Monday, August 8, 2011

Ammonium Nitrate Security Program NPRM – Record Keeping

On August 3rd DHS published their Ammonium Nitrate Security Program (ANSP) notice of proposed rulemaking (NPRM). This blog post is part of a continuing series that looks at provisions of that NPRM. This post looks at the various record keeping requirements outlined in the NPRM. Previous posts in this series included:

The NPRM proposes requiring the maintenance of three different types of records; records of sales/transfers, records of purchaser verifications, and ANSP compliance records. The records keeping provisions apply to AN Facilities not AN Purchasers with the designated AN Facility Representative(s) responsible for compliance with those requirements.

Records of Sales/Transfers

Section 31.315 of the proposed rule would require that a record of each sale/transfer of ammonium nitrate would be maintained for a period of two years. The information required for each sale would include (76 FR 46953):

• Date of sale/transfer;

• Form and amount of payment;

• Quantity of ammonium nitrate sold/transferred;

• Type of packaging;

• Delivery location;

• The name, address, telephone number, AN Registered User Number, and photo identification document information of the AN Purchaser to whom it was sold/transferred; and,

• If the AN Purchaser uses an agent at the point of sale, the name, address, telephone number, and photo identification document information of the agent acting on behalf of the AN Purchaser.

DHS is considering requiring the inclusion of photo copies of any photo identification documents in the sales documentation record.

Records of Verification

There are two different types of verifications that facilities may have to perform for each AN sale/transfer. First, if the physical transfer is made to an Agent instead of the Purchaser, a record of how the facility confirmed that the person was authorized to act as an AN Agent in accordance with §31.310(b) (see Purchaser Verification blog post).

For all sales/transfers, DHS will require AN Facilities to maintain records of the Purchaser verification process including verifying the currency and authenticity of the Purchasers AN Registered User Number and the identity of the Purchaser and Agent. The Department is considering including in this requirement the maintenance of copies of printouts from the Department’s electronic verification process.

ANSP Compliance Records

In addition to the sale/transfer transaction records discussed above the AN Facility would be required to maintain copies of:

• AN Registered User Number certificates for each of the AN Facility Representatives, the AN Facility POC and any other AN Seller at the facility;

• Reports of theft or loss of AN;

• Reports showing reconciliation of sales/transfer and inventory; and

• Any correspondence or orders from DHS concerning the Ammonium Nitrate Security Program (ANSP).

Each AN Facility would be required to take ‘reasonable actions’ to protect the above records and to make them available for inspection by DHS. In the discussion of reasonable actions DHS describes typical actions including “storage in locked file cabinets for paper recordkeeping or password-protecting files for electronic recordkeeping” (76 FR 46933). During prior notice inspections facilities would be expected to have the records available on site and must be produced within four hours of the start of an unannounced inspection.

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