SPECIAL REPORT 283

Cooperative Research for Hazardous Materials Transportation

Defining the Need, Converging on Solutions

Committee for a Study of the Feasibility of a Hazardous Materials Transportation Cooperative Research Program

TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

Transportation Research Board

Washington, D.C.

2005

www.TRB.org



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Cooperative Research for Hazardous Materials Transportation: Defining the Need, Converging on Solutions - Special Report 283 SPECIAL REPORT 283 Cooperative Research for Hazardous Materials Transportation Defining the Need, Converging on Solutions Committee for a Study of the Feasibility of a Hazardous Materials Transportation Cooperative Research Program TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES Transportation Research Board Washington, D.C. 2005 www.TRB.org

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Cooperative Research for Hazardous Materials Transportation: Defining the Need, Converging on Solutions - Special Report 283 Transportation Research Board Special Report 283 Subscriber Category VIII freight transportation (multimodal) Transportation Research Board publications are available by ordering individual publications directly from the TRB Business Office, through the Internet at www.TRB.org or national-academies.org/trb, or by annual subscription through organizational or individual affiliation with TRB. Affiliates and library subscribers are eligible for substantial discounts. For further information, contact the Transportation Research Board Business Office, 500 Fifth Street, NW, Washington, DC 20001 (telephone 202-334-3213; fax 202-334-2519; or e-mail TRBsales@nas.edu). Copyright 2005 by the National Academy of Sciences. All rights reserved. Printed in the United States of America. NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competencies and with regard for appropriate balance. This report has been reviewed by a group other than the authors according to the procedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. This study was sponsored by the Research and Special Programs Administration, the Federal Motor Carrier Safety Administration, and the Federal Railroad Administration of the U.S. Department of Transportation and by the U.S. Coast Guard of the U.S. Department of Homeland Security. Library of Congress Cataloging-in-Publication Data National Research Council (U.S.). Transportation Research Board. Committee for a Study of the Feasibility of a Hazardous Materials Transportation Cooperative Research Program. Cooperative research for hazardous materials transportation : defining the need, converging on solutions / Committee for a Study of the Feasibility of a Hazardous Materials Transportation Cooperative Research Program, Transportation Research Board of the National Academies. p. cm. — (Special report; 283) ISBN 0-309-09497-6 1. Hazardous substances—Transportation—United States. I. Title. II. Special report (National Research Council (U.S.). Transportation Research Board) ; 283. T55.3.H3N295 2005 363.17'0973—dc22 2005041847

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Cooperative Research for Hazardous Materials Transportation: Defining the Need, Converging on Solutions - Special Report 283 THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine 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. Bruce M. Alberts 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. William A. Wulf 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 the Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is a division of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board’s mission is to promote innovation and progress in transportation through research. In an objective and interdisciplinary setting, the Board facilitates the sharing of information on transportation practice and policy by researchers and practitioners; stimulates research and offers research management services that promote technical excellence; provides expert advice on transportation policy and programs; and disseminates research results broadly and encourages their implementation. The Board’s varied activities annually engage more than 5,000 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 individuals interested in the development of transportation. www.TRB.org www.national-academies.org

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Cooperative Research for Hazardous Materials Transportation: Defining the Need, Converging on Solutions - Special Report 283 Committee for a Study of the Feasibility of a Hazardous Materials Transportation Cooperative Research Program Robert E. Gallamore, Chair, Northwestern University, Evanston, Illinois Christopher P. L. Barkan, University of Illinois, Urbana–Champaign Benson A. Bowditch, Jr., CP Ships, Tampa, Florida J. Ron Brinson, North Charleston, South Carolina Michael S. Bronzini, George Mason University, Fairfax, Virginia O. Bruce Bugg, Georgia Department of Motor Vehicle Safety, Conyers Cherry Burke, DuPont USA, Wilmington, Delaware Edward R. Chapman, Burlington Northern and Santa Fe Railway, Fort Worth, Texas Terrence M. I. Egan, Washington State Military Department, Camp Murray Nicholas J. Garber, University of Virginia, Charlottesville Patrick Kelley, ABF Freight Systems, Inc., Fort Smith, Arkansas Michael Moreland, Occidental Chemicals Corporation, Dallas, Texas Michael Morrissette, Dangerous Goods Advisory Council, Washington, D.C. Gordon L. Veerman, Argonne National Laboratory, Argonne, Illinois Transportation Research Board Staff Thomas R. Menzies, Jr.

