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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
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TRANSPORTATION RESEARCH BOARD 2011 EXECUTIVE COMMITTEE* OFFICERS CHAIR: Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore VICE CHAIR: Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board MEMBERS J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles Eugene A. Conti, Jr., Secretary of Transportation, North Carolina DOT, Raleigh James M. Crites, Executive Vice President of Operations, Dallas-Fort Worth International Airport, TX Paula J. Hammond, Secretary, Washington State DOT, Olympia 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.