hazardous materials cooperative research...

Hazardous Materials Cooperative Research Program

Research Projects Fiscal Years 2006 and 2007

Project Number

Title

Funds

HM-01

Hazardous Materials Commodity Flow Data and Analysis

$300,000

HM-02

Hazardous Materials Transportation Incident Data for Root Cause Analysis

$300,000

HM-03

Assessing Local Emergency Response Needs and Capabilities

$350,000

HM-04

Emerging Technologies for Safe and Secure Transportation of Hazardous Materials

$350,000

HM-01 1/19/2007

DRAFT

PRELIMINARY WRITE-UP, NOT A REQUEST FOR PROPOSALS

HMCRP Project HM-01, FY 2006/7 Hazardous Materials Commodity Flow Data and Analysis BACKGROUND Local governments have an interest in knowing the kinds, quantities, and locations of hazardous materials being transported through their jurisdictions in order to ensure effective and appropriate emergency response to incidents. Although the U.S. Department of Transportation (USDOT) provides a detailed handbook for local governments to use in conducting commodity flow studies, local planners often do not have access to reliable data on hazardous materials flows within their jurisdictions. By and large, existing data sources are too broad, covering flows at the national and state levels. More detailed data are required by local governments when making decisions about hazardous materials training and preparations. OBJECTIVE The objective of this project is to produce a streamlined guidebook for conducting hazardous materials commodity flow studies for local risk assessment, emergency response preparedness, and resource allocation and an approach for constructing a repository of completed state, local, and regional commodity flow studies. The guidebook will identify available information systems and explain methods that can be used by local and regional planners to identify and estimate hazardous materials flows in their jurisdictions. It will explain how to obtain flow data from public and private sources and will provide contact information for acquiring the data. The guidebook will explain how the data can be used, and supplemented by statistical methods such as surveys and sampling, for estimating hazardous material commodity flows at different levels of specificity. Commodity flow insight obtained using the guidebook should also be useful to states for emergency planning and resource allocation and to USDOT as it seeks to develop better information for the allocation of state hazardous materials grants. Accomplishment of the project objective will require at least the following tasks. TASKS Task 1. Collect and review existing hazardous materials commodity flow estimates from a representative sample of local jurisdictions around the country and examine the data sources and methodologies employed in making the estimates. Report how the data and estimates are used in support of decision-making, and propose an approach for how a repository could be established.

HM-01 1/19/2007

DRAFT


Task 2. Compare methods of obtaining data and estimating flows, explain their pros and cons for the purpose of identifying best practices, and recommend a standard report format, and framework for assembling these studies. Data collection and flow estimation should address hazardous materials traveling in to, out of, or through a locality, including biohazards/medical waste from medical facilities and other shipments that may be overlooked during typical flow surveys. Task 3 Prepare an outline and a sample section of the guidebook for review and approval by the HMCRP. Task 4. Prepare a guidebook that provides methodologies for obtaining data and estimating hazardous materials flows. The guidebook will contain a resource guide to information resources, including shippers, motor carriers, barge operators, railroads, medical facilities, that can provide local information. Information sources on the Internet will be included. Task 5. Submit an interim report to document Tasks 1 through 4 for review by the HMCRP. The contractor will be expected to meet with the HMCRP approximately 1 month later. Task 6. Based on the Task 5 review, modify the guidebook accordingly. Demonstrate the guidebook’s use in the context of how state, local, or regional authorities could use it to identify and estimate volumes of hazardous materials shipments to support risk assessment, emergency preparations, and allocations of resources. Task 7. Submit a final report documenting the entire research effort. The guidebook shall be a stand alone appendix. Funds Available: $300,000 Contract Time: 18 months