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Cooperative Research for Hazardous Materials Transportation: Defining the Need, Converging on Solutions - Special Report 283 Preface Hazardous materials are moved throughout the country by all modes of freight transportation, including pipelines, ships, trucks, trains, and airlines. The shipments themselves vary widely in size and type. Small parcels may contain a few ounces of infectious or radioactive substances. River barges and railroad tank cars may carry bulk quantities of flammable, toxic, and corrosive gases, solids, and liquids. Shippers of these materials range from multinational manufacturing companies to small businesses, and the frequency of their shipments may range from thousands daily to one or two per year. Depending on the size and frequency of their hazardous materials shipments, shippers may maintain expertise in hazardous materials safety or rely on third-party logistics companies for such expertise. The shipments present risks to public safety and security, human health, and the environment. A diverse mix of government agencies is responsible for controlling these risks. Some focus on specific materials (e.g., radioactives, armaments, high-energy fuels), others on specific risk areas (e.g., safety, security, environment), and others on specific modes of transportation (e.g., rail, marine, air, and highways). Moreover, some public agencies are responsible for operating the transportation infrastructure, others for regulating its use, and others for responding to hazardous materials incidents when they occur. This is a synopsis of the hazardous materials transportation “sector.” It is less an organized enterprise than a loosely connected assortment of public and private entities sharing a goal of ensuring that hazardous cargoes are moved without incident. This goal has spurred the creation of a number of venues for various entities with related interests to work together. The trade associations from the transportation and shipping

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Cooperative Research for Hazardous Materials Transportation: Defining the Need, Converging on Solutions - Special Report 283 industries work with one another, as do government regulatory and enforcement agencies at the federal, state, and local levels. They share information, resources, and expertise. Meanwhile, the federal government has created the Office of Hazardous Materials Safety within the U.S. Department of Transportation’s (DOT’s) Research and Special Programs Administration (RSPA)1 to develop uniform requirements for hazardous materials transportation and to coordinate with international bodies. The result of all of these efforts could even be described as a system—one that is continually challenged but that has produced a good safety record. Perhaps the most notable gap in this system for ensuring hazardous materials safety and security is in the conduct of research. To a large extent, government agencies have their own research programs that support their own mission needs, and industry has the same. Collaborative research takes place, but mostly in an ad hoc way, on a project-by-project basis. Formed more than three decades ago, the Transportation Research Board’s (TRB’s) Transportation of Hazardous Materials Committee has been the only ongoing venue for the many elements of the hazardous materials transportation community—both public and private—to come together to identify research needs, promote the conduct of research, and share research results on a regular basis. From time to time, this standing committee has pointed to the absence of a continuing means of coordinating research to address shared problems in hazardous materials transportation, and it has sought out ways to fill this gap. In June 1997, the committee convened a special workshop with funding support from RSPA and several other DOT agencies to explore the idea of creating a national cooperative research program for hazardous materials transportation.2 More than 30 representatives from shippers; carriers; container makers; and government regulatory, enforcement, and emergency response agencies participated. Workshop participants 1 On November 30, 2004, the president signed into law the Norman Y. Mineta Research and Special Programs Improvements Act, which reorganizes DOT’s pipeline safety, hazardous materials safety, and research activities. The law will move hazardous materials and pipeline regulatory functions into one administration and departmentwide research activities into another. This report refers to RSPA as it existed at the time of the committee’s deliberations. The recommendations in this report, however, are not materially affected by the imminent reorganization. 2 The facilitator’s report of this workshop can be found at the following website (as of November 1, 2004): projects.battelle.org/trbhazmat/.

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Cooperative Research for Hazardous Materials Transportation: Defining the Need, Converging on Solutions - Special Report 283 explored the idea of establishing a cooperative research program for hazardous materials transportation whose aim would be to find solutions to problems and concerns shared by the many parties who would cooperate in defining, coordinating, and overseeing the research. Cooperative research programs in the highway and public transit fields— the National Highway Cooperative Research Program and the Transit Cooperative Research Program—were used as models. These two programs, which are managed by TRB, focus on finding solutions to problems shared by operators of highway and transit systems, respectively. Participants in this initial workshop identified a number of possible advantages and disadvantages of establishing a cooperative research program for hazardous materials transportation. They saw as potential advantages the prospects of such a cooperative program earning the widespread trust of stakeholders by emphasizing objective research, leveraging limited research resources, and solving practical problems by tapping an array of related expertise and perspectives. They saw as potential disadvantages the possibility that resources used to fund the program would be diverted from other research activities and that the coordination and consensus-building involved in the cooperative process could slow the research process. In general the workshop participants were receptive to the idea. They recognized that more definitive conclusions could not be drawn without a more thorough examination of options for financing, governing, and managing such a program. Drawing on the results of this initial workshop, the Transportation of Hazardous Materials Committee outlined how a cooperative research program might function and be structured.3 The committee developed a fairly detailed set of candidate projects for the program. The standing committee did not, however, examine options for financing the overall program, nor did it recommend steps for bringing about the program. It was recognized that such advice would require a more thorough examination of the merits and feasibility of the program, including options for program finance, governance, and management. 3 The Transportation of Hazardous Materials Committee has drafted a prospectus for a national hazardous materials transportation research program, which can be found at the following website (as of November 1, 2004): projects.battelle.org/trbhazmat/. The prospectus contains detailed problem statements developed as candidates for research.

