Source: https://safety-health.jacksonkelly.com/2007/08/department-of-homeland-security-publishes-new-chemical-facility-antiterrorism-rules.html
Timestamp: 2019-09-19 13:18:03
Document Index: 476995042

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Occupational Safety and Health News Alert: DEPARTMENT OF HOMELAND SECURITY PUBLISHES NEW CHEMICAL FACILITY ANTI-TERRORISM RULES
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A New Regulatory Scheme
With its publication of the IFR, DHS created an entirely new regulatory scheme for chemical facilities. See 6 C.F.R. §§ 27.100 et seq. The IFR contains terminology that the regulated community will need to familiarize itself with, including the following selected definitions from § 27.105.
·	Chemical facility or facility is any establishment that possesses or plans to possess, at any relevant point in time, a quantity of a chemical substance determined by DHS to be potentially dangerous or that meets other risk related criteria identified by DHS.
·	Covered chemical facility or covered facility is a facility that is determined by DHS to present high levels of security risk or is presumptively high risk under § 27.200.
·	Chemical Security Assessment Tool (“CSAT”) is a suite of four online computer applications, including User Registration, Top-Screen, Security Vulnerability Assessment, and Site Security Plan, through which DHS will collect and analyze key data from chemical facilities.
·	Chemical Terrorism Vulnerability Information (“CVI”) consists of information and records that must be maintained and safeguarded pursuant to the requirements of § 27.400.
·	Operator means a person who has responsibility for the daily operations of a facility or facilities subject to Part 27.
·	“Present high levels of security risk” and “high risk” refer to a facility that, in the discretion of DHS, presents a high risk of significant adverse consequences for human life or health, national security and/or critical economic assets if subjected to terrorist attack, compromise, infiltration, or exploitation.
·	Screening Threshold Quantity (“STQ”) is the quantity of a chemical of interest upon which the facility’s obligation to complete and submit the CSAT Top-Screen is based.
·	Tier refers to the risk level associated with a covered facility and which is assigned to the facility by DHS. There are four risk-based tiers, ranging from highest risk at Tier 1 to lowest risk at Tier 4.
·	Top-Screen is the initial screening process through which facilities provide information to DHS.
In addition to the above-defined terms, Operators should be familiar with the following terminology:
·	Appendix A is a list of chemicals and corresponding STQs. Subject to DHS announcing an effective date for Appendix A, facilities must complete and submit a Top-Screen if they possess a chemical listed in Appendix A in a quantity at or above the STQ. A proposed form of Appendix A was published on April 9, 2007; however, Appendix A will not exist in its final form until DHS announces its effective date in a future rulemaking.
·	Security Vulnerability Assessment (“SVA”) means an assessment that includes an asset characterization, threat assessment, security vulnerability analysis, risk assessment, and countermeasures analysis, as required by § 27.215.
·	Site Security Plan (“SSP”) is a plan that, among other things, addresses each vulnerability identified in the facility’s SVA.
Potential Applicability to Mining Operations
There is no exception in the IFR for mining or mineral processing operations. The extent of coverage of mines “will depend in part on the type and amount of chemicals present at any given mine facility.” 72 Fed. Reg. at 17,699. DHS expects that a mine that possesses chemical(s) listed in Appendix A at the corresponding STQ(s) “will comply with the requirements of § 27.200(b) and complete and submit the Top Screen as required in that section.” Id.
Among the “chemicals of interest” listed in proposed Appendix A are a number of chemicals commonly used in the mining industry. However, whether a particular mining operation will be required to take any action in connection with the IFR will depend upon the specific chemicals and corresponding STQs that DHS lists in its finalized Appendix A. As discussed supra, any facility that possesses a listed chemical at the corresponding STQ will be required to complete a Top-Screen within 60 days of DHS’ announcement that Appendix A is effective. Accordingly, mine operators should review Appendix A when it becomes effective. Any mining operation that possesses a listed chemical at the corresponding STQ will, as a first step, need to complete a Top-Screen within 60 days.
The Initial Screening Process and DHS’ Preliminary Determination of Security Risk
In order to determine the security risk posed by facilities, DHS may, at any time, request information that may reflect potential consequences of, or vulnerabilities to, a terrorist attack or incident. See 6 C.F.R. § 27.200. Section 27.200(b) requires facilities to complete and submit a Top-Screen if they possess any of the chemicals listed in Appendix A at the corresponding STQ. The Top-Screen must be completed and submitted within 60 calendar days of the effective date of Appendix A. 6 C.F.R. § 27.210. DHS has not yet announced the effective date of Appendix A, but will do so in a future rulemaking. 72 Fed. Reg. at 17,688.
