transported by rail and event-based alerts (12). TSA has also conducted research on technology alterna- tives to Hazmat placarding (13). TSA has instituted grant programs for motor and rail carriers to encourage more wide- spread use of GPS-based locating and alerting systems. The freight rail industry has been involved with much pub- lic and private research. A substantial amount of research has gone into improving rail tank car container integrity, includ- ing the Next Generation Rail Tank Car effort being conducted by a joint project team involving Dow Chemical Company, Union Pacific Railroad, and Union Tank Car Company (14). The Chemical Transportation Emergency Center (CHEM- TREC) assists emergency responders in dealing with incidents involving Hazmat and dangerous goods, and also helps ship- pers of hazardous materials comply with government regu- lations (15). The partnerships between CHEMTREC and CSX Railroad involving CSX’s Network Operating Work- station (NOW) system have produced a working model of cooperation for response to rail Hazmat incidents. There are additional agreements between CHEMTREC and Dow Chemical that provide in-transit visibility for Dow’s rail Hazmat shipments. Operation Respond Emergency Information System (OREISTM) is a software tool that provides emergency re- sponders with crucial information for dealing with incidents involving railroads and highways, including hazardous materials incidents. Among other features, OREISTM provides emergency responders with real-time information about the chemical contents of railcars and trucks that have been involved in an incident. The software also contains equip- ment schematics of tank cars, bulk containers, Hazmat trucks, and locomotives. A number of reports give insight into the types of tech- nologies that are commercially available and in use for var- ious transportation modes capable of transporting Hazmat. For example, relevant highway mode publications include the following: • Federal Motor Carrier Safety Administration (FMCSA) Vehicle Immobilization Technologies (16) • FMCSA Untethered Trailer Tracking and Control System (17)

12 • FMCSA Expanded Satellite-Based Mobile Communications Tracking System Requirements (18) • FMCSA Hazardous Materials Safety and Security Opera- tional Test (19), especially its technology compendium • TSA Hazmat Truck Security Pilot/National Truck Tracking Center Prototype (20) (an update to the FMCSA technology compendium) • International Truck & Engine Corporation Homeland Security for the Trucking Industry (21). The HMCRP Project 04’s objective took a distinctly dif- ferent direction from much of the prior research in that it is focused on technologies that are not yet in the commer- cial marketplace. The project solicitation directs that “This research reviewed generic technologies and did not evaluate specific name-brand products.” Therefore, the technologies being sought are in some stage of development whether by a company, laboratory, university, or consortium. The HMCRP Project 04 searched for these technology developments out to a 15-year horizon. It also looked at technologies that can benefit all five transportation modes: highway, rail, marine, air, and pipeline. (NOTE: the terms highway mode and truck mode are used somewhat interchangeably in this document, as are the terms marine and maritime.) The HMCRP Project 04 panel emphasized that the team should not limit its research to the United States. 2.2 Assumptions and Observations At the HMCRP Project 04 kickoff meeting, participants covered a number of aspects of Hazmat transportation and from that drew observations that helped frame project under- standing for the eventual research approach. Discussions among team members and with an outside Hazmat author- ity produced dozens of observations pertinent to the task. Among the more significant of these are the following: • Evolutions to current products are as valid as new develop- ments and would be expected to be more numerous than new developments. • Some Hazmat transportation occurs in closed systems with many existing controls. This applies to the air mode as well as surface transportation under controlled measures such as the Department of Defense (DOD) Defense Transporta- tion Tracking System (DTTS) or the DOE’s Transportation Tracking and Communications (TRANSCOM) System. • Packaging of multiple technologies can produce a poten- tially large benefit. • A technology that can provide benefits across multiple modes is attractive. • There may be vulnerabilities and gaps, with some larger than others; the most important of these gaps warrant pri- ority consideration. • Hazmat is often stolen for its value, not for terrorist pur- poses (e.g., cyanide used for gold mining, increasing thefts of gasoline as costs rise). • The majority of promising technologies in the future are expected to evolve from current technologies that are capa- ble of multiple functionalities and enhancements. • Most new technologies with promise for Hazmat trans- portation are not DOD derivatives; they are coming from commercial product development. • Some technologies that were not designed specifically for Hazmat may still offer large benefits to Hazmat (e.g., anti- rollover technology). • Safety and security are given essentially equal treatment in the project solicitation; however, efficiency, cost, and safety are well ahead of security as the main reasons why technolo- gies are implemented for Hazmat transportation in the current environment. • If security can be added on top of safety, it is easier than basing a business decision on security alone. There are few pure security tools on the market. • Hazmat security is not driving the market for technology— high value is. • However, if a significant incident were to occur involving the intentional release of a high consequence substance, the rela- tive importance of security would be dramatically and quickly escalated. [NOTE: this primarily refers to intentional release of a bulk quantity of a substance such as those classified as Certain Dangerous Cargo (CDC), Especially Hazardous Cargo (EHC), Poison Inhalation Hazard (PIH), and TIH]. • Logistics is now the largest part of product cost in the TIH Hazmat industry. • A high rate of false alarms/false positive alerts can kill a new technology. On the basis of these assumptions and observations, any candidate emerging technology to be considered under this task was assumed to fall into one of three categories: • Evolutionary (i.e., an incremental performance improve- ment to an existing product) • Revolutionary (i.e., something not seen before, such as cer- tain biometrics-based identity management applications) • Application of a technology used in, or being developed for, another industry but not currently adapted to transportation. The team sought to clarify the thrust and boundaries of the research, by clarifying a number of key assumptions prior to fully implementing the research approach. Those assumptions, which were subsequently accepted by the HMCRP Project 04 panel, are as follows: • While the team will not confine its research to the United States when looking for emerging technology developments,

for this project the focus for technology use is Hazmat trans- portation within the United States and by extension Canada, since it is so similar. • The Hazmat transportation phase that the emerging tech- nologies are intended to protect is in-transit—even if not moving. (This usually means the Hazmat is in the cus- tody of someone other than the manufacturer, shipper, or customer. However, it is possible that the product could be not moving but still in the custody of the shipper, for example, at a consolidation point, intermodal exchange, or simply stored enroute for a period of time.) Thus, the team did not seek technologies applicable to safety and security of Hazmat manufacture, storage, loading/unloading, and disposal, although those phases could also benefit from tech- nologies meant for in-transit shipments. • The definition of serious consequence potential (the signifi- cance of which is discussed in Section 2.4.4) does not include the factor of likelihood of occurrence. • Consequence potential is defined for the United States and its rules and regulations. An example of where this might differ outside of the United States is in the pipeline transportation of flammable substances. In the United States, regulations would not permit the pipeline to pass under a high-density residential area as it might in a developing country. • Certain existing technologies that are in use by other industries—but have not been adopted by transportation— are valid candidates for consideration. Strictly speaking, this category of technologies was not addressed by the project solicitation, but rather was considered applicable as “due diligence” to ensure that the most promising technologies are considered. The team adopted two additional assumptions. First, the team considered that to “identify emerging technologies that hold the greatest promise of being introduced . . . ” (from the project solicitation) is comparable to “identify emerging technologies that will have the greatest effectiveness if introduced. . . . ” Second, the team defined the type and quantity of Hazmat for which emerging technologies for safety and security is a concern for this project, as follows: In June 2008, TSA’s Transportation Sector Network Man- agement (TSNM) Highway and Motor Carrier Division pub- lished a list of Tier 1 and Tier 2 Highway Security-Sensitive Materials (HSSMs) with applicable Voluntary SAIs (22). The HSSMs were divided into Tier 1 and Tier 2 materials accord- ing to the risk to national security while being transported in commerce because of the potential use of the material in an act of terrorism. The documentation notes that “The volun- tary security practices have been developed by TSA Office of Transportation Sector Network Management, Highway and Motor Carrier Division after consultation with individ- ual stakeholders including chemical manufacturers, chemical carriers and transportation industry representatives, as well as appropriate Federal agencies.” This documentation included a matrix consisting of the DOT Hazard Class (33 listings); Threshold Quantity (which is “any quantity” for some substances such as Division 1.1-1.3 explosives); Tier Level (1 or 2); and SAIs including the cat- egories of General Security, Personnel Security, Unauthorized Access (detection and prevention), and En-Route Security (see 49 CFR 171.8 for definitions of these hazard classes and threshold quantities). In May 2009, TSA added another cat- egory of Hazmat that was originally intended to be among the Tier 2 HSSMs. While TSA’s recommendations only apply to the highway mode, the HMCRP Project 04 team believed that the matrix provided a comprehensive list and recognized TSA’s Hazmat Class listing as the team’s assumption of the types and quan- tities of Hazmat that apply to this project. [NOTE: among the total 23 SAIs in the TSA documenta- tion, several appear to relate directly to technologies. Two are within the category of Unauthorized Access (Access Con- trol System for Drivers and Access Control System for Facil- ities Incidental to Transport; access control as defined here may include a biometric component.) Five of the SAIs are within the category of En-Route Security (Seals, Locks, Trac- tor Activation Capability, Panic Button Capability, and Trac- tor and Trailer Tracking Systems). Tractor activation requires driver identification by login and password or biometric data to drive the tractor (truck). “Panic Button” technology enables a driver to remotely send an emergency alert notification mes- sage either via Satellite or Terrestrial Communications, and use the remote Panic Button to disable the vehicle. Tractor and Trailer Tracking Systems are intended to incorporate satel- lite and land-based wireless GPS communications systems, geofencing and route monitoring capabilities, and the ability to remotely monitor trailer “connect” and “disconnect” events. While the SAIs include measures such as plans, programs, pro- tocols, policies and procedures, processes, and training, other technologies that may be inferred from the items are supply chain tracking and route planning]. Currently, implementation of technologies within the sup- ply chain is predominantly based on the expectation of return on investment (ROI) within a supply chain context. In the for-profit sector, if a technology will not increase efficiencies, reduce costs, or provide a competitive advantage, it is not vol- untarily implemented outside of tests. However, that crite- rion could change overnight if a security incident of national importance occurred in which bulk Hazmat fell into the wrong hands and was successfully used as a weapon of mass destruction. This situation must be considered. (NOTE: In the report, the related disciplines of emergency management, incident response, and first response are referred to under the single term emergency response.) 13

