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

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

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17 Table 2-2. Major causes of truck crashes with Hazmat spills and potential technologies. "Causes" of Data Potential Technologies Hazmat Spills Rollovers Only about 22% of serious Simulator to train drivers in negotiating curves crashes but 88% result in properly spills. 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 System to wake driver when he/she is about to considerably higher spill to doze. Could include light-emitting diode (LED) crash rate than unimpaired with blue light or alarm system triggered by a drivers--30% compared with nodding head 15%. Drivers under the Ignition lock system that screens drivers for influence of alcohol had alcohol about a 50% rate. 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 Spills occur in 20% of all Use a technology to monitor driving patterns inexperienced serious crashes, but for such as speed turn angles, braking. Develop drivers have a drivers with 3 years of training using simulators to correct problems higher crash rate experience or less the rate is before a crash results 30%. Young drivers, 18 to Use tracking technology and instrument sensors 24, had the highest to more closely monitor young and percentage of their crashes, inexperienced drivers 32%, result in spills. For Use training vehicles equipped with warning drivers 45 to 54, 15% of the technology to alert a new driver to reckless or crashes resulted in spills. unsafe actions Two lane and On divided highways, there Use sensor technologies such as sonar and non-divided are 15 spills per 100 crashes video to identify vehicles close to the truck highways are but on un-divided highways Use technology to transmit speed limit changes less safe than there are 20 spills per 100 (such as on a curb) into the cab and announce divided highways crashes. 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. most promising emerging technologies could be selected. A Whenever dangerous Hazmat cargo is transported from set of eight generic functional requirements was defined along one point to another (e.g., origin to destination), a number with three others that apply to certain modes. The functional of requirements would ideally be satisfied for the Hazmat requirements are described in the following subsections, and to be safely and securely transported. These requirements the detailed functional requirements and attributes that the apply regardless of whether the cargo is in constant movement team tailored to each mode are provided in Appendix D. or stops while enroute. As defined, these requirements are func- The following definitions were generated primarily to tional in nature even though in name they may appear to be provide guidance, clarity, and consistency for the functional tied to regulatory compliance. requirements evaluation. The definitions helped document Each transportation mode under consideration (i.e., high- the approach followed by the team. way, rail, marine, air, and pipeline) was defined as having a

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

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19 J. Hazmat Route Restrictions--Hazmat shipments of certain 2.4.2.3 Market Adoptability types are prohibited from using some roadways, bridges, Even if a technology is represented by one or more prod- and tunnels. Additionally, motor carriers and railroads may ucts that have demonstrated sufficient technical capability, have further route restrictions on trucks and trains haul- there may be reasons why the technology has not been well- ing Hazmat shipments through High-Threat Urban Areas adopted in the market. This may be due to a higher price than (HTUAs). the market is willing to bear, an institutional issue such as pri- vacy or liability concerns, technical issues, or unfamiliarity of One functional requirement applies only to the highway the transportation community with the possibilities of a tech- mode: nology that has been used successfully for another industry. One such example is GPS locating system communica- K. Driver ID Known--The present system used for identify- tion technology that allows a GPS device to attempt to com- ing drivers is the Commercial Drivers License (CDL). municate by lower-cost terrestrial means, but if several tries Operators of vehicles hauling hazardous materials are are unsuccessful (for example, due to cellular fade zones) the required to possess both a valid CDL and a Hazmat En- device will switch to satellite communication. This increases dorsement. Capability exists to quickly verify that a driver reliability but results in extra cost, which is perhaps why the is credentialed to operate a commercial motor vehicle and technology is not yet in widespread use. certified to haul Hazmat. Market Adoptability Rating and Rationale. Each of the 2.4.2.2 Technical Capability technologies that support the technical capability associated with a functional requirement was also rated for market adopt- Typically, more than one technology may be available to ability. This subjective adoptability rating was made indepen- provide the capability for meeting each of these functional dent of the technology's technical capability. Similar to the requirements, although there is often a dominant technol- technical capability rating, a composite market adoptability ogy among them. "Technology" is not used in the narrowest rating on a 19 scale was derived for the functional require- sense. That is because receiving an alert that a Hazmat tank ment. Ratings of 13 are low, ratings of 46 are medium, and truck is outside a geofenced boundary or that a chemical leak ratings of 79 are high. This is the market adoptability of tech- has been detected on a rail tank car, for example, may involve nologies that are current products. GPS and communications technology working in conjunc- tion with back office software. Challenges/Obstacles to Closing Market Adoptability Gap. Any technology's market adoptability rating of less Technical Capability Rating and Rationale. In order to than 9 indicated there is at least one challenge or obstacle arrive at a technical capability rating for a functional require- to greater market acceptance. ment, a determination was made that took into account all of [NOTE: Because a gap in technical capability or market the perceived individual technology scores for that functional adoptability indicated a need (i.e., the status quo is not fully requirement. ("Technical Capability" as used in this sense is satisfying the requirement), there is an inverse relationship not tied to the standardized Technology Readiness Level, or between a technical capability or market adoptability rating and TRL construct.) Thus, each functional requirement received its corresponding need. Said another way, if a certain technol- a composite rating from 1 (lowest) to 9 (highest) that rep- ogy is very capable for its functional requirement, the need for resents a subjective determination of the degree to which the equal or more capable technology is low. Similarly, if at least one technologies associated with it collectively support the com- capable technology has been well-adopted by the marketplace, plete realization of that functional requirement for a trans- the need for others to be adopted is low. This is an important portation mode. Ratings of 13 are low, ratings of 46 are distinction to grasp to understand the remaining steps in the medium, and ratings of 79 are high. The capability is pro- research approach and the graphics that support the concept.] vided by existing products. 2.4.3 Evaluate the Ability of Each Emerging Technologies That Address Capability Gap. Mode to Satisfy Each of Its Any technical capability rating of less than 9 by definition Functional Requirements reveals a need to some degree: a technology gap that is desir- able to close with emerging technologies or, in some cases, The purpose of this step was to generate a functional require- current technologies that have not been previously applied to ment gap rating. This was established using a qualitative rating this functional requirement. At this point in the process, scale of high, medium, and low, based on the following criteria: there is no determination of the importance of the gap. These (1) technical capability need (extent to which the capability falls technologies are developmental efforts, not current products. short in meeting the functional requirement) and (2) market