In circumstances where a facility is requested to complete and submit a Top-Screen, the facility must designate a person (“the Submitter”) who is responsible for the submission of information through the CSAT system and who attests to the accuracy of the information contained in any CSAT submissions. 6 C.F.R. § 27.200. The Submitter must be an officer of the corporation or other person designated by an officer of the corporation and must be domiciled in the United States. Id. DHS, through the CSAT system, may ask the Submitter to answer questions specifically related to the nature of the business and activities conducted at the facility; information concerning the names, nature, conditions of storage, quantities, volumes, properties, customers, major uses, and other pertinent information about specific chemicals or chemicals meeting a specific criterion; information concerning the facility’s security, safety and emergency response practices, operations, and procedures; information regarding incidents, history, funding, and other matters bearing on the effectiveness of the security, safety and emergency response programs, and other information as necessary. Id.
Pursuant to § 27.205, DHS may determine at any time that a facility presents a high level of security risk based upon any information available, including information submitted to DHS in connection with the Top-Screen submitted by the facility. Upon determining that a facility presents a high level of security risk, DHS will notify the facility in writing of such initial determination and may also notify the facility of DHS’ preliminary determination of the facility’s placement in a risk-based “tier” pursuant to § 27.220(a).
Security Vulnerability Assessments and DHS’ Final Determination of Security Risk
Where a facility is determined by DHS to be high risk (i.e., where the facility is a covered facility), the facility must complete and submit through the CSAT system a Security Vulnerability Assessment within 90 calendar days of written notification from DHS. 6 C.F.R. §§ 27.210 and 27.215. Pursuant to § 27.215(a), the SVA must include an asset characterization, a threat assessment, a security vulnerability analysis, a risk assessment, and a countermeasure analysis.
Following DHS’ review of a covered facility’s SVA, it will notify the facility of its final placement within a risk-based tier, or for covered chemical facilities previously notified of a preliminary tiering, confirm or alter such tiering. 6 C.F.R. § 27.220. Covered facilities will be placed in one of four risk-based tiers, ranging from highest risk facilities in Tier 1 to lowest risk facilities in Tier 4. Id.
Unless otherwise notified, a covered facility must complete and submit a Site Security Plan within 120 calendar days of written notification from DHS or within the time frame specified in any subsequent Federal Register Notice. 6 C.F.R. § 27.210. Submission is again through the CSAT system. 6 C.F.R. § 27.225. Pursuant to § 27.225(a), the SSP must: (1) address each vulnerability identified in the facility’s SVA, and identify and describe the security measures to address each such vulnerability; (2) identify and describe how security measures selected by the facility will address the risk-based performance standards at 6 C.F.R. § 27.230(a) and potential modes of terrorist attack including, as applicable, vehicle-borne explosive devices, water-borne explosive devices, ground assault, or other modes or potential modes identified by DHS; (3) identify and describe how security measures selected and utilized by the facility will meet or exceed each applicable performance standard for the appropriate risk-based tier for the facility; and (4) specify other information that DHS deems necessary regarding chemical facility security.
DHS will review and approve or disapprove all SSPs through a two-step process. Upon receipt of the SSP, DHS will review the submitted documentation and make a preliminary determination as to whether it satisfies the requirements of § 27.225. If DHS finds that the requirements are satisfied, it will issue a Letter of Authorization to the facility. DHS will then inspect the facility for the purposes of determining compliance with § 27.250, discussed infra. If DHS approves the SSP in accordance with § 27.250, it will issue a Letter of Approval to the facility and the facility must implement its SSP.
Alternate Security Plans
Covered facilities may submit an Alternate Security Plan (“ASP”) pursuant to § 27.235. An ASP is a third-party or industry organization program, a local authority, state or Federal government program or any element or aspect thereof, that DHS has determined meets the requirements of Part 27 and provides for an equivalent level of security. 6 C.F.R. § 27.105. DHS may approve an ASP in whole, in part, or subject to revisions or supplements. 6 C.F.R. § 27.235(a). A Tier 4 facility (lowest risk) may submit an ASP in lieu of an SVA, SSP, or both. Id. Tier 1, Tier 2, or Tier 3 facilities may submit an ASP in lieu of an SSP; however, such facilities may not submit an ASP in lieu of an SVA. Id.
