Consolidated Security Credential for Persons Who Transport Hazardous

Materials

HMCRP HM-08: publ ished as HMCRP Report 6, Feasibi l i ty of a Consolidated Security Credential for Persons Who Transport Hazardous Materials .

Consolidated HazMat Security

Credential

Project Overview

• Objective• Perform a detailed evaluation of the hazardous material

(HazMat) transportation worker credentialing system to identify duplicative elements and redundant costs throughout the process.

• Key Outcome• Determining the feasibility of consolidating many or all of the

existing credentials, necessary under current regulations and policies, into one credential for all transportation modes that is cost-effective and maintains an equal or greater level of security and safety.

Project Key TasksTask 1 (Phase I)• Identify credentials and credential elements

Task 2 (Phase I)• Conduct time and cost analysis

Task 3 (Phase I)• Conduct regulatory analysis

Task 4 (Phase I)• Determine feasibility of consolidation

Task 6 (Phase II)• Develop and evaluate options for consolidation

Name Acronym Issuing Agency Mode

Transport Worker Identification Credential TWIC TSA Marine

Merchant Mariner’s License MML USCG Marine

Merchant Mariner’s Document MMD USCG Marine

Merchant Mariner’s Credential MMC USCG Marine

Standards of Training, Certification, and Watchkeeping for Seafarers

STCWInternational Maritime Organization/USCG

Marine

Florida Uniform Port Access Credential FUPAC FL DHSMV Marine

Local Port IDs N/A Local Port Authority Marine

Secure Identification Display Area Badge SIDA Individual Airport Authorities Air

Pilot’s License N/A FAA Air

e-RAILSAFE N/A e-VERIFILE.COM, Inc. Rail

Engineer’s License N/A FRA Rail

Commercial Driver’s License with HazMat Endorsement

CDL-HME States/TSA Highway

Free and Secure Trade card FAST CBP Highway

United States Postal Service credential USPS United States Postal Service Highway

NEXUS N/A CBP Highway

Secure Electronic Network for Travelers Rapid Inspection

SENTRI CBP Highway

U.S. Passport N/A U.S. State Department All

RAPIDGate N/A Eid Passport, Inc. Highway

Common Access Card CAC Department of Defense Highway

Credential Timeline

2005

2003

Passport

Passport

1856

1986

1941

2002

2006

CAC

SIDA

NEXUS

USPS

CDL

1850 1940 1950 1980 1985 1990 1995 2000 20102004

2007

SIDA

NEXUS

TWIC

HME MMC

2009

FAST

2005

1995

SENTRI

200

7

2002

20092004

FUPAC

1938

MML

1978

STCW

• TWIC• MMD• SIDA• USPS• e-RAILSAFE• FUPAC• Port ID (local)• Passport• FAST• NEXUS• SENTRI• RAPIDGate• CAC

• CDL

• MML• STCW

• Pilot’s License• Engineer’s License

Security Safety

HME

MMC

Categorized Credentials

• TWIC• MMD• SIDA• USPS• e-RAILSAFE• FUPAC• Port ID (local)• Passport• FAST• NEXUS• SENTRI• RAPIDGate• CAC

• CDL

• MML• STCW

• Pilot’s License• Engineer’s License

Security Safety

HME

MMC

Categorized Credentials (Candidates for Consolidation)

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Credential Attributes

Credential Technology Information Stored

TWIC

Smart Card Dual Interface Integrated Circuit Chip

(ICC) Magnetic Strip Bar Code

Photograph, Fingerprints, Personal ID #Meets FIPS 201-1 & ANSI 322 StandardsDurability Tests Performed:

-Flexure -Surface abrasion -U/V Exposure - Fading-Humidity - Laundry test

CDL-HME 3D Bar Code

Name, Address, Endorsements, Restrictions, Birth Date, Expiration Date, Identification Number, Sex, Eye Color, HeightThere may be some variance due to issuing State.

SIDAMagnetic Strip-26 bit encryption .Different badge colors for levels of access.Embedded hologram.