14 2.3 Details of Task 1: Conduct Survey and Document Potential Emerging Technologies A more in-depth characterization of steps followed in the project tasks is provided. 2.3.1 Literature Review The literature search for this project focused on gathering publications, data, and other sources to identify relevant infor- mation concerning potential emerging technologies. Conduct- ing a literature review for HMCRP Project 04 proved to be a challenge. During the literature review process, the first few keyword searches produced a large amount of useful quality information, yet also included many articles that were not rel- evant to the project. Consequently, the team devised a list of simple terms that should be included in the search for new and emerging technologies. This list was segmented into categories, base keywords, modes, and technology. The search was con- fined to English language publications. For currency and rele- vance, the baseline for the search was established as research published on or after January 1, 2007. This literature search was performed by the Battelle Techni- cal Information Center. Searches were approached consistently with a scan of databases in the DIALOG system covering the files in the categories “Transportation” and “Electrical Engi- neering.” A single, comprehensive search statement was used to determine the approximate numbers of results in the var- ious databases within those categories. After ranking the files by the number of potential results, databases in which to perform the search were selected. Among the files searched were Transportation Research Infor- mation Services (TRIS), the National Technical Information Service (NTIS), Energy Science and Technology to cover government-funded research and collections of informa- tion, and Motor Industry Research Association (MIRA) to cover the global automotive industry. Other databases rep- resenting the secondary literature in areas such as electrical engineering, communications and information technologies, and related fields were also considered appropriate. This included the following: • TEME-Technology and Management • Ei Compendex® • Civil Engineering Abstracts • SciSearch® Cited Ref Sci • ANTE: Abstracts in New Technology and Engineering • CMP Computer Full Text • Mechanical and Transport Engineer Abstracts These databases contained pertinent information for extract- ing new technologies. The findings consisted of approximately 917 abstracts, approximately one-third of which were of high or medium importance. In several of the searches, terms such as developments, future, new, novel, state-of-the-art, advances, trends, and emerging were used to identify papers which addressed new and forthcoming technologies. Also, using search terms that included all modes and safety and security, freight, cargo, and shipment as key words increased the relevance of the abstracts obtained. 2.3.2 Patent Searches There were 188 patents granted since 2004 that were iden- tified through the search as being possibly relevant. In these results, the abstract of a technology associated with a patent was generally brief and not particularly informative. Conse- quently, the patent descriptions did not significantly benefit the intent, or add to the process, of the literature review. 2.3.3 Interviews A total of 34 interviews were conducted involving 49 inter- viewees from 24 organizations that included personnel rep- resenting regulators, security agencies, national laboratories, research consulting organizations, academics, carriers and their associations, manufacturers, shippers, technology providers, and emergency responders/incident managers. Interviewees included representatives of all Hazmat transportation modes, and within any one mode there typically was a variety of per- spectives on emerging technologies for Hazmat transporta- tion safety and security. The majority of the interviews were conducted by telephone, and overall the interviewees were helpful in providing names and contact information for other qualified candidates. The interviews served to validate the lists of functional requirements that were concurrently developed by the team as part of the research approach. The interviews also sought to understand interviewees’ perspectives on the technolo- gies available to fill perceived gaps and obstacles to wider deployment of technologies for Hazmat safety and security. Interviewers had a standard format with which to guide the discussions, but the best use of the interviewees’ time often turned out to be letting them expound on areas in which they held strong beliefs or opinions. Appendix B contains the template used for initial research interviews, and Appendix C presents a synopsis of the inter- view results. 2.3.4 Subject Matter Expert (SME) Research The team had a designated lead for each of the five trans- portation modes (i.e., highway, rail, marine, air, and pipeline).

These modal leads were also SMEs who identified developing technologies from a variety of sources. (NOTE: while this research has much in common with the Section 2.3.1 Litera- ture Review, the distinction is that the Literature Review was carried out by library experts using designated terms to search selected databases chosen for their transportation-oriented compilations; SME research was based more on finding or recognizing information relevant to the objectives, whether transportation-related or not.) Among the SME Research resources were a number of online Internet sources, includ- ing periodic newsletters going back to January 1, 2007. One of these is the TRB’s E-Newsletter published weekly (23) and accessible through the TRB website’s publications drop-down (24). Another valuable source that often had links to articles on emerging technologies was the Transportation Communica- tions Newsletter (25), published each workday. Other newslet- ters included the ITS International monthly E-newsletter (26), the “ERTICO” – ITS Europe eNewsletter (27), the Institute for Electrical and Electronic Engineering (IEEE) Intelligent Trans- portation Systems Society Newsletter (28), and periodic news- letters from the Department of Homeland Security (DHS) Lessons Learned Information Sharing (LLIS) site (29). The magazines Thinking Highways and ITS International were reviewed for relevant content. One interesting find as a research tool was the website for the Transport Research Knowledge Centre (TRKC), a project of the European Com- mission’s Directorate General for Energy and Transport. This organization has as its primary aim to disseminate and pro- mote the results of transport research, stimulating knowledge transfer within the European Research Area (ERA) (30). The Massachusetts Institute of Technology (MIT) Technol- ogy Review publishes an annual list of “10 Most Promising Emerging Technologies” (31), generally released in November. Two of the research team’s most promising technology selec- tions appear in these lists, one from the 2009 and one from the 2008 issue. The Association of American Railroads (AAR) Transportation Technology Center, Inc. (TTCI) (32) is a source of much valuable and interesting information on rail tech- nologies and ongoing research. The National Transportation Safety Board (NTSB) maintains a “Most Wanted Technolo- gies” website (33), including links to specific technologies for different modes. SME research was conducted at conferences such as the 2008 and 2009 TRB Annual Meetings of the Hazmat Committee and individual Hazmat presentation sessions and at the 2008 Ohio Hazmat Teams Conference. More than 150 SME research items were part of the research resources, many of which were online articles. One source useful to the preliminary understanding of secu- rity technologies was the November/December 2007 issue of Thinking Highways, which featured an article entitled, “Pre- ventive Measures, ITS Role in the War on Terrorism” (34). Table 2-1 lists the variety of Intelligent Transportation Sys- tems (ITS) sensor or field device technologies from that arti- cle and their utility in Pre-Terrorist and Post-Terrorist Attack. This information represents detection and response capabili- ties for a certain type of Hazmat security concern. The April 2005 FMCSA Hazardous Materials Serious Crash Analysis: Phase 2 Final Report (35) was a useful preliminary ref- erence for Hazmat safety information. A researcher involved in this analysis summarized the causes of spills for Hazmat motor vehicles shown in Table 2-2 (NOTE: this research did not involve other modes such as trains and barges). The first two columns (causes and data) are from the report. The third column (potential technologies) was developed for the team’s consideration based on SME experience. Some of these tech- nologies listed are already being developed and were valid candidates for the research in HMCRP Project 04. 2.3.5 Screened Research List Initial research findings consisted of 917 literature review abstracts, 188 patent abstracts, 34 interviews, and considerable SME research. These findings were subsequently screened for those of greatest apparent significance to the objectives of the project. This screening resulted in a list of 174 technology entries, which included some redundancy. Each entry included information on the following: • Type of source • Technology in terms of both a need and a solution • Transportation mode(s) with which it is associated (high- way, rail, maritime, air, and pipeline) • Technology category (personnel, conveyance, cargo, back office, public sector, and infrastructure, with subcategories in the last three) • Safety and security role • Functional requirements The screened research list became the basis for carrying for- ward a manageable number of technologies into the selection process of Task 2. 2.4 Details of Task 2: Develop Criteria for Selection of Most Promising Technologies Given the very large numbers of technologies that could potentially be considered, the team recognized that a struc- tured, logical, analytic, traceable approach was needed. This approach would be used to seek, identify, collect information on, prioritize, and down-select candidate technologies to arrive at the final list of most promising emerging technologies. The following information provides details on the research approach that was followed. 15