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Cooperative Research for Hazardous Materials Transportation: Defining the Need, Converging on Solutions - Special Report 283 STUDY CHARGE AND APPROACH Interested in the basic concept, RSPA, the Federal Motor Carrier Safety Administration, the Federal Railroad Administration, and the U.S. Coast Guard pooled their resources to sponsor this study of the feasibility of a cooperative research program for hazardous materials transportation. The sponsors asked TRB to convene a committee of experts, formed under the auspices of the National Research Council (NRC) of the National Academies, to offer advice on the need for such a research program and on ways to bring it about if desirable. Specifically, the study sponsors set forth the following charge: This project will determine the feasibility of a hazardous materials transportation cooperative research program. In consideration of other cooperative programs in government and industry, this feasibility determination will include governance, research topics, program structure, and potential funding mechanisms. In determining the need for such a program, the project will review current funding of hazardous materials transportation research in existing programs of industry and the U.S. Departments of Transportation, Energy, Defense, Homeland Security, and other relevant agencies. Assuming that a cooperative program is determined to be needed and feasible, gaps in current research programs that could be filled with a collaborative program of research will be identified. In addition, organizational governance, program structure, and funding mechanisms will be recommended. In accordance with usual NRC procedures, TRB assembled a committee with a range of expertise and a balance of perspectives on issues related to the study charge. Robert E. Gallamore, Director of the Transportation Center, Northwestern University, was appointed chair of the committee, which included 13 other members with expertise in hazardous materials shipping, transportation, research management, risk analysis, enforcement, and emergency planning and response. Committee members served in the public interest without compensation. The study committee met three times from April 2004 to September 2004. During its deliberations, the committee reviewed the previous work of the TRB Transportation of Hazardous Materials Committee, including the results of its 1997 workshop and outline of how a cooperative research program could be structured and possible topics for

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Cooperative Research for Hazardous Materials Transportation: Defining the Need, Converging on Solutions - Special Report 283 research. In conjunction with its second meeting, the study committee sponsored a 1-day workshop in which more than 60 individuals from various parts of the hazardous materials and transportation sectors were invited to provide information and advice on the need for and possible ways of organizing a cooperative research program. The agenda for this workshop can be found in the Appendix. Many of the research needs identified in this report (see Chapter 4) were gleaned from the workshop discussions. In recent years TRB study committees have been convened to examine proposals for cooperative research programs in a number of fields, including environmental protection, naval engineering, public transportation, and airport operations. The study committee made a point of reviewing this earlier work, which contains helpful descriptions and evaluations of many ongoing cooperative research programs. In particular, the committee benefited a great deal from Special Report 272: Airport Research Needs: Cooperative Solutions (TRB 2003). Much of the discussion in Chapter 5 on cooperative research programs in other fields was drawn from that report. More details on the approach taken by the committee in conducting the study and the organization of the report are provided in Chapter 1. In conducting the study, the committee focused on the key funding, governance, and management characteristics that have been important to the success of cooperative research programs in other fields. The committee did not examine such details as financial reporting methods, contract administration procedures, and governance decision-making protocols. These are important matters, but they are largely issues of implementation rather than policy. ACKNOWLEDGMENTS During its information-gathering meetings, which were open to the public, the committee was briefed by representatives of the four federal agencies that sponsored the study. Douglas Reeves of RSPA’s Office of Hazardous Materials Safety attended all open meetings. In serving as the federal sponsors’ main liaison with the committee and TRB staff, he clarified questions about the study charge and sponsor expectations. The