Contains a 6-digit number defining levels of access.

FASTNEXUSSENTRI

An antenna and integrated-circuit radio frequency identification (RFID) containing a unique number to verify the identity of the bearer to Border Protection Officers.

Unique Serial NumberThe number is read wirelessly and sent to back-end computer systems. The systems retrieve personally identifiable information. (The unique number does not in itself contain any personally identifiable information). The systems involved are law enforcement databases, watch lists, and credential application information.

Passport Embedded Electronic Chip (RFID)

New ePassports contain an embedded chip which is a duplicate electronic copy of all information from the data page. Name, date of birth, place of birth, issuing office, and a digitized photo.

Credential Technologies

Disqualifying Offenses

• Each credential has a set of crimes, or actions, that a person may not have in their background to receive the credential.

• Each item on the list is a disqualifying offense. Although, not having any disqualifying offenses is not a guarantee that an applicant will receive the credential, they can guarantee that the applicant will not receive the credential (in some cases the applicant can appeal).

• To fully understand the building blocks of each credential, the research found each disqualifying offense for each credential considered. A total of 93 disqualifying offenses were identified.

• A complete listing of the disqualifying offenses, and the associated credential, can be found in HMCRP Report 6, Feasibility of a Consolidated Security Credential for Persons Who Transport Hazardous Materials (2011).

Time to Acquire Data

• Questionnaire• Used to provide the broadest range of responses• Posted online for approximately 7 weeks• Collected

• Demographic data• Years involved with the transportation of hazardous materials• Transportation mode• Credentials held• Total time to obtain credentials (application – physical receipt)• Perception of the total time to obtain credential (Way too short – Way too

long)• Time to complete application (start application – provide to agency)• Perception of the time to complete application (Way too short – Way too

long)• Total time to pick-up credentials• Perception of the time to pick-up credentials (Way too short – Way too

long)• Additional Comments

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100

150

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21

345

44 31

Re

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Co

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246

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Less than 2 weeks

2 to 4 weeks 5 to 8 weeks 9 to 12 weeks

13 to 16 weeks

Greater than 16 weeks

0%

10%

20%

30%

40%

50%

17.6%

34.4%

29.5%

9.0%

3.7% 5.2%

Total Time Needed to Obtain Credential

Re

sp

on

se

Pe

rce

nt

Total Time to Obtain Credential

Way Too Short Too Short About Right Too Long

Way Too Long

Total

CDL-HME 0 4 124 103 38 269

TWIC 1 0 60 101 62 224

FAST 0 0 6 8 8 22

FUPAC 0 0 3 5 0 8

MMC 0 0 3 0 2 5

MMD 0 0 1 1 2 4

MML 0 0 2 1 1 4

SENTRI 0 0 1 1 0 2

SIDA 0 0 5 0 0 5

Other 0 1 33 14 8 56

Total 1 5 238 234 121 599

Percent 0.2% 0.8% 39.7% 39.1% 20.2% 100.0%

*Note: Due to rounding, the totals may not add up to 100%.

Perceptions Regarding Total Time to Obtain Credential

Credential Stated Costs Secondary Fee Valid for (years)

SIDA Variable N/A 2

Passport $100.00 N/A 10

TWIC $132.50 $105.25 5

MMD $100.00 $140.00 5

MMC $100.00 $140.00 5

FAST $50.00 N/A 5

USPS Not Reported N/A 4

NEXUS $50.00 $25.00 5

SENTRI $122.25 N/A 5

CAC Unavailable N/A 3

Credential Costs

• Credential Fees Data• Obtained from issuing-agencies’ websites• Discussions with company representatives

• Two processes:• Consolidated • Non-Consolidated

• Two perspectives:• Security• Cost-Effectiveness

S W

TO

Positive Negative

Inte

rnal

Ext

erna

l

Strengths Weaknesses

Opportunities Threats

Feasibility of a Consolidated Security Credential for Persons who Transport Hazardous Materials