16 2.4.1 Overview of Technology Selection Process After basic data on emerging technologies were gathered and compiled, the team used a systematic analysis approach to down-select the short list of most promising emerging technologies from the universe of technology candidates. The following six steps illustrated in Figure 2-1 describe the approach used to select the most promising technologies (i.e., those that have been identified to receive more detailed exam- ination in the succeeding phases of the HMCRP Project 04). Each step in this process is described in the following sub- sections. A more detailed and thorough explanation of the technology selection process for each mode is described in Appendix D. Section 2.3.4 mentioned that the team had a designated lead for each of the five transportation modes who served as a SME for the technologies involved with that mode. These modal SMEs worked in conjunction with the principal inves- tigator (PI) who also conducted SME research, some of which was on technologies outside of those generally associated with transportation. In addition, the PI identified tech- nologies that were cross-cutting (from a modal standpoint) and intended these selections to be possible tie-breakers, not technologies to over-ride the choices of the modal leads. The modal SMEs’ and PI’s findings were given an internal peer review. The steps shown in Figure 2-1 end with selection of the most promising emerging technologies. After the preliminary list of most promising emerging technologies was generated, several external peer reviewers were asked to evaluate the findings and comment on whether they found the research to be valid and its conclusions supported. The peer review results appear in Appendix E. 2.4.2 Define the Functional Requirements, Technical Capability, and Market Adoptability for Each Mode 2.4.2.1 Functional Requirements The project’s research methodology was based on perform- ing a modal functional requirements evaluation, resulting in a gap rating and aimed at deriving criteria by which the list of ITS Sensor or Other Field Device Pre-Terrorist Attack Post-Terrorist Attack Closed-Circuit Television (CCTV) Surveillance Suspicious Activity Damage Assessment, Evacuation Route Surveillance, Assistance in Attack Area, Security Surveillance, Post- Attack Assistance in Identifying Terrorist Hazmat Vehicle Transporting Hazmat Detection/Location/Reporting Possible Identification of Attack Agent Used Video Identification System (VIDS) Suspicious Vehicle Activity Detection/Location/Reporting Evacuation Route Surveillance Congestion Statistics/Evacuation Progress Reporting Vehicle Detection Sensors (Radar, Microwave, Infra- red, Acoustic, etc.) Detection of Unauthorized Vehicle Entry Supports in Determining Evacuation Route Congestion and Speed (Evacuation Progress) Road Weather Information System (RWIS) Initial Conditions Weather Conditions Impacting Weapons of Mass Destruction (WMD) Plume Propagation Prediction Video License Plate Readers Detection/Identification/Location Report of Vehicle of Interest by Homeland Security Post Attack/Assistance in Identifying Terrorist Vehicle and Identity Dynamic Message Sign Seek Citizen Assistance in Locating a Suspicious Vehicle Identified by DHS Evacuation Messaging to Citizens on Corridors Reversible Lane Signs No Assistance Allocation of Lanes to Evacuation; Closing Vehicle Access to Areas Electronic Pathfinder Signs Special Routing for Special Events in Support of Enhanced Surveillance Dynamic Establishment of Appropriate Evacuation Routes Based on Attack Locations and Pluming Traffic Signal Controllers No Assistance Central Control of Evacuation Route Signalization Commercial Vehicle Electronic Tag Possible Support in Apprehending Illegal Transport of Hazmat Identification of Vehicles Authorized to Support Evacuation Public Works and Police Vehicles Possible Manual Sighting of Suspicious Activity and Reporting to DHS Tracking and Digital Management of Vehicles Associated with Post-Attack Response and Emergency Evacuation Police Vehicle Cameras Automatic License Plate Read/Check Resulting in Possible Detection/Reporting of a Vehicle of Interest to DHS Local/Video Supporting Evacuation Attack Site Security Management and Coordination Security Sensors around Critical Infrastructure Possible Early Detection of Suspicious Activity around Critical Infrastructure Post-Attack Securing of Critical Infrastructure Source: Preventive Measures, ITS Role in the War on Terrorism, Thinking Highways, November/December 2007, with permission of the author. Table 2-1. ITS technologies applicable to pre- and post-terrorist attack.

most promising emerging technologies could be selected. A set of eight generic functional requirements was defined along with three others that apply to certain modes. The functional requirements are described in the following subsections, and the detailed functional requirements and attributes that the team tailored to each mode are provided in Appendix D. The following definitions were generated primarily to provide guidance, clarity, and consistency for the functional requirements evaluation. The definitions helped document the approach followed by the team. Whenever dangerous Hazmat cargo is transported from one point to another (e.g., origin to destination), a number of requirements would ideally be satisfied for the Hazmat to be safely and securely transported. These requirements apply regardless of whether the cargo is in constant movement or stops while enroute. As defined, these requirements are func- tional in nature even though in name they may appear to be tied to regulatory compliance. Each transportation mode under consideration (i.e., high- way, rail, marine, air, and pipeline) was defined as having a Table 2-2. Major causes of truck crashes with Hazmat spills and potential technologies. “Causes” of Hazmat Spills Data Potential Technologies Rollovers Only about 22% of serious crashes but 88% result in spills. Simulator to train drivers in negotiating curves properly Electronic braking system to apply differential braking when negotiating a curve Computer system to record driver speed and steering wheel movements Technology to warn driver when cargo center of gravity is shifting System to wake driver when he/she is about to doze Impaired drivers Impaired drivers have a considerably higher spill to crash rate than unimpaired drivers—30% compared with 15%. Drivers under the influence of alcohol had about a 50% rate. System to wake driver when he/she is about to doze. Could include light-emitting diode (LED) with blue light or alarm system triggered by a nodding head Ignition lock system that screens drivers for alcohol National driver database that provides driver data for such conditions as sleep apnea which may affect driver performance if untreated Enhanced GPS technology to monitor driver location and ensure he/she does not exceed hours of service Young and inexperienced drivers have a higher crash rate Spills occur in 20% of all serious crashes, but for drivers with 3 years of experience or less the rate is 30%. Young drivers, 18 to 24, had the highest percentage of their crashes, 32%, result in spills. For drivers 45 to 54, 15% of the crashes resulted in spills. Use a technology to monitor driving patterns such as speed turn angles, braking. Develop training using simulators to correct problems before a crash results Use tracking technology and instrument sensors to more closely monitor young and inexperienced drivers Use training vehicles equipped with warning technology to alert a new driver to reckless or unsafe actions Two lane and non-divided highways are less safe than divided highways On divided highways, there are 15 spills per 100 crashes but on un-divided highways there are 20 spills per 100 crashes. Use sensor technologies such as sonar and video to identify vehicles close to the truck Use technology to transmit speed limit changes (such as on a curb) into the cab and announce changes in LED display or by voice command Use sonar or radar to identify vehicles during poor visibility conditions such as those associated with smoke and fog Use sensors to transmit ice/temperature on bridges and overpasses into the cab and notify announce in LED display or by voice command Use ITS technology to warn drivers on un- divided highways of problems ahead Source: Columns 1 and 2 adapted from FMCSA Hazardous Materials Serious Crash Analysis: Phase 2 Final Report, April 2005. 17

18 complement of functional requirements associated with that mode. Intermodal aspects were considered within the context of each transportation mode involved. Public sector aspects such as emergency/incident response and regulatory compli- ance were also considered within the context of each trans- portation mode. Pipeline is clearly different with regard to the terms “vehicle, cargo, and operator,” but for consistency those terms are retained. The functional requirements that apply to all modes (with one pipeline-related exception noted) were defined as follows: A. Package Integrity—Package is robust such that material contents are not breached during normal transport oper- ations and typical accident conditions. Capability exists to detect pressure build-up and material release. B. Equipment Reliability—Vehicle and cargo equipment are structurally sound and properly maintained. Capabil- ity exists to detect problems such as engine failure or loss of steering. Vehicle is able to protect its crew from serious injury under most accident circumstances. C. Operator Performance—Operator is able to success- fully maneuver vehicle under normal and off-normal conditions. Capability also exists to sense operator per- formance degradation due to fatigue, acute health prob- lem, substance abuse, etc., and alert the operator and back office to this situation. D. Hazmat Commodity Identification—Ability to identify the cargo being shipped either in person or via remote access. E. Communication—Vehicle operator and back office have two-way communication capability at all times. F. Tracking—Vehicle and cargo location are known at all times. (NOTE: this functional requirement does not apply to pipeline mode.) G. Security—Vehicle, cargo, and operator are resistant to theft, diversion, sabotage, and other intentional acts. H. Emergency Response—Qualified emergency response is delivered to any incident site in a timely manner. In addition to these eight generic functional requirements, there are two functional requirements that apply only to the highway and rail modes: I. Vehicle Identification—Vehicles can be quickly identi- fied by first responders as well as back office personnel. Extract Screened Technologies for Each of Five Modes Define Functional Requirements for Each Mode Evaluate Ability of Mode to Satisfy Functional Requirement Determine Modal Risk Establish Functional Requirement Technology Development Priority for Each Mode Determine Technologies by Need and Priority Break Out Technologies by Importance Select Preliminary Most Promising Emerging Technologies Research Technologies Screen Technologies Technical Capability Need and Market Adoptability Need Modal Activity Level and Serious Consequence Potential Functional Requirement Gap Rating and Mode Importance Rating Peer Review Finalize Most Promising Emerging Technologies List Functional Requirement Gap Rating Mode Importance Rating Figure 2-1. Process for selecting most promising technologies.