HM-02 1/19/2007

DRAFT


HMCRP Project HM-02, FY 2006/7 Hazardous Materials Transportation Incident Data for Root Cause Analysis BACKGROUND Publicly reported incident data can conceivably be used for understanding the root causes of, or major contributors to, events involving a spill of hazardous material during or incidental to transportation. This understanding can be used by regulators and industry to prioritize areas for attention and to develop or improve safety recommendations, regulations, and programs focused on preventing or reducing the likelihood of future incidents. Complete, detailed, and accurate data are needed for analyses to be meaningful and reflect actual issues. The coverage of incidents reported to the USDOT (under 49 CFR 171.16) is not sufficiently comprehensive for the purposes of identifying root causes or major contributors to incidents. It is likely that this process can be improved, and that other sources of data can be tapped to supplement the knowledge base, including federal, state, local, and commercial information sources. OBJECTIVES The objectives of this project are to develop a set of practical recommendations for ways to improve the availability and quality of hazardous materials transportation incident data, and to identify gaps and redundancies in reporting requirements. The scope of this research covers all transportation modes and sectors. Accomplishment of the project objectives will require at least the following tasks. TASKS Task 1. Identify, explain, and assess available incident data considering the following:

• What incident data sources are now available? • What agencies require incident reporting and maintain data? • How are the data used by each agency in analyzing trends (e.g., by material,

company, or packaging)? • How are the data compiled for each type of analysis? • How do the databases compare in terms of defining incidents and identifying root

causes? • Can the databases be coordinated or integrated in some fashion? • What has been done to evaluate the completeness and quality of the data? • Are all modes covered adequately and consistently? • Are data being collected that are seldom used? • Are data missing that are needed for better understanding of root cause or major

contributing factors?

HM-02 1/19/2007

DRAFT


• Do the data sources collectively appear adequate to determine the root causes of hazmat transport incidents?

Task 2. Interview a sample of relevant shippers and carriers to ascertain their knowledge of incident reporting requirements and their reporting practices. Determine how the data are being used by each and their expectations for how the data are being used by others, including government agencies. Interview government agencies responsible for collecting the data to determine their methods for ensuring data completeness and quality and to determine how they use the data. Determine if other data sources, internal or external to shippers or carriers, are used in supplementing incident data analysis. Task 3. Outline a tentative set of recommendations to enhance the availability and quality of incident data for public- and private-sector use in improving safety programs, including (but not restricted to) understanding of incident root cause and major contributing factors. Additionally, provide examples of how data could be analyzed and summarized to identify trends in causal or major contributing factors. The outline will be reviewed and approved by the HMCRP project panel before the contractor proceeds with Task 4. The recommendations should cover ways to:

• delineate current and potential uses of incident data • improve incident data availability, completeness, and quality • improve incident data collection methods and reduce redundancies that impose

undue burdens on those reporting incidents • standardize terminology. • encourage compliance and facilitate reporting • strengthen data coverage and reliability • encourage coordination, integration, and sharing of data • involve emergency responders in data collection • involve others in data reporting, such as insurance companies and media reports • harmonize federal and state reporting requirements to ease reporting burdens and

improve quality and coverage.

Task 4. Prepare the draft recommendations and provide them for review by the project panel, the interviewed stakeholders, and other selected parties. Modify the recommendations in light of the input received. Task 5. Submit the final report containing the set of recommendations to enhance incident data for use in understanding incident root cause and major contributing factors . The final report should explain and document the results from each of the tasks.

