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HMCRP
HAZARDOUS
MATERIALS
COOPERATIVE
RESEARCH
PROGRAM
REPORT 6
Sponsored by the
Pipeline and Hazardous
Materials Safety
Feasibility of a Consolidated Administration
Security Credential
for Persons Who Transport
Hazardous Materials
OCR for page R2
TRANSPORTATION RESEARCH BOARD 2011 EXECUTIVE COMMITTEE*
OFFICERS
CHAIR: Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore
VICE CHAIR: Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson
EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board
MEMBERS
J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY
Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA
William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles
Eugene A. Conti, Jr., Secretary of Transportation, North Carolina DOT, Raleigh
James M. Crites, Executive Vice President of Operations, Dallas-Fort Worth International Airport, TX
Paula J. Hammond, Secretary, Washington State DOT, Olympia
Michael W. Hancock, Secretary, Kentucky Transportation Cabinet, Frankfort
Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley
Michael P. Lewis, Director, Rhode Island DOT, Providence
Susan Martinovich, Director, Nevada DOT, Carson City
Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington
Tracy L. Rosser, Vice President, Regional General Manager, Wal-Mart Stores, Inc., Mandeville, LA
Steven T. Scalzo, Chief Operating Officer, Marine Resources Group, Seattle, WA
Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO
Beverly A. Scott, General Manager and CEO, Metropolitan Atlanta Rapid Transit Authority, Atlanta, GA
David Seltzer, Principal, Mercator Advisors LLC, Philadelphia, PA
Lawrence A. Selzer, President and CEO, The Conservation Fund, Arlington, VA
Kumares C. Sinha, Olson Distinguished Professor of Civil Engineering, Purdue University, West Lafayette, IN
Thomas K. Sorel, Commissioner, Minnesota DOT, St. Paul
Daniel Sperling, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies; and Interim
Director, Energy Efficiency Center, University of California, Davis
Kirk T. Steudle, Director, Michigan DOT, Lansing
Douglas W. Stotlar, President and CEO, Con-Way, Inc., Ann Arbor, MI
C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin
EX OFFICIO MEMBERS
Peter H. Appel, Administrator, Research and Innovative Technology Administration, U.S.DOT
J. Randolph Babbitt, Administrator, Federal Aviation Administration, U.S.DOT
Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, GA
Anne S. Ferro, Administrator, Federal Motor Carrier Safety Administration, U.S.DOT
LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S.DOT
John T. Gray, Senior Vice President, Policy and Economics, Association of American Railroads, Washington, DC
John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC
David T. Matsuda, Deputy Administrator, Maritime Administration, U.S.DOT
Victor M. Mendez, Administrator, Federal Highway Administration, U.S.DOT
William W. Millar, President, American Public Transportation Association, Washington, DC
Tara O'Toole, Under Secretary for Science and Technology, U.S. Department of Homeland Security, Washington, DC
Robert J. Papp (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security, Washington, DC
Cynthia L. Quarterman, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT
Peter M. Rogoff, Administrator, Federal Transit Administration, U.S.DOT
David L. Strickland, Administrator, National Highway Traffic Safety Administration, U.S.DOT
Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S.DOT
Polly Trottenberg, Assistant Secretary for Transportation Policy, U.S.DOT
Robert L. Van Antwerp (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC
Barry R. Wallerstein, Executive Officer, South Coast Air Quality Management District, Diamond Bar, CA
*Membership as of June 2011.
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HAZARDOUS MATERIALS COOPERATIVE RESEARCH PROGRAM
HMCRP REPORT 6
Feasibility of a Consolidated
Security Credential
for Persons Who Transport
Hazardous Materials
Andrew Marinik
Darrell S. Bowman
Ray Pethtel
Tammy Trimble
VIRGINIA TECH TRANSPORTATION INSTITUTE
Blacksburg, VA
Subscriber Categories
Marine Transportation · Motor Carriers · Freight Transportation · Policy
Research sponsored by the Pipeline and Hazardous Materials Safety Administration
TRANSPORTATION RESEARCH BOARD
WASHINGTON, D.C.
