Ammonium Nitrate Security Program NPRM – Record Keeping

On August 3^rd 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:

Ammonium Nitrate Rule Announced

Ammonium Nitrate Security Program NPRM - Introduction

Ammonium Nitrate Security Program NPRM - Registration

Ammonium Nitrate Security Program NPRM – Purchaser Verification

ANSP Commentary – Importation Not Covered

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.

TWIC Reader ANPRM – Record Keeping Requirements

This is the final blog posting in a series of blogs about the advanced notice of proposed rule making (ANPRM) that the Coast Guard recently published about the potential regulation of transportation worker’s identification credential (TWIC) reading devices. These devices would be used to verify the identity of people working in ships and facilities covered under the Maritime Transportation Security Act (MTSA). The other blogs in this series include: TWIC Reader ANPRM – Identification Techniques TWIC Reader ANPRM – Risk Groups TWIC Reader ANPRM – Reader Use by Risk Groups TWIC Reader ANPRM – Recurring Unescorted Access TWIC Reader ANPRM – Security Plan Requirements The ANPRM expresses the Coast Guard’s current thinking about what types of requirements will be included in the regulations that will be formally proposed later this year. This post looks at potential requirements for record keeping. As with any government program, record keeping will be used to confirm compliance with the new rules. Unescorted Access Records The TWIC Readers will be able to record the date and time of every reading, along with appropriate personal identification information. This type of information may be of use in law enforcement investigations. The Coast Guard is considering requiring facility and vessel owners to keep records of the entry data for two years. Since Risk Group C facilities and vessels are not required to use a TWIC Reader to control access, they will not be required to maintain these records. Interestingly, the Coast Guard is specifically not expecting to require that exit data records be maintained. They explain that they believe that “that type of requirement would be burdensome compared to the security benefit that it would provide” (74 FR 13368). With no requirement to record exit data, there will be no requirement to read TWIC upon exiting the facility/vessel. Recurring Unaccompanied Access Records For facilities or vessels that use the recurring unaccompanied access procedure the Coast Guard is expecting to require that the owner/operator maintain records of people that have been granted unaccompanied access under the procedure. The Coast Guard expects that they would be able to look at such records during an inspection and determine the identity of the (fourteen or fewer) personnel currently being authorized unaccompanied access under the recurring unaccompanied access procedure. The other part of the recurring unaccompanied access procedure that will be inspectable is the requirement to periodically check the validity of the TWIC. To be inspectable the Coast Guard would have to require that records of the validity checks would have to be maintained.