HM-02 1/19/2007

DRAFT


Funds Available: $300,000 Contract Time: 12 months

HM-03 1/19/2007

DRAFT


HMCRP Project HM-03, FY 2006/7 Assessing Local Emergency Response Needs and Capabilities BACKGROUND Federal health, safety, and environmental regulations address emergency response planning and preparations in the event of a hazardous materials release. Although legislation such as the Superfund Amendments and Reauthorization Act (SARA) mandate that state and local agencies plan and prepare for such incidents, few efforts have been made at the national, state, or regional levels to identify capable response teams, match their capabilities with potential emergencies involving different types of hazardous materials, and assess how quickly resources can be brought to bear in an emergency. Likewise, comprehensive guidance on assessing state, regional, or local hazardous materials emergency response needs, in order to achieve the appropriate level of coverage at the regional or local level, has not been provided. Such information is essential for (1) ensuring preparedness at the local level, (2) allocating emergency response resources geographically, and (3) making risk-based routing decisions for transportation of hazardous materials. Keeping this information current, secure, and useful is important to system safety and security. Likely means include the integrated use of (a) surveys of individual hazardous materials teams and cleanup contractors, (b) methods for evaluating the ability of individual response units to handle releases of different hazardous materials, and (c) procedures for determining optimal routes and travel times for units to reach incident locations. Guidance is needed for furthering these and other means of developing comprehensive assessments of emergency response capabilities within and across geographic areas. OBJECTIVE The objective of this project is to develop guidance for conducting assessments of local emergency response needs and capabilities for hazardous materials releases. The guidance shall consist of three parts: a) conducting state, regional, or local hazardous material emergency response needs assessments, and b) developing and maintaining capability assessments; and c) aligning assessed needs with various levels of capability, and addressing gaps where additional/different capabilities are warranted.. The guide will include methods for monitoring and recording changes in response capability over time, to avoid a static snapshot of current and existing capabilities that may quickly become outdated. In cases where there are gaps in existing techniques or necessary data for the needs or capability assessments, this research will identify research needs to address them.

HM-03 1/19/2007

DRAFT


Accomplishment of the project objectives will require at least the following tasks. TASKS Task 1. Review relevant examples from practice, research findings, and other information on assessing and maintaining information on local emergency response needs and capabilities. Identify successful programs that now exist. Task 2. Develop a methodology for establishing baseline needs for response capabilities in geographic areas with various commodity flows and various community characteristics such as: industrial and non-industrial, urban and rural, and small, medium, and large cities. The methodology should recognize that hazardous materials may be flowing in to, out of, and through the community, including biohazards/medical waste from medical facilities and other shipments that may be overlooked during typical flow surveys. Note: One of the first steps in a needs assessment would probably be to understand the types and volumes of hazardous materials traveling into, out of, or through the locality. Developing guidance on conducting hazardous materials commodity flow studies is outside the scope of HMCRP Project HM-03. Proposers should understand that HMCRP Project HM-01, “Hazardous Materials Commodity Flow Data and Analysis,” will provide guidance on how to conduct such a commodity flow survey. Task 3. Develop a methodology to establish and maintain an inventory of emergency response capabilities. Relationships and mutual aid agreements among public and private responders should be addressed in the methodology and assessments of available capabilities. Task 4. Develop a methodology for aligning assessed needs with emergency response capabilities, and addressing gaps that may exist. Task 5. Submit an interim report documenting Tasks 1 and 2. HMCRP review and approval of the interim report will be required before proceeding with work on the remaining tasks. The contractor should anticipate meeting with the project panel to discuss the proposed research plans. Task 6. Following HMCRP approval, fully develop the guide for assessing emergency response capabilities for hazardous materials release incidents. The guide should cover the issues in Tasks 1 and 2.

HM-03 1/19/2007

DRAFT


Task 7. Test the use of the guide by planners and agencies having different resource levels. Based on these demonstrations, modify the guide to ensure that it meets the needs of a wide spectrum of prospective users. Task 8 Demonstrate the application of the guide by establishing baselines and assessing capabilities in one or more local areas Task 9. Prepare and submit a final report that contains the guide and that documents key steps in its development. Funds Available: $350,000 Contract Time: 18 months