2011
www.TRB.org
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HAZARDOUS MATERIALS COOPERATIVE HMCRP REPORT 6
RESEARCH PROGRAM
The safety, security, and environmental concerns associated with Project HM-08
transportation of hazardous materials are growing in number and ISSN 2150-4849
complexity. Hazardous materials are substances that are flammable, ISBN: 978-0-309-21337-0
explosive, or toxic or that, if released, produce effects that would threaten Library of Congress Control Number 2011933589
human safety, health, the environment, or property. Hazardous materials
© 2011 National Academy of Sciences. All rights reserved.
are moved throughout the country by all modes of freight transportation,
including ships, trucks, trains, airplanes, and pipelines.
The private sector and a diverse mix of government agencies at all levels
are responsible for controlling the transport of hazardous materials and for COPYRIGHT INFORMATION
ensuring that hazardous cargoes move without incident. This shared goal Authors herein are responsible for the authenticity of their materials and for obtaining
has spurred the creation of several venues for organizations with related written permissions from publishers or persons who own the copyright to any previously
interests to work together in preventing and responding to hazardous published or copyrighted material used herein.
materials incidents. The freight transportation and chemical industries; Cooperative Research Programs (CRP) grants permission to reproduce material in this
government regulatory and enforcement agencies at the federal and state publication for classroom and not-for-profit purposes. Permission is given with the
levels; and local emergency planners and responders routinely share understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA,
FMCSA, FTA, RITA, or PHMSA endorsement of a particular product, method, or practice.
information, resources, and expertise. Nevertheless, there has been a long- It is expected that those reproducing the material in this document for educational and not-
standing gap in the system for conducting hazardous materials safety and for-profit uses will give appropriate acknowledgment of the source of any reprinted or
security research. Industry organizations and government agencies have reproduced material. For other uses of the material, request permission from CRP.
their own research programs to support their mission needs. Collaborative
research to address shared problems takes place occasionally, but mostly
occurs on an ad hoc basis. NOTICE
Acknowledging this gap in 2004, the U.S. DOT Office of Hazardous
The project that is the subject of this report was a part of the Hazardous Materials
Materials Safety, the Federal Motor Carrier Safety Administration, the
Cooperative Research Program, conducted by the Transportation Research Board with the
Federal Railroad Administration, and the U.S. Coast Guard pooled their approval of the Governing Board of the National Research Council.
resources for a study. Under the auspices of the Transportation Research
The members of the technical panel selected to monitor this project and to review this
Board (TRB), the National Research Council of the National Academies report were chosen for their special competencies and with regard for appropriate balance.
appointed a committee to examine the feasibility of creating a cooperative The report was reviewed by the technical panel and accepted for publication according to
research program for hazardous materials transportation, similar in concept procedures established and overseen by the Transportation Research Board and approved
to the National Cooperative Highway Research Program (NCHRP) and the by the Governing Board of the National Research Council.
Transit Cooperative Research Program (TCRP). The committee concluded, The opinions and conclusions expressed or implied in this report are those of the
in TRB Special Report 283: Cooperative Research for Hazardous Materials researchers who performed the research and are not necessarily those of the Transportation
Research Board, the National Research Council, or the program sponsors.
Transportation: Defining the Need, Converging on Solutions, that the need for
cooperative research in this field is significant and growing, and the The Transportation Research Board of the National Academies, the National Research
committee recommended establishing an ongoing program of cooperative Council, and the sponsors of the Hazardous Materials Cooperative Research Program do
not endorse products or manufacturers. Trade or manufacturers' names appear herein
research. In 2005, based in part on the findings of that report, the Safe, solely because they are considered essential to the object of the report.
Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for
Users (SAFETEA-LU) authorized the Pipeline and Hazardous Materials
Safety Administration (PHMSA) to contract with the National Academy of
Sciences to conduct the Hazardous Materials Cooperative Research Program
(HMCRP). The HMCRP is intended to complement other U.S. DOT
research programs as a stakeholder-driven, problem-solving program,
researching real-world, day-to-day operational issues with near- to mid-
term time frames.