J. Hazmat Route Restrictions—Hazmat shipments of certain types are prohibited from using some roadways, bridges, and tunnels. Additionally, motor carriers and railroads may have further route restrictions on trucks and trains haul- ing Hazmat shipments through High-Threat Urban Areas (HTUAs). One functional requirement applies only to the highway mode: K. Driver ID Known—The present system used for identify- ing drivers is the Commercial Drivers License (CDL). Operators of vehicles hauling hazardous materials are required to possess both a valid CDL and a Hazmat En- dorsement. Capability exists to quickly verify that a driver is credentialed to operate a commercial motor vehicle and certified to haul Hazmat. 2.4.2.2 Technical Capability Typically, more than one technology may be available to provide the capability for meeting each of these functional requirements, although there is often a dominant technol- ogy among them. “Technology” is not used in the narrowest sense. That is because receiving an alert that a Hazmat tank truck is outside a geofenced boundary or that a chemical leak has been detected on a rail tank car, for example, may involve GPS and communications technology working in conjunc- tion with back office software. Technical Capability Rating and Rationale. In order to arrive at a technical capability rating for a functional require- ment, a determination was made that took into account all of the perceived individual technology scores for that functional requirement. (“Technical Capability” as used in this sense is not tied to the standardized Technology Readiness Level, or TRL construct.) Thus, each functional requirement received a composite rating from 1 (lowest) to 9 (highest) that rep- resents a subjective determination of the degree to which the technologies associated with it collectively support the com- plete realization of that functional requirement for a trans- portation mode. Ratings of 1–3 are low, ratings of 4–6 are medium, and ratings of 7–9 are high. The capability is pro- vided by existing products. Emerging Technologies That Address Capability Gap. Any technical capability rating of less than 9 by definition reveals a need to some degree: a technology gap that is desir- able to close with emerging technologies or, in some cases, current technologies that have not been previously applied to this functional requirement. At this point in the process, there is no determination of the importance of the gap. These technologies are developmental efforts, not current products. 2.4.2.3 Market Adoptability Even if a technology is represented by one or more prod- ucts that have demonstrated sufficient technical capability, there may be reasons why the technology has not been well- adopted in the market. This may be due to a higher price than the market is willing to bear, an institutional issue such as pri- vacy or liability concerns, technical issues, or unfamiliarity of the transportation community with the possibilities of a tech- nology that has been used successfully for another industry. One such example is GPS locating system communica- tion technology that allows a GPS device to attempt to com- municate by lower-cost terrestrial means, but if several tries are unsuccessful (for example, due to cellular fade zones) the device will switch to satellite communication. This increases reliability but results in extra cost, which is perhaps why the technology is not yet in widespread use. Market Adoptability Rating and Rationale. Each of the technologies that support the technical capability associated with a functional requirement was also rated for market adopt- ability. This subjective adoptability rating was made indepen- dent of the technology’s technical capability. Similar to the technical capability rating, a composite market adoptability rating on a 1–9 scale was derived for the functional require- ment. Ratings of 1–3 are low, ratings of 4–6 are medium, and ratings of 7–9 are high. This is the market adoptability of tech- nologies that are current products. Challenges/Obstacles to Closing Market Adoptability Gap. Any technology’s market adoptability rating of less than 9 indicated there is at least one challenge or obstacle to greater market acceptance. [NOTE: Because a gap in technical capability or market adoptability indicated a need (i.e., the status quo is not fully satisfying the requirement), there is an inverse relationship between a technical capability or market adoptability rating and its corresponding need. Said another way, if a certain technol- ogy is very capable for its functional requirement, the need for equal or more capable technology is low. Similarly, if at least one capable technology has been well-adopted by the marketplace, the need for others to be adopted is low. This is an important distinction to grasp to understand the remaining steps in the research approach and the graphics that support the concept.] 2.4.3 Evaluate the Ability of Each Mode to Satisfy Each of Its Functional Requirements The purpose of this step was to generate a functional require- ment gap rating. This was established using a qualitative rating scale of high, medium, and low, based on the following criteria: (1) technical capability need (extent to which the capability falls short in meeting the functional requirement) and (2) market 19

20 adoptability need (extent to which the market falls short in adopting the capability, if it exists, into operational practice). If the rating of either the technical capability or market adoptabil- ity is high, their need for improvement is correspondingly low. The functional requirements gap ratings are presented for the transport modes of highway, rail, marine, air, and pipeline, respectively, in Tables 2-3 through 2-7. (NOTE: Consider that functional requirement “F. Tracking” does not apply to pipeline mode; functional requirements “I. Vehicle Identification” and “J. Hazmat Route Restrictions” apply only to highway and rail modes; and functional require- ment “K. Driver ID Known” applies only to the highway mode.) 2.4.4 Evaluate the Significance of Each Mode with Respect to Hazmat Transport Safety and Security This step was accomplished by establishing a mode impor- tance rating (high, medium, or low). The rating was based on the following criteria: (1) exposure, as measured by a mode’s annual activity level, and (2) consequence severity—the poten- tial for a serious consequence arising out of an incident involv- ing a Hazmat shipment on that mode as measured by the cargo capacity of a Hazmat shipment on that mode. Although Haz- mat shipment sizes on the air mode are quite small, because an incident would threaten the lives and health of all people aboard the aircraft and perhaps others on the ground, it was assigned a high consequence severity rating. The selected measure for estimating a mode’s annual activity level is ton-miles. The information in Figure 2-2 illustrates Haz- mat shipment ton-miles per four modes of transportation (36): As shown, truck is the dominant mode from a ton-miles perspective, followed by rail and water (marine) at a significant but lower level of activity, with air lagging far behind. Note that valid pipeline data were not available through this source; for pipeline shipments, ton-miles are not shown in the tables. For most of these shipments, respondents to the CFS reported the shipment destination as a pipeline facility on the main pipeline network. Therefore, according to the CFS, for the majority High Medium H. Emergency Response K. Driver ID Known High G. Security High Medium Low A. Package Integrity C. Operator Performance D. HM Commodity ID E. Communication J. HM Route Restrictions Medium F. Tracking High Low Low B. Equipment Reliability I. Vehicle ID Low Medium Market Adoptability Need Rating Low Medium High Technical Capability Need Rating Table 2-3. Functional requirement gap rating—highway. High Medium High F. Tracking High Medium Low C. Operator Performance Medium A. Package Integrity B. Equipment Reliability High G. Security Low Low D. HM Commodity ID I. Vehicle ID J. HM Route Restrictions Low E. Communication H. Emergency Response Medium Market Adoptability Need Rating Low Medium High Technical Capability Need Rating Table 2-4. Functional requirement gap rating—rail.