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

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

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

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

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

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25 Table 2-13. Functional requirement technology development priority--pipeline. Medium A. Package Integrity High High D. HM Commodity ID B. Equipment High C. Operator Reliability E. Communication Performance H. Emergency G. Security Mode Response Importance Medium Low Medium High Rating Low Low Low Medium Low Medium High Functional Requirement Gap Rating began, as documented in Appendix D. To summarize, for each lead applied the methodology independently, enabling the of the functional requirements, its specific definition was stated research team to have a good indication of what technology for that mode. The technical capability rating, a number from needs were deemed most compelling. This prepared the team 19, was assigned for each functional requirement. The ratio- to eventually select those technologies that were considered nale for technical capability rating and a listing of emerging most promising and worthy of more in-depth investigation. technologies that address the capability gap were provided, This process appears to have nonetheless resulted in a reason- each with a discussion. Similarly, the market adoptability able balance between the near-term and far-term technologies rating, itself a number from 19, was assigned for each eventually selected. functional requirement. The rationale for market adoptabil- The research approach was based on (1) the concept of ity rating and a listing of challenges/obstacles to market the functional requirement and its technical capability and adoption were provided, each with a discussion. market adoptability and (2) a gap analysis. This approach With the technical capability rating and market adopt- gave emphasis to technologies that were not part of a regu- ability rating available, a series of graphs were used with low, latory response or an ongoing government or industry tech- medium, high metrics. A rating of 13 was defined as low, 46 nology development and specific implementation effort. Thus, was medium, and 79 was high. Each of the graphs had 9 cells while a development priority may currently be great, if there is (3 x 3), and each of the cells was designated as low, medium, a funded program to develop and implement technology for or high. The functional requirement gap rating (low, medium, it, its need may not be considered as great as in the absence or high) was established for each functional requirement of such a program. of each mode by graphing the technical capability rating In using the extracted screened technologies list for each against the market adoptability rating. Graphing serious mode in Appendix D, if any of the technologies extracted consequence potential against modal activity level pro- was deemed by the research team's modal lead to be one that duced the mode importance rating (low, medium, or high), addressed a high functional requirement technology devel- which was the same for each functional requirement within opment priority for that mode, it was designated as having that mode. special significance in the selection methodology. Graphing the functional requirement importance rating It was during this stage that the research team briefed the against the functional requirement gap rating produced the HMCRP Project 04 panel on the research approach. At that functional requirement technology development priority point, functional requirements with associated technical capabil- for that mode. The next step was to extract the technologies ity and market adoptability assessments and extracted screened from the screened research list that applied to a given mode. technologies had been drafted as packages for the rail, marine, In extracting the screened technologies, modal leads were not highway, and air modes; the package for the pipeline mode asked to purposely seek any representative balance between was still in progress. The briefing concentrated on the research technologies whose development horizon is initially per- approach and how it was designed to produce the selection ceived to be near term (less than 5 years) and far term (from of most promising technologies, which would be taken for- 515 years) or to establish any other type of balance, such as ward to analysis of the technologies' perceived paths to the between detection and protection technologies. Each modal marketplace.

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