Published reports of the
HAZARDOUS MATERIALS COOPERATIVE RESEARCH PROGRAM
are available from:
Transportation Research Board
Business Office
500 Fifth Street, NW
Washington, DC 20001
and can be ordered through the Internet at:
http://www.national-academies.org/trb/bookstore
Printed in the United States of America
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific
and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the
authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal
government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel
organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the
National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also
sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior
achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members
of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the
responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government
and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the
Institute of Medicine.
The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of
science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in
accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the
National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and
the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine.
Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council.
The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transporta-
tion Research Board is to provide leadership in transportation innovation and progress through research and information exchange,
conducted within a setting that is objective, interdisciplinary, and multimodal. The Board's varied activities annually engage about
7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia,
all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal
agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individu-
als interested in the development of transportation. www.TRB.org
www.national-academies.org
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COOPERATIVE RESEARCH PROGRAMS
CRP STAFF FOR HMCRP REPORT 6
Christopher W. Jenks, Director, Cooperative Research Programs
Crawford F. Jencks, Deputy Director, Cooperative Research Programs
Stephan A. Parker, Senior Program Officer
Megha Khadka, Senior Program Assistant
Eileen P. Delaney, Director of Publications
Hilary Freer, Senior Editor
HMCRP PROJECT 08 PANEL
Michael C. Smith, University of Virginia, Charlottesville, VA (Chair)
John L. Conley, National Tank Truck Carriers, Inc., Arlington, VA
W. Scott Hinckley, Union Pacific Railroad Company, Omaha, NE
Mark S. Johnson, International Brotherhood of Teamsters, Washington, DC
Clyde D. Miller, BASF Corporation, Florham Park, NJ
Richard Moskowitz, American Trucking Associations, Arlington, VA
Kevin O'Brien, New York Department of Motor Vehicles, Albany, NY
Erick-John Saia, Greenwich Terminals, LLC, Philadelphia, PA
Paul Bomgardner, FMCSA Liaison
Ronald DiGregorio, PHMSA Liaison
James Simmons, PHMSA Liaison
Steve Sprague, TSA Liaison
David Murk, US Coast Guard Headquarters Liaison
Joedy W. Cambridge, TRB Liaison
AUTHOR ACKNOWLEDGMENTS
The research reported herein was performed under HMCRP Project HM-08 by the Virginia Tech
Transportation Institute (VTTI).
Mr. Darrell S. Bowman, leader of the Advanced Technology and Applications Group with VTTI's Cen-
ter for Truck and Bus Safety, was the project director and principal investigator. The other authors of this
report are Andrew Marinik, project associate with the Advanced Technology and Applications Group at
VTTI; Ray Pethtel, the university transportation fellow and director of the Transportation Policy Group
at VTTI; and Tammy Trimble, project associate with the Advanced Technology and Applications Group
at VTTI.
The authors of this report wish to thank Vikki Fitchett and Gene Hetherington for their efforts on this
project. The authors would also like to express their gratitude to the members of the project's technical
advisory group: Karen Chappell, former deputy commissioner of the Virginia Department of Motor Vehi-
cles; Wiley Mitchell, former senior general counsel of Norfolk Southern Railroad; Dr. Walter Witschey,
chairman of the Virginia Rail Policy Institute; Jim Wilding, former president and chief executive officer
(CEO) of the Metropolitan Washington Airports Authority; John Smith, executive director of the Virginia
Rail Policy Institute; Lieutenant Sal Castruita, operations division lieutenant for the Virginia Port Author-
ity Police Department; and Dale Bennett, president and CEO of the Virginia Trucking Association, for
their helpful insight and guidance during this project.