High Medium High High Medium Low C. Operator Performance Medium F. Tracking G. Security High Low Low A. Package Integrity B. Equipment Reliability D. HM Commodity ID E. Communication Low H. Emergency Response Medium Market Adoptability Need Rating Low Medium High Technical Capability Need Rating Table 2-5. Functional requirement gap rating—marine. High Medium High High Medium Low A. Package Integrity B. Equipment Reliability D. HM Commodity ID H. Emergency Response Medium High Low Low C. Operator Performance E. Communication F. Tracking G. Security Low Medium Market Adoptability Need Rating Low Medium High Technical Capability Need Rating Table 2-6. Functional requirement gap rating—air. High Medium C. Operator Performance High B. Equipment Reliability High Medium Low D. HM Commodity ID H. Emergency Response Medium HighG. Security Low Low A. Package Integrity Low E. Communication Medium Market Adoptability Need Rating Low Medium High Technical Capability Need Rating Table 2-7. Functional requirement gap rating—pipeline. 21

22 of these shipments, the resulting mileage represented only the access distance through feeder pipelines to the main pipe- line network, and not the actual distance through the main pipeline network. However, per the CFS, the number of tons shipped by pipeline is more than six times the tonnage shipped by rail and nearly half that shipped by truck. Based on this information, annual modal activity is rated as high for truck and pipeline, medium for rail and water (marine), and low for air. The selected measure for a mode’s serious consequence potential was the cargo capacity of a single unit of shipment (i.e., truck trailer, rail tank car, barge, etc.). The information in Figure 2-3 was used to delineate shipment size for three of the principal freight modes (using a unit of thousands of gallons of capacity) (37). To give perspective, in general, one barge = 46 rail tank cars = 144 truck tank cars (38). In this instance, barge is the dominant mode at approxi- mately 454,000 gallons per shipment, so marine shipments are assigned a high serious consequence rating. (NOTE: barge is shown in Figure 2-3 as the marine conveyance in the CFS information, but the team considered the high serious conse- quence potential to apply to “blue water,” or open ocean ves- sel shipments as well as “brown water,” or inland waterway shipments.) Source: Mode To n- m ile s 2002 Commodity Flow Survey (CFS), Table 1a, Hazardous Material Shipment Characteristics by Mode of Transportation for the United States: 2002. Figure 2-2. Modal activity levels. Source: M od e Thousands of gallons U.S. Department of Transportation Maritime Administration, Inland Rivers, Ports & Terminals, Inc., website. Figure 2-3. Cargo capacity by mode (thousands of gallons).

At 30,000 gallons per railcar, rail shipments were also assigned a high rating. At 7,600 gallons, Truck, being sig- nificant but at smaller shipment volumes, was assigned a medium consequence rating. Although Hazmat shipments on the air mode are quite small in terms of weight or vol- ume, because an incident would threaten the health of all people aboard the aircraft and perhaps others on the ground, it was also assigned a high consequence rating. Pipeline shipment statistics are not expressed in a way that allows for convenient comparisons to other modes; how- ever, the team evaluated the pipeline serious consequence rating as medium. Combining the measures of modal activity level and poten- tial per shipment consequence allows for the following mode importance ratings listed in Table 2-8. This table contains the importance ratings for all modes and thus is used in combi- nation with other tables in the Modal Screening Process (see Appendix D). 2.4.5 Determine a Technology Development Priority Rating This step determined a rating of high, medium, or low for technology development priority based on the functional requirement gap rating and the mode importance rating. Those functional requirements that receive a high technology devel- opment priority rating were then considered prime candidates for technology development consideration. The functional requirement technology development priority ratings are presented for the transport modes of highway, rail, marine, air, and pipeline, respectively, in Tables 2-9 through 2-13. 2.4.6 Conduct Modal and Capabilities Gap Analysis Review Once the detailed functional requirements had been derived for each of the modes, a lengthy modal screening process High MediumAir High Rail Barge High Medium Low Medium High Truck Pipeline Low Low Low Medium Serious Consequence Potential (Volume Per Shipment) Low Medium High Modal Activity Level (Ton-Miles) Table 2-8. Mode importance rating. High Medium A. Package Integrity B. Equipment Reliability C. Operator Performance D. HM Commodity ID E. Communication I. Vehicle ID J. HM Route Restrictions High F. Tracking H. Emergency Response K. Driver ID Known High G. Security Medium Low Medium High Low Low Low Medium Mode Importance Rating Low Medium High Functional Requirement Gap Rating Table 2-9. Functional requirement technology development priority—highway. 23

24 High Medium C. Operator Performance D. HM Commodity ID E. Communication H. Emergency Response I. Vehicle ID J. HM Route Restrictions High A. Package Integrity B. Equipment Reliability High F. Tracking G. Security Medium Low Medium High Low Low Low Medium Mode Importance Rating Low Medium High Functional Requirement Gap Rating Table 2-10. Functional requirement technology development priority—rail. High Medium A. Package Integrity B. Equipment Reliability C. Operator Performance D. HM Commodity ID E. Communication H. Emergency Response High F. Tracking G. Security High Medium Low Medium High Low Low Low Medium Mode Importance Rating Low Medium High Functional Requirement Gap Rating Table 2-11. Functional requirement technology development priority—marine. High Medium High High Medium Low A. Package Integrity B. Equipment Reliability C. Operator Performance D. HM Commodity ID E. Communication F. Tracking G. Security H. Emergency Response Medium High Low Low Low Medium Mode Importance Rating Low Medium High Functional Requirement Gap Rating Table 2-12. Functional requirement technology development priority—air.

began, as documented in Appendix D. To summarize, for each of the functional requirements, its specific definition was stated for that mode. The technical capability rating, a number from 1–9, was assigned for each functional requirement. The ratio- nale for technical capability rating and a listing of emerging technologies that address the capability gap were provided, each with a discussion. Similarly, the market adoptability rating, itself a number from 1–9, was assigned for each functional requirement. The rationale for market adoptabil- ity rating and a listing of challenges/obstacles to market adoption were provided, each with a discussion. With the technical capability rating and market adopt- ability rating available, a series of graphs were used with low, medium, high metrics. A rating of 1–3 was defined as low, 4–6 was medium, and 7–9 was high. Each of the graphs had 9 cells (3 x 3), and each of the cells was designated as low, medium, or high. The functional requirement gap rating (low, medium, or high) was established for each functional requirement of each mode by graphing the technical capability rating against the market adoptability rating. Graphing serious consequence potential against modal activity level pro- duced the mode importance rating (low, medium, or high), which was the same for each functional requirement within that mode. Graphing the functional requirement importance rating against the functional requirement gap rating produced the functional requirement technology development priority for that mode. The next step was to extract the technologies from the screened research list that applied to a given mode. In extracting the screened technologies, modal leads were not asked to purposely seek any representative balance between technologies whose development horizon is initially per- ceived to be near term (less than 5 years) and far term (from 5–15 years) or to establish any other type of balance, such as between detection and protection technologies. Each modal lead applied the methodology independently, enabling the research team to have a good indication of what technology needs were deemed most compelling. This prepared the team to eventually select those technologies that were considered most promising and worthy of more in-depth investigation. This process appears to have nonetheless resulted in a reason- able balance between the near-term and far-term technologies eventually selected. The research approach was based on (1) the concept of the functional requirement and its technical capability and market adoptability and (2) a gap analysis. This approach gave emphasis to technologies that were not part of a regu- latory response or an ongoing government or industry tech- nology development and specific implementation effort. Thus, while a development priority may currently be great, if there is a funded program to develop and implement technology for it, its need may not be considered as great as in the absence of such a program. In using the extracted screened technologies list for each mode in Appendix D, if any of the technologies extracted was deemed by the research team’s modal lead to be one that addressed a high functional requirement technology devel- opment priority for that mode, it was designated as having special significance in the selection methodology. It was during this stage that the research team briefed the HMCRP Project 04 panel on the research approach. At that point, functional requirements with associated technical capabil- ity and market adoptability assessments and extracted screened technologies had been drafted as packages for the rail, marine, highway, and air modes; the package for the pipeline mode was still in progress. The briefing concentrated on the research approach and how it was designed to produce the selection of most promising technologies, which would be taken for- ward to analysis of the technologies’ perceived paths to the marketplace. High Medium A. Package Integrity D. HM Commodity ID E. Communication H. Emergency Response High C. Operator Performance High B. Equipment Reliability G. Security Medium Low Medium High Low Low Low Medium Mode Importance Rating Low Medium High Functional Requirement Gap Rating Table 2-13. Functional requirement technology development priority—pipeline. 25