Consolidated Approach Non-Consolidated Approach

Strengths

and Opportunities

• One credential for end-user• Uniform look and design on the

credential• Ensures a minimum threshold for

security• Simplify training for security personnel• Simplify “Threats” to mitigate list• Only one issuing-agency to notify if

problems arise• Quickly adapt policy for new threats• Better tracking of applicants

• Tailored credentialing• Focused applicant assessment

Weaknesses and

Threats

• Institutional resistance• State and federal legislative actions

required• Increased ability to abuse/misuse• Decreased resolution with regards to

the “Threats” to mitigate list• International Issues

• Inconsistent vetting processes• Re-vetting of the same people• Inefficient information and data

collection• Data collection or processing errors• Complexity of information sharing• Variance in credential appearances

Security Perspective (SWOT)

Consolidated Approach Non-Consolidated Approach

Strengths and

Opportunities

• Eliminate redundancies for the issuing agencies

• Eliminate redundancies for the credential users

• Increased availability of enrollment centers

• Decrease training requirements for security personnel

• None identified

Weaknesses and Threat

s

• Require new or additional technology • Increased administrative costs• Multiple enrollment centers and forms.• Multiple credential costs• Multiple enrollment centers and various

forms.• Requires more training for facility

security personnel

Cost-Effectiveness Perspective (SWOT)

Consolidation Options

•Consolidation appears to be feasible for five security credentials• TWIC, MMD, SIDA, USPS, and CAC

•Four consolidation options were developed using input from the Technical Advisory Group, the results of the online survey, and based on the Phase I research effort.

• The purpose of developing four distinct options was to evaluate the potential for any of the options to succeed as a consolidated credential for persons who transport hazardous materials in any and all modes.

• The consolidation options evaluated were:1. TWIC2. TWIC, MMD, SIDA, USPS, CAC3. TWIC, MMD4. TWIC, SIDA, CAC, MMD

Consolidation Options• There are 64 total unique elements (40 requirements to obtain, 24

attributes) amongst the five credentials considered feasible for consolidation.

• Each consolidation option was compared to the overall list to gauge applicability. Specifics can be found on page 44 of HMCRP Report 6 Feasibility of a Consolidated Security Credential for Persons Who Transport Hazardous Materials (2011).

• Additionally, the specific background checks for each consolidation option were compared to each other to determine each option’s comprehensiveness.

Options 1 2 3 4

Fingerprint-Based Criminal Records Check X X X X

Name-Based Relevant Database Check X X X X

Drug Test X X X

National Driver Register Check X X X

Policy Implementation Analysis• Consolidation of any credential requires implementation of some policy,

and has the potential to fail due to organizational resistance, poor implementation, and/or a lack of clear overall focus.

• A multi-perspective analysis was done to better understand the feasibility of credential consolidation policy.

• The three perspectives analyzed were:1. Organizational Perspective

Impetus and AuthorityOrganizational Form

2. Technical PerspectiveOrganizational ClimateFinancingRiskTechnology Trends

3. Personal Perspective

Conclusions

• The results of this research indicate feasibility in consolidating five HazMat credentials: TWIC, MMD, SIDA, USPS, and CAC.

• The research also indicates that significant changes must occur to consolidate these credentials, and is dependent on information that is currently not available such as a full cost benefit analysis regarding the consolidation process.

• In addition, the research found that the consolidation of background checks for these five credentials, and six others (FAST, NEXUS, SENTRI, CLD-HME, MMC, and U.S. Passport), are feasible. Furthermore, the background consolidation effort appears to be the most feasible first step in the overall consolidation process.

Conclusions (cont.)

Based on the findings of this research:

• Cost Benefit Analysis: It is imperative to understand the short-term and long-term costs and benefits associated with consolidation of the considered credentials.

• Consolidation of applicable background checks: The consolidation of certain credential’s background check processes pose a less significant impact to the system while offering the greatest potential for positive impact to the credential holders.

Details supporting these conclusions and the entire research effort can be found in HMCRP Report 6, Feasibility of a Consolidated Security Credential for Persons Who Transport Hazardous Materials (2011).