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FOREWORD
By Stephan A. Parker
Staff Officer
Transportation Research Board
HMCRP Report 6: Feasibility of a Consolidated Security Credential for Persons Who Trans-
port Hazardous Materials discusses the feasibility of consolidating several existing security
credentials, which are necessary under current regulations and policies, into one credential
for all transportation modes. The report (1) evaluates the credentialing system to identify
duplicative elements and redundant costs and (2) describes the acquisition process, the
application elements, and the physical characteristics for each identified credential. In addition,
the report identifies the elements of the vetting processes for each credential. An examination
of four options for consolidation provides insight into the basic elements of a universally rec-
ognized security credential for HazMat transportation workers. The report also identifies
key challenges (e.g., impetus and authority, organizational climate, financing, risk, and tech-
nological trending) for consolidation of security credentials. Finally, an alternative method
of consolidating background checks is identified as a possible intermediate solution for
removing duplicative processes and redundant costs. The report will be of interest to policy-
makers, trade and professional organizations, and other stakeholders involved in transpor-
tation credentials for persons who transport hazardous materials.
An evaluation of the data through several key frameworks provides an understanding of
the system at its fundamental level.
The security of the nation's HazMat freight in all transportation modes relies on a lay-
ered, multi-faceted security program. This comprehensive system is a constant monitor of
the many areas, modes, and vehicles involved in HazMat transportation. One important
part of this comprehensive security system is credentialing. Security credentials play an
important role in ensuring security by vetting those individuals working with, or in support
of, HazMat transport. This research project was designed to understand the current secu-
rity credentialing system within the HazMat transportation system. Furthermore, it was to
explore the issues within the credentialing system and, if feasible, evaluate options for a con-
solidated credential.
Under HMCRP Project HM-08, the Virginia Tech Transportation Institute was tasked to
(1) identify credentials and credential elements (the research team used a combination of
credentials, credential applications, and literature searching to identify both the credentials
and the credential elements); (2) determine time and costs associated with each credential
(a questionnaire was designed to collect empirical data related to the time to acquire each
credential, while credential cost data were acquired from issuing-agency websites and dis-
cussion with issuing-agency representatives); (3) describe the regulatory, policy, and pro-
grammatic implications for each credential; (4) determine the feasibility of a consolidated
credential for persons who transport hazardous materials; and (5) develop options for
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consolidating credentials, based on the potential for a long-term, broadly applicable con-
solidated credential. This evaluation considered the unique elements and background-check
processes of the credentials constituting each option. Further analysis considered the policy
and implementation issues associated with consolidating security credentials.
This report and a PowerPoint presentation are available on the TRB website at www.trb.
org/SecurityPubs.
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CONTENTS
1 Summary
7 Chapter 1 Background
9 Chapter 2 Research Approach
9 Phase I
12 Phase II
15 Chapter 3 Findings and Applications
15 Identified Credentials
17 Credential Categorization
17 Requirements-to-Obtain Elements
18 Attribute Elements
19 Disqualifying Offenses
24 Time and Cost Analyses
24 Sample Demographics
25 Total Time to Obtain Credentials
25 Time to Complete Application
29 Total Time to Pick Up Credentials
29 Additional Respondent Feedback
31 Cost Analysis
33 Regulatory Analysis
34 SWOT Analysis
43 Consolidation Options Analysis
45 Policy Implementation Analysis
49 Chapter 4 Conclusions and Suggested Research
49 Consolidating Credentials
51 Consolidating Background-Check Processes
51 Future Research
52 References
54 List of Acronyms
56 Appendix A Technical Advisory Group Biographies
58 Appendix B Requirements to Obtain
60 Appendix C Disqualifying Offenses Table
64 Appendix D Credential-Specific Survey Response Data
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72 Appendix E CDL-HME and Threat Assessment Costs by State
74 Appendix F SIDA Badge Costs
75 Appendix G Sample of Port Credential Requirements
Note: Many of the photographs, figures, and tables in this report have been converted from color to grayscale
for printing. The electronic version of the report (posted on the Web at www.trb.org) retains the color versions.