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Cooperative Research for Hazardous Materials Transportation: Defining the Need, Converging on Solutions - Special Report 283 committee thanks him for his close participation and support throughout the course of the study. In addition, thanks go to liaisons Manny Pfersich of the U.S. Coast Guard, William Schoonover of the Federal Railroad Administration, William Quade of the Federal Motor Carrier Safety Administration, and Kin Wong of RSPA. The committee also thanks all who participated in its July 1 workshop. Special thanks go to Emil H. Frankel, Assistant Secretary for Transportation Policy, for opening the workshop. Thanks are also due to those workshop participants who joined in special panel discussions: Dennis Ashworth, U.S. Department of Energy; Edwin B. Bave, U.S. Army Corps of Engineers; Paul Bomgardner, Commercial Vehicle Safety Alliance; Andrew J. Bruzewicz, U.S. Army Corps of Engineers; Montressa Elder, Oklahoma Department of Environmental Quality; John Eversole, International Association of Fire Chiefs; Robert Fronczak, Association of American Railroads; Cliff Harvison, National Tank Truck Carriers; Thomas Schick, American Chemistry Council; Robert Trainor, National Transportation Safety Board; and Todd Treichel, Railway Supply Institute and Association of American Railroads. During the workshop, Robert Reilly, Director of the TRB Division of Cooperative Research, explained the organization and operation of TRB’s cooperative research programs. Jonathan L. Gifford, George Mason University, provided a cogent and concise summary of the workshop discussions. The committee thanks both of them for their contributions. Thomas R. Menzies, Jr., managed the study and drafted the report under the guidance of the committee and the supervision of Stephen R. Godwin, Director of Studies and Information Services. This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise in accordance with procedures approved by NRC’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making the report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. NRC thanks the following individuals for their review of this report: Mark D. Abkowitz, Vanderbilt University, Nashville, Tennessee; Richard

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Cooperative Research for Hazardous Materials Transportation: Defining the Need, Converging on Solutions - Special Report 283 Barlow, Lyondell Chemical Company, Houston, Texas; Lawrence W. Bierlein, McCarthy, Sweeney & Harkaway, Washington, D.C.; Marc D. Boyle, Boyle Transportation, Billerica, Massachusetts; Alexander MacLachlan, E. I. DuPont de Nemours & Company (retired), Wilmington, Delaware; Charles Swinburn, Rail America, Inc., Boca Raton, Florida; and Wesley A. Thomas, Downers Grove Fire Department, Mokena, Illinois. Although the reviewers provided many constructive comments and suggestions, they were not asked to endorse the committee’s findings, conclusions, or recommendations, nor did they see the final draft before its release. The review of this report was overseen by David G. Hoel, Medical University of South Carolina, Charleston, and C. Michael Walton, University of Texas at Austin. Appointed by NRC, they were responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of the report rests solely with the authoring committee and the institution. Suzanne Schneider, Associate Executive Director, TRB, managed the report review process. The report was edited and prepared for publication by Senior Editor Norman Solomon and Senior Editorial Assistant Jennifer J. Weeks under the supervision of Javy Awan, Director of Publications, TRB. Special thanks go to Frances Holland and Amelia Mathis for providing the significant amount of administrative support required in holding the workshop and committee meetings. REFERENCE Abbreviation TRB Transportation Research Board TRB. 2003. Special Report 272: Airport Research Needs: Cooperative Solutions. National Research Council, Washington, D.C.

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Cooperative Research for Hazardous Materials Transportation: Defining the Need, Converging on Solutions - Special Report 283 Contents     Executive Summary   1 1   Introduction   11      Solutions Through Cooperative Research   12      Genesis of the Study   13      Study Approach and Report Organization   15 2   Overview of Hazardous Materials Transportation   17      Transportation of Hazardous Materials   17      Ensuring Safety and Security   23      Roles of Government and Industry   30 3   Federal Research and Hazardous Materials Transportation   42      Research and Special Programs Administration   43      Federal Railroad Administration   47      Federal Motor Carrier Safety Administration   50      United States Coast Guard   52      Other Federal Agencies   53      Summary   58 4   Cooperative Research Needs   60      Data and Analysis for Policy Making and Regulation   62      Planning and Preparing for Emergencies   67      Supporting First Response   68      Annex 4-1:  Example Projects for a Hazardous Materials Transportation Cooperative Research Program   71

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Cooperative Research for Hazardous Materials Transportation: Defining the Need, Converging on Solutions - Special Report 283 5   Insights from Other Cooperative Research Programs   96      National Cooperative Highway Research Program   97      Transit Cooperative Research Program   101      Lessons from NCHRP and TCRP   104      Examples of Other Cooperative Research Programs   108      Summary   116 6   Options for Program Finance, Governance, and Management   119      Finance Options   120      Governance Options   124      Management Options   127      Summary   130 7   Envisioned Program and Next Steps   132      Mounting Need for Cooperative Research   132      Guideposts in Structuring a Cooperative Program   134      Envisioning a Full-Scale Program   137      Next Steps: Piloting the Concept   139     Appendix Workshop to Assess the Feasibility of a Hazardous Materials Transportation Cooperative Research Program, July 1, 2004   142     Study Committee Biographical Information   144