Inspections, Audits and Recordkeeping
In order to assess compliance with Part 27, authorized DHS officials may enter, inspect and audit the property, equipment, operations, and records of covered facilities. 6 C.F.R. § 27.250. Inspections and audits will be conducted by personnel duly authorized and designated for that purpose. 6 C.F.R. § 27.250(d). The inspector may gather information by reasonable means, including, but not limited to interviews, statements, photocopying, photography, and video/audio recording. Id.
Covered facilities must keep records of: (1) training; (2) drills and exercises; (3) incidents and breaches of security; (4) maintenance, calibration, and testing of security equipment; (5) security threats; (6) audits; and (7) Letters of Authorization and Approval. 6 C.F.R. § 27.255. Such records must be kept for a period of at least three years, and must be made available to DHS upon request. Id. If such records are kept in electronic format, they must be protected against unauthorized access, deletion, destruction, amendment, and disclosure. Id. An inspector may request “forthwith access” to all records required to be kept pursuant to § 27.255. See 6 C.F.R. § 27.250(d).
Chemical Terrorism Vulnerability Information
DHS imposes a duty to take reasonable steps to safeguard CVI and to limit access to CVI. See 6 C.F.R. § 27.400. CVI includes, among other things, SVAs, SSPs, ASPs, information developed for the Top-Screen, and documents relating to inspections or audits by DHS. The duty to take reasonable steps to safeguard and to limit access to CVI applies to “covered persons.” 6 C.F.R. § 27.400(c). Covered persons are persons who: (1) have a “need to know” CVI; or (2) otherwise receive or gain access to what they know or should reasonably know constitutes CVI. Id. Covered persons must, among other things, safeguard CVI in their possession or control from unauthorized disclosure, and must alert DHS when CVI has been released to persons without a need to know. Id. When covered persons are not in physical possession of CVI, they must store it in a secure container, such as a safe, that limits access only to covered persons with a need to know. Id. Section 27.400 contains detailed requirements for disclosing, marking and disposing of CVI. Id. It also defines who has a need to know, and provides that DHS may make an individual’s access to CVI contingent upon satisfactory completion of a security background check. Id.
DHS may issue an Order Assessing Civil Penalties, an Order to Cease Operating, or both, if it determines that a facility is in violation of the requirements of Part 27. Where DHS has issued an Order Assessing Civil Penalty, it may impose a fine of not more than $25,000 for each day during which the violation continues. 6 C.F.R. § 27.300(b)(3). The Order must be in writing and must include, among other things: (1) a listing of the provisions the facility is alleged to have violated; (2) a statement of facts upon which the alleged instances of noncompliance are based; (3) a clear explanation of deficiencies in the facility’s chemical security program, including, if applicable, any deficiencies in the facility’s SVA, SSP, or both; (4) a statement indicating what actions the facility must take to remedy the instance of noncompliance; and (5) the date by which the facility must comply with the terms of the Order. 6 C.F.R. § 27.300(c).
A facility must comply with the terms of the Order by the date specified in the Order unless the facility has filed a timely Notice of Application for Review with the Assistant Secretary for Infrastructure Protection, Department of Homeland Security, and the General Counsel of the Department of Homeland Security. 6 C.F.R. § 27.300(d). Immediately upon the filing of any Application for Review, DHS will appoint an attorney who is employed by the Department and who has not performed any investigative or prosecutorial function with respect to the matter to act as a “neutral” adjudications officer (the “Presiding Officer”) for the compilation of a factual record and the recommendation of an Initial Decision for each proceeding. 6 C.F.R. § 27.315(a). The Presiding Officer appointed for each proceeding will immediately consider whether the summary adjudication of the Application for Review is appropriate, based on the Application for Review, the Response, and all the supporting filings of the parties, or whether a hearing is necessary. 6 C.F.R. § 27.330. The Presiding Officer will render an Initial Decision, which will become a final agency action on the expiration of the time for an Appeal. Id.
The Presiding Officer’s Initial Decision can be appealed to the Under Secretary for National Protection and Programs (also an employee of DHS) acting as a “neutral” appeals officer. 6 C.F.R. § 27.345. Any party that desires an Appeal must file a Notice of Appeal within seven calendar days of being served with the Presiding Officer’s Initial Decision. Id. The Under Secretary’s decision, when rendered, is considered a final agency action. Id.
Posted on August 15, 2007 at 12:09 PM in DHS Compliance | Permalink