26 2.4.7 Determine Technology Need Areas The next step in the research approach was to define group- ings of like technologies for the purpose of structure and perspective. Twelve such groupings were identified, referred to as technology need areas. These twelve areas were initially numbered in the following order: 1. Cargo Content Identification 2. Cargo and Infrastructure Condition Sensors 3. Operator Condition Monitoring Systems 4. Overcoming Communication Gaps 5. Innovative Power Sources for Vehicle Components 6. Vehicle and Cargo Integrity 7. Advanced Cargo Locks and Seals 8. Screening and Inspection 9. Vehicle Location Status 10. Alert and Incident Notification Systems 11. On-Scene Response Capability 12. Operator Access Control. Next, in the “technology by area and redundancy” spread- sheet (not herein due to size), technology need areas that apply to technologies extracted by modal leads from the screened research list were displayed for each mode. The technology need areas were numbered as in the preceding list. To the right in the same row, the technology or technologies associated with that technology need area for that mode were populated, under columns titled “description” and “potential solution.” If the technology was associated with a high priority functional requirement need, it retained the designation of that from the mode’s extracted screened technologies. If it was associated with a medium or low priority functional requirement need, it did not have that designation. A column titled “technology need redundancy” listed other places where that same technology need area appeared on the spreadsheet, by mode and row number. There also appeared 16 technology entries under “principal investigator’s choice of modal cross-cutting technologies.” These were based on SME research findings that the PI considered to be candidate prom- ising technologies that had applicability to multiple modes. Five of these were added subsequent to the screened research list, and three of those were deemed as high priority needs. Finally, technologies were segmented and coded for ease of recognition. 2.4.8 Prioritize Need Areas Table 2-14 shows the technology need areas and their importance ranking as determined by the number of high priority functional requirement gaps in those need areas by mode. The results brought forward from the “technology by area and redundancy” spreadsheet were associated with each technology need area. Along a row, identified by a technol- ogy need area, are intersections with columns representing the technology screening results by mode and by the cross- Technology Need Area Ranking Marine Rail Highway Air Pipeline Cross- Cutting Total High Priority Total Medium- Low Priority 1. Cargo and Infrastructure Condition Sensors xxxxx xx 5 7 2. Vehicle and Cargo Integrity x xx x x 4 5 3. Operator Access Control xx x 4 3 4. Vehicle Location Status 4 5. Alert and Incident Notification Systems x x x xxx 3 6 6. Innovative Power Sources for Vehicle Components xx 3 2 7. Overcoming Communication Gaps x x 3 2 8. Advanced Cargo Locks and Seals x 3 1 9. Cargo Content Identification xxx x 2 4 10. Screening and Inspection x 2 1 11. Operator Condition Monitoring Systems x xx 0 3 12. On-Scene Response Capability xx x 0 3 Key: = high priority functional requirement need x = medium to low priority functional requirement need Table 2-14. Technology need areas ranked by order of importance.

cutting technology grouping. If a technology was associated with a designated high priority functional requirement need area, it is represented as a “” in the cell that marks that intersection of row and column. If it was associated with a medium or low priority need area, it is represented as an “x.” The tally of total high priority “’s” and total medium- low priority “x’s” provided the rationale for how the tech- nology need areas were prioritized in Table 2-14, yielding the technology need area ranking. 2.4.9 Determine Technology Importance by Need and Priority In the “technologies by need and priority” spreadsheet (not herein due to size), the technology need areas appeared as rows in priority order. In each row was the set of technology needs identified by mode or cross-cutting area and the associ- ated row number in the “technology by area and redundancy” spreadsheet. If the technology needs were high priority func- tional requirement needs, they retained that designation. The number of total high priority and total medium-low priority “hits” by technology need area was the same number that was on the prioritization of need areas spreadsheet described in Section 2.4.8. 2.4.10 Conduct Technology Breakout and Importance In the “technology breakout and importance” spreadsheet (not herein due to size), 72 individual technologies were listed across the top. These technologies included some redundan- cies. In each row, which represented a technology need area, the cell that intersected with each separate technology was assigned either a high priority designation or medium-low pri- ority designation. The information with which to make these assignments came from the “technologies by need and prior- ity” spreadsheet. Some technologies were described in slightly different ways in the screened research list and so it was im- portant to note that and consolidate those marks. A prom- inent example is the technology area that was listed as biometrics-based identity management, which also included Chemical Facility Anti-Terrorism Standards (CFATS) cre- dentialing and the Transportation Worker Identification Credential (TWIC), improved locking mechanisms with smart card ID credentialing, universal authentication prac- tices using biometrics-based credentialing, and universal ID card. Any technology that received three or more sym- bols for high priority was designated a preliminary most promising technology selection and was emphasized on the spreadsheet. As expected, the selections generally corre- sponded to the higher priority technology need areas. This was the final step in designing criteria for selection of the most promising emerging technologies. 2.5 Details of Task 3: Select Most Promising Technologies That Address Important Technology Need Areas 2.5.1 Select the Preliminary Most Promising Emerging Technologies The database of emerging technologies prepared by the team was reviewed for technologies whose applications are directed at the identified important technology need areas. There were several long spreadsheets referenced in the pre- vious subsections that were used to break out individual technologies and determine how many high priority needs and total needs were associated with each technology. While those spreadsheets are not included herein, all selected tech- nologies were grouped to appear in a single screen view. That is shown as Table 2-15, which illustrates how the tech- nology areas with the highest number of high priority tech- nology needs emerged as the most promising emerging technology selections. (NOTE: The 12 technology need areas identified in Sec- tion 2.4.7 and prioritized in Section 2.4.8 were useful as a framework for breaking out the most promising emerging technologies. The numbers of high priority and medium- low priority markings in the Table 2-14 technology need areas do not match the numbers in the corresponding Table 2-15 technology need areas, and some of the Table 2-15 technol- ogy need areas do not have entries. The reason in both cases is that the Table 2-15 information is based on discrete tech- nology areas that were identified from the screening process described in Sections 2.4.1 through 2.4.7. References to the most promising technology areas (or just “technology areas”) in the remainder of this report represent a departure from, and should not be confused with, the previous nomenclature of “technology need areas.”) It is important to note that while all of the most promis- ing technology areas identified are generic (i.e., not prod- ucts), only some are specific single technologies (e.g., plastic thin-film organic solar cells and intelligent video tracking and surveillance system). Others are described in terms of a grouping within which there are several related or inte- grated technologies perhaps working as a system (e.g., the categories of advanced locks and seals with remote mon- itoring and networked RFID with GPS/GLS, ubiquitous sensors and cargo monitoring). The container integrity technology category is a collection of technologies that have 27

28 the same goal of strengthening containers, especially large tanks. 2.5.2 Peer Review The results of the Preliminary Most Promising Emerging Technologies with supporting spreadsheets were provided to a group of reviewers from industry and government. These reviewers were sought for the benefit of their background, experience, and perspective on the research approach and its findings. (NOTE: There is TRB guidance on the peer review process used to determine whether technical and scientific papers are worthy of publication. It was explained to the peer reviewers that the material they were provided for review represented findings at an earlier phase of the process. This peer review was valuable because of the project’s need to select a few technologies from a very large number, and to do so in a logical, reasoned approach.) The overarching question for which peer review comments were sought was “Is the research valid, and are the conclu- sions supported?” The peer reviewers were provided with a standardized format to record their thoughts and observa- tions. In that format, there were a number of other questions whose responses were helpful as lessons learned or improved perspective with which to better reach the intended audi- ence for the project’s results. In general, peer reviewers be- lieved that the process and the findings were appropriate. Results of the peer review in the format provided appear in Appendix E. NOTE: The preliminary list of most promising technolo- gies that was briefed to the HMCRP Project 04 panel on March 16, 2009, and that was provided to the peer reviewers included two technology areas that were not retained in the final list. The first was biometrics-based identity management tied to a universal credential for transportation workers. The concept is that there would be a single, universally recognized credential that establishes (a) identity; (b) eligibility to access secure areas; and (c) eligibility to obtain or hold transportation- related licenses, credentials, and other government certifica- tions, required of persons who transport Hazmat by all modes Prioritized Technology Need Area (Below) Pr es su re G au ge s an d Ch em ic al D et ec tio n Se ns or s B io m et ric s- Ba se d Id en tit y M an ag em en t/ I IUn iv er sa l S ec ur ity Cr ed en tia l Fi be r-O pt ic /P ho to ni c Se ns or s an d O pt ic al Sc an ne rs fo r C ar go a nd Fi xe d Po in t M on ito rin g of n fra st ru ct ur e W ire le ss P ow er Pl as tic T hi n- Fi lm O rg an ic So la r C el ls w / F le xi bl e Po ly m er B at te rie s N an op ie zo el ec tro ni cs m pr ov ed L oc ki ng w / F /O 1 Se al s, R F2 , an d Lo w P ow er R FI D a nd R M SA 3 In te lli ge nt V id eo T ra ck in g an d Su rv ei lla nc e Sy st em N et w or ke d RF ID /G PS M on ito rin g/ Ne tw or ke d Ub iq ui to us S en so rs a nd Ca rg o M on ito rin g Co nt ai ne r I nt eg rit y Te ch no lo gi es 1. Cargo and Infrastructure Condition Sensors x 2. Vehicle and Cargo Integrity 3. Operator Access Control x x 4. Vehicle Location Status x x 5. Alert/Incident Notification Systems 6. Innovative Power Sources for Vehicle Components x x 7. Overcoming Communication Gaps 8. Advanced Cargo Locks and Seals 9. Cargo Content Identification 10. Screening and Inspection x 11. Operator Condition Monitoring Systems 12. On-Scene Response Capability Key: = high priority functional requirement need x = medium to low priority functional requirement need 1 F/O = fiber-optic 2 FR = radio frequency 3 RMSA = remotely monitored sealing array Table 2-15. Technology areas with the most high priority needs.