HM-04 1/19/2007

DRAFT


HMCRP Project HM-04, FY 2006/7 Emerging Technologies for Safe and Secure Transportation of Hazardous Materials BACKGROUND Shipments of hazardous materials may pose risks to the public if they are accidentally or intentionally released. The long-term safety record of these shipments is excellent, due in large part to the efforts of shippers, carriers, and receivers working closely with federal, state, and local agencies responsible for regulation, enforcement, and emergency response. Technological advances have been important in minimizing the occurrence and consequences of accidental releases by improving industry and government capabilities, in areas such as shipment handling, packaging, monitoring, and emergency response. Ensuring that hazardous materials shipments are also secure from terrorist attacks and deliberate releases will likewise require the concerted efforts of government and industry aided by technology. OBJECTIVES The objectives of this project are to 1) develop a list of near- and longer-term technologies that are candidates for use in enhancing the safety and security of hazardous materials transportation, as applied by shippers, carriers, emergency responders, or government regulatory and enforcement agencies; 2) identify emerging technologies that hold the greatest promise of being introduced during these near- and longer-term spans; and 3) identify potential impediments to and opportunities for their development, deployment, and maintenance (e.g., technical, economic, legal, institutional). Accomplishment of the project objectives will require at least the following tasks. TASKS Task 1. Survey emerging technologies and concepts that have potential application to hazardous materials transportation safety and security in the near term (less than 5 years) and over a longer time horizon of about one decade. In each case, identify current and planned research and the status of technology adoption by industry and government. Task 2. Describe, for each technology, (1) the potential safety and security roles that it can play (e.g., prevention, mitigation, recovery), (2) the status of its development or deployment, (3) potential uses for specific categories of hazardous materials, (4) applicability to particular transportation modes (5) impediments to its successful adoption, and (6) actions that may be desirable to further its development and use. Emerging technologies with the greatest promise, both in terms of their safety and security effects and prospects for development and deployment will be identified.

HM-04 1/19/2007

DRAFT


Examples of technologies (and classes of technology) in varying stages of development that merit consideration as part of this task are:

• tracking systems for vehicles, containers, and shipments • electronic stability control systems for large-trucks • non-destructive evaluation techniques • systems to reduce risk from wetlines • positive train control • breach or leak detection equipment • self-sealing technologies • technologies capable of detecting undeclared hazardous material • technologies aimed at enhancing emergency response capabilities • safe and tamper proof fittings • GPS-based technologies • new packaging enhancements (e.g., materials, systems) • technology to enhance survivability

Task 3. Prepare an interim report on the information developed in Tasks 1 and 2. The interim report shall recommend promising technologies and propose a detailed, updated work plan for a more in-depth exploration of their status, impediments, and opportunities for development and use to be conducted under Task 4. Prototype development or field testing should be proposed, if appropriate. In selecting a limited number of promising technologies for further work under Task 4, the HMCRP panel will consider their potential contribution to overall hazardous materials transportation system safety and security and their current state of development and adoption. The technologies will be of topical interest to government and industry and will have strong potential for practical application in at least one specific mode of hazardous materials transportation (i.e., rail, highway, water, or air). Application across multiple modes is desirable but not required; likewise, technologies with both safety and security benefits are desired. Potential interactions between technologies (complimentary and conflicting), or tradeoffs between safety and security, shall be discussed in the interim report and demonstrated as appropriate in Task 4. NOTE: Although a detailed, updated work plan will be included in the Task 3 interim report,

each proposal submitted in response to this RFP shall contain the proposer’s current thinking on the work to be conducted in Task 4. The research plan shall provide a 2-month period for review and HMCRP approval of the interim report. An interim meeting of the project panel to discuss the report with the contractor will be required. The project panel will provide direction to the contractor at

HM-04 1/19/2007

DRAFT


that time on the scope of work to be conducted in task 4. The contractor shall not begin work on the remaining tasks without HMCRP approval.

Task 4. Advance the technologies selected and approved by HMCRP in Task 3. Task 5. Prepare the final report documenting the research effort and findings. Funds Available: $350,000 (The total budget for Tasks 1, 2, and 3 shall not exceed $150,000) Contract Time: 15 months

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