in the United States. The TWIC already had this functional- ity but is not the only transportation credential required or recognized. That technology area was not pursued because while it was being identified by the project team, the HMCRP released a pre-solicitation notice that identified the concept as prospective HMCRP Project 08. The second technology area that was not retained was fast power charge and storage. One recognized problem to making tracking, sensing, alerting, and communications systems more widespread is the lack of power. Like several other technolo- gies, this is an enabling technology in that it helps to provide electrical power for devices of other technologies through its capability to more quickly recharge a battery than with current technology, However, it was determined that the technology had passed into products and was not emerging to the extent that other technology selections were. These removals were not related to the peer review process, but the peer review process resulted in identifying one addi- tion to the list. Based on review comments, the research team recognized that Container Integrity should be included among the most promising technologies due to its importance to the chemical and transportation industries. Container Integrity is an umbrella category representing a variety of different solu- tions to strengthen materials, for example, to provide better protection against puncture. This is a category represented by a number of different structural improvements such as the following: • Specialty and treated steels • Engineered metal structures (e.g., egg crate, honeycomb, lattice block, corrugated) • Structural foams and adhesives • Composites and fiber-reinforced plastics • Insulation and thermal protection • Armor and self-sealing technologies • Impact resistant coatings • Valves and fittings • Railcar couplers (cushioning) Container integrity is clearly considered important to the chemical manufacturing and shipping industries. As an example, the Next Generation Rail Tank Car Project is a joint industry-government initiative to improve the safety of pres- surized tank cars, also known as jacketed pressure cars. These tank cars have generally consisted of a 500 pounds per square inch (PSI) pressure tank around which is several inches of fiberglass, outside of which is a relatively thin steel shell (the jacket). These have been vulnerable to punctures, and the solu- tion was not to simply make the steel shells thicker (which adds weight and requires more fuel to haul). Rather, the Next Gen- eration Rail Tank Car Project has examined other industries to find alternative design approaches that can provide strength and puncture resistance (39). One related technology re- searched on this project involves a urethane compound devel- oped for the military that is sprayed on the outside of fuel tankers that will be hauled by trucks in combat zones. If a bul- let fired at the tank penetrates the outer metal shell, the urethane compound reacts with the fuel in a way that causes it to seal the bullet hole, whereas without the coating the bullet hole would have caused a leak that may have resulted in a conflagration. 2.5.3 Finalization of Most Promising Emerging Technology Selections The preliminary most promising emerging technologies list that was presented to the HMCRP Project 04 panel on March 16, 2009, was adjusted due to the subsequent realiza- tions and peer review interaction. The final most promising emerging technology area selections that resulted are listed in Tables 2-16 and 2-17. Table 2-16 captures and characterizes those most prom- ising technology areas recommended for consideration of fur- ther exploration in Task 6 of the project. The technology areas are segregated into the following groups: • Monitoring and Surveillance • Alternative Power Generation • Infrastructure For each entry, Table 2-16 includes a list of modes that could potentially benefit from implementation of the technology area in addressing functional requirement gaps. Each of the most promising technology areas applies to multiple trans- portation modes. In fact, all technology areas are considered to be able to support all five modes except one (plastic thin- film organic solar cells for the air mode). Table 2-17 provides a more detailed description of the technology areas with their perceived importance to Hazmat transportation. 2.6 Details of Task 4: Develop Detailed Work Plan for More In-Depth Exploration in Phase 2 The Detailed Work Plan for a more in-depth exploration of the most promising near- and longer-term technologies to be carried out in Phase 2 of the project was drawn up as the Most Promising Emerging Technologies selections were being finalized. This assessment was expected to include at least the following: (1) plans currently in place for develop- ment and deployment; (2) additional activities needed to bring the technology to the deployment stage and associ- ated costs; (3) potential interactions with other technologies (both complementary and conflicting); (4) impediments to 29

30 implementation; and (5) opportunities and means of address- ing the impediments. The sources for technology developments were expected to be companies; laboratories, including national laborato- ries; universities; and other government operations. It was recognized that private technology developers would not be as inclined as government organizations to share information such as funding data or details of a design that is intended to become proprietary. A technology developer with a relatively mature technology that is getting close to being ready for the marketplace may be overly optimistic about the technology’s capabilities. The technology developer may lack sufficient test data to provide details on projected operational capability. In general, the farther out the development in time, the more uncertainties and lack of information would be expected to be encountered. When making initial contact with organizations identified as having a role in development of the most promising tech- nologies, research team members were expected to follow the script template found in Appendix F. They were also interested in technology implementation best practices that appeared to be prerequisites for deployment success. It was proposed that team members conduct an online search for the most recent information on the technol- ogy. They would seek to identify as many developers of the most promising technologies as possible, including search- ing website and contact information and bookmarking articles or publications that were in the public domain. Team members would also attempt to establish whether there was a competitive or collaborative approach between or among the developers. In addition, they would try to determine whether the technology developers had the same technical function or market niche in mind and, if there were multiple technology developers, who appeared to be the leader. Any recent information published by the developers on the technologies and their goals, what plans were in place for developing and deploying the technology, and what the developers’ needs and intentions were was also of interest. If the technologies in question were not being developed for transportation applications, team members were pre- pared to help the developer understand how they might be applied to Hazmat transportation (as in the case of wireless power, plastic thin-film organic solar cells, and nanopiezo- electronics, which are not being developed with primarily a transportation market in mind). Queries would also be made to determine how the technology development was being funded. As part of this process, it was anticipated that team members would be able to establish the technology readiness level of the subject technology and consider the roadmap necessary for the technology to reach the marketplace, such as field testing and the cost and schedule impacts associated with those additional efforts. One area of interest in interviewing technology develop- ers was to be in a position to identify and assess actual and potential interactions between the selected technologies and other technologies (whether most promising technologies or not) that could be applied to Hazmat transport. The intent was Most Promising Emerging Technolog y Areas Applicable Transportation Modes Monitoring and Sur ve illance Group Description : Networked RFID/GPS monitoring/networked ubiquitous sensors and cargo monitoring Marine, Rail, Highway, Air, Pipeline Description : Pressure gauges and chemical detection sensors Marine, Rail, Highway, Air, Pipeline Description : Fiber-optic/photonic sensors and optical scanners for monitoring of cargo, or for fixed point monitoring of infrastructure health and environment problems Marine, Rail, Highway, Air, Pipeline Description : Improved locking w/ fiber-optic seals, radio frequency, low power RFID and remote monitoring of seal array Marine, Rail, Highway, Air, Pipeline Description : Intelligent video tracking & surveillance system with capability for automated handoff to sequence of cameras Marine, Rail, Highway, Air, Pipeline Alternativ e Po we r Generation Group Description : Wireless power Marine, Rail, Highway, Air, Pipeline Description : Nanopiezoelectronics Marine, Rail, Highway, Air, Pipeline Description : Plastic thin-film organic solar cells with flexible polymer batteries that never need to be recharged Marine, Rail, Highway, Pipeline Infrastructure Group Description : Container integrity Marine, Rail, Highway, Air, Pipeline Table 2-16. Most promising emerging technology area selections.

31 Technology Description Concept Importance to Hazmat Transportation Monitoring and Sur ve illance Group Net wo rked RFID/GPS/GLS monitoring/ ne tw orked ubiquitous sensors and cargo monitoring This refers to the concept of multiple sensors tied into a central monitoring site where system control functions may also exist. Ubiquitous sensors refers to the concept of a “system of systems,” possibly a nationwide sensor network. If these sensors are deployed on commercial vehicles carrying Hazmat, any alerts or problems with the cargo condition could be detected by fixed sensors at locations such as truck stops, or even by other vehicles. That detection capability could not only enable quicker response to an anomalous condition such as a chemical leak, but could also provide a real-time early-warning system for a wide array of chemical, biological, and nuclear threats across the United States. Pressure gauges and chemical detection sensors NOTE: this is a category of two related technology needs with functionally similar purposes, within each of which is found emerging technologies. Improved sensors that can accurately detect pressure changes and chemical releases with very low false alarm rates. The capability of event-based alerts is limited by sensitivity of sensors as well as their false alarm rates. High false alarm rates are detrimental to the acceptance of any technology being implemented. As the number of Hazmat shipments being tracked continues to increase, the capability of embedded sensors to detect anomalous conditions at lower thresholds and higher reliability is needed so that an alert can be automatically generated. This needed capability also applies to pipelines as well as vehicles. Fiber-optic/photonic sensors and optical scanner s for monitoring of cargo, or for fixed point monitoring of infrastructure health and environment problems Photonics refers to the generation, emission, transmission, modulation, signal processing, switching, amplification, detection, and sensing of light, that in this case carries information. Fiber-optics is a form of photonics. The amount of information capable of being transmitted via photonic means is great. Use of fiber-optics to replace copper wire in aircraft for control mechanisms is being considered. Fiber- optics is being used on some warships in their combat system s and for lighting and illumination devices. Photonics has the potential to provide significant performance improvements such as increase in bandwidth, weight savings, and improved compartment integrity. Application of photonics to other types of vehicles, as well as pipelines and other fixed structures such as tunnels and bridges, may help monitor and detect anomalous conditions at reduced cost. Improv ed locking wi th fiber-optic seals, lo w po we r RFID, and remote monitoring of seal arra y Seals and locks, possibly with advanced encryption and other features that make them very difficult to defeat, that can be remotely monitored for intrusion and system functioning. The ability to protect sealed Hazmat cargo is improved by defeating sophisticated intrusion attempts and reporting their occurrence. Intelligent vi deo tracking and surv eillance sy stem with capability for automated handoff to a sequence of cameras Software capable of capturing the image of a specific vehicle and passing this image from one linked camera to another so that its passage is tracked, if the area of interest has sufficient cameras. This technology uses the current generation of cameras. A Hazmat vehicle carrying especially toxic material could be tracked by a series of video cameras that automatically hand off the truck’s image from camera to camera as it passes through a High-Threat Urban Area. Law enforcement could link video cameras around major cities, map video panoramas to publicly available aerial maps, and use software to provide a higher level of “location awareness” for surveillance. Table 2-17. Characterization of most promising emerging technology areas. (continued on next page)

Technology Description Concept Importance to Hazmat Transportation Alternativ e Po we r Generation Group Wireless po we r Wireless energy transfer or wireless power transmission refers to the process that takes place in a system where electrical energy is transmitted from a power source to an electrical load, without interconnecting wires. Wireless transmission is useful in cases where instantaneous or continuous energy transfer is needed but interconnecting wires are inconvenient, hazardous, or impossible. This is an enabling technology in that it helps to provide electrical power for sensors and other technologies that would be more expensive due to battery maintenance and replacement costs. Nanopiezoelectronics The combined term “nanopiezoelectronics” refers to generation of electrical energy (electricity) at the nanometer scale (e.g., to power nano-devices) via mechanical stress to the nanopiezoelectronic device. For example, bending of a zinc oxide nanowire transforms that mechanical energy into electrical energy; a flag with nanowire could generate power while fluttering. This is an enabling technology in that it helps to provide electrical power for sensors and other technologies that would otherwise be more expensive due to battery maintenance and replacement costs. Plastic thin-film organic solar cells These solar cells are not rigid panels and can be molded into a variety of shapes to occupy space that would not be possible for current conventional solar cells. They operate with flexible polymer batteries that never need to be recharged. This is an enabling technology in that it helps to provide electrical power for sensors and other technologies that would be more expensive due to battery maintenance and replacement costs. Infrastructure Group Container integrity This is a category represented by a number of different structural improvements: Specialty and treated steels Engineered metal structures (e.g., egg crate, honeycomb, lattice block, corrugated) Structural foams and adhesives Composites/fiber-reinforced plastics Insulation and thermal protection Armor and self-sealing technologies Impact resistant coatings Valves and fittings Railcar couplers (cushioning) Improvements to containers such as rail and truck tank cars, casks, and pipelines. The chemical shipping industry considers strengthened containers a top priority. There are a number of approaches being investigated to make large containers better able to withstand impacts without increasing weight. Much of this work is associated with the Next-Generation Rail Tank Car Project. Nanotechnology refers to technology involving manipulation of objects whose dimensions are approximately 1–100 nanometers. The piezoelectric effect refers to applying a mechanical stress (e.g., deformative) to applicable piezoelectric material (e.g., certain ceramics, quartz, etc.) that causes production of an electrical charge. Table 2-17. (Continued). 32 to evaluate those that could work together (i.e., complemen- tary), ones that would be competing in nature, or ones that would be in apparent conflict (e.g., bandwidth issues and fre- quency allocations, and power allocations for equipment on vehicles that provide no hardwired power, such as railcars and untethered trailers). The three technologies related to supply of electrical power (i.e., wireless power, nanopiezoelectronics, and plastic thin film organic solar cells) automatically fell into the category of complementary technologies. They are signifi- cant developing technologies to meet the objectives of this project. Interviews with developers of technologies related to cargo monitoring, sensing, detection, and alerting stated that available power with which to fully use their technologies is one of the key challenges. NOTE: there is an effort that has been underway for the past several years to capture the energy used in slowing freight trains through regenerative braking. This term refers to a mechanism that captures energy otherwise lost as heat in conventional brakes, and it stores or feeds the power back into the locomo- tive’s power supply. Reportedly, the energy used in braking a locomotive throughout a year is about equal to the power used by 160 homes (40). However, it was not perceived that regenerative braking necessarily results in greater availability of power to devices or systems that benefit Hazmat transporta- tion safety and security, so it was not included among the most promising technology selections. Team members were also seeking to determine known, perceived, and expected impediments or hindrances to devel-

oping, deploying, and maintaining the technology. These were expected to include technical, economic, liability, insti- tutional/organizational, and human factors. In the case where impediments were identified, efforts would be made to iden- tify preventive or mitigating factors or workaround tactics that could be applied. Special attention was devoted to any imped- iment perceived to be so large as to seriously jeopardize or even preclude full implementation. 2.7 Details of Task 5: Submit Interim Report Documenting Tasks 1 through 4 The draft interim report covered all activities in the first four tasks. It included the following major sections: • Introduction • Background Research and Information Gathering • Research Approach Overview • Modal Screening Process • Selection of Most Promising Emerging Technologies • Detailed Work Plan for Technology Exploration • Conclusions, Lessons Learned, Next Steps No comments from the HMCRP Project 04 panel required changes to the interim report. Panel acceptance of the report resulted in authorization to proceed with Phase 2 of the proj- ect, starting with execution of the proposed work plan. 33 Technology Area Respondents Interviews Networked RFID, ubiquitous sensors and cargo monitoring Company National Laboratory National Laboratory Company National Laboratory 5 Pressure gauges and chemical detection sensors Company Company (4 related but separate technologies) 5 Fiber-optic/photonic sensors and optical scanners Company 1 Advanced locks and seals National Laboratory Company 2 Intelligent video tracking and surveillance Company Company 2 Wireless power Company Company 2 Nanopiezoelectronics University 1 Plastic thin-film organic solar cells Company Company Company 3 Container integrity USDOT Research Organization Company 2 Total 23 Table 2-18. Type of technology developers interviewed. 2.8 Details of Task 6: Execute Task 4 Work Plan and Develop Recommendations for Advancing the Most Promising Technologies Upon receipt of notice to proceed from the HMCRP Proj- ect 04 panel, a technology developer interview research template was generated (see Appendix F). Simultaneously, researchers conducted primarily Internet searches to determine the organizations that appeared to be desirable candidates for interviews as developers of the nine most promising emerg- ing technologies. When a candidate technology developer was identified, initial contact was typically made by telephone. From the initial contact, team members were able to iden- tify the appropriate person(s) with whom to communicate. Researchers sent the interview research template to the point of contact with a request that it be completed by a certain date with the option for a telephone interview. From this effort, 67 contacts (with a small amount of redundancy) were identified as candidates for interviews, 26 of the organizations were eventually interviewed, and 23 were considered valid for the research objective. Poten- tial interviewees were screened out for one of the following three reasons: • Non-responsive despite repeated requests for interviews • A subsequent determination that the source was not truly developing technology

34 • Those who declined to be interviewed, typically because of the confidentiality of their work The technology developers whose interview results were compiled and analyzed are represented in Table 2-18. While there are 23 interviews listed, one national laboratory is repre- sented by interviews in two technology areas, and one company had four separate interviews. Some organizations provided filled-out interview templates, others gave a verbal interview in which researchers filled out the template, and some did both. As seen in the technology developer interview research tem- plate in Appendix F, confidentiality was promised to all unless researchers were specifically given permission to use the name of the organization. (NOTE: while some organizations did give permission for use of their name, ultimately no organizations interviewed were identified in this report.) The interview findings and resulting analysis are addressed in Chapter 3. Conclusions and recommendations are addressed in Chapter 4. 2.9 Details of Task 7: Prepare Final Report Documenting Entire Research Effort All findings are presented in HMCRP Report 4 including responses to HMCRP Project 04 panel comments resulting from the panel review.

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TRB’s Hazardous Materials Cooperative Research Program (HMCRP) Report 4: Emerging Technologies Applicable to Hazardous Materials Transportation Safety and Security explores near-term (less than 5 years) and longer-term (5–10 years) technologies that are candidates for enhancing the safety and security of hazardous materials transportation for use by shippers, carriers, emergency responders, or government regulatory and enforcement agencies.

The report examines emerging generic technologies that hold promise of being introduced during these near- and longer-term spans. It also highlights potential impediments (e.g., technical, economic, legal, and institutional) to, and opportunities for, their development, deployment, and maintenance.

The research focused on all modes used to transport hazardous materials (trucking, rail, marine, air, and pipeline) and resulted in the identification of nine highly promising emerging technologies.

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