Form DHS Form 9007 DHS Form 9007 CSAT Top Screen Questions Guide

Chemical Security Assessment Tool (CSAT)

CSAT Top-Screen Survey Application User Guide

CSAT Top-Screen

OMB: 1670-0007

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CSAT Top-Screen
Survey Application
User Guide

September 2010
Version 1.99

CSAT Top-Screen Survey Application User Guide

Table of Contents
1.

Introduction..............................................................................................................1
1.1
Chemical Facility Anti-Terrorism Standards....................................................... 1
1.2
The Top-Screen Process ..................................................................................2
1.2.1
Security Vulnerability Assessments ............................................................ 3
1.3
Getting Additional Help .....................................................................................3
2. Getting Started ........................................................................................................4
2.2
Chemical-terrorism Vulnerability Information ..................................................... 4
2.2.1
CVI Authorizing Statements ....................................................................... 4
2.2.2
CVI Training ...............................................................................................6
2.3
CSAT User Access Roles .................................................................................6
2.4
Top-Screen Resources and Recommendations ................................................ 7
2.4.1
Top-Screen Personnel Support .................................................................. 8
3. Using CSAT........................................................................................................... 10
3.1
Accessing CSAT ............................................................................................. 10
3.2
Managing Users .............................................................................................. 10
3.2.1
Adding/Deleting Reviewers ...................................................................... 11
3.3
Updating Facility Data ..................................................................................... 12
3.4
Top-Screen Navigation ................................................................................... 13
3.4.1
Navigation Buttons ................................................................................... 13
3.4.2
Top-Screen Navigation Menu ................................................................... 13
3.4.3
Progress Bar ............................................................................................ 14
3.5
Entering Top-Screen Data............................................................................... 15
3.5.1
Saving Data ............................................................................................. 16
3.5.2
Validating Data......................................................................................... 16
4. General Facility Information ................................................................................... 17
4.1
Updating Facility Information ........................................................................... 17
4.2
Facility Description .......................................................................................... 22
4.3
Facility Regulatory Mandates .......................................................................... 22
4.3.1
Statutory Exemptions ............................................................................... 25
4.4
EPA RMP Facility Identifier ............................................................................. 26
5. Petroleum Refineries ............................................................................................. 28
5.1
Refinery Capacity ............................................................................................ 28
5.2
Airport Fuels Supplier ...................................................................................... 30
5.3
Military Installation Supplier ............................................................................. 30
6. Liquefied Natural Gas Storage Facilities ................................................................ 31
6.1
LNG Capacity.................................................................................................. 31
6.2
LNG Exclusion Zone ....................................................................................... 31
6.3
LNG Exclusion Zone Details ........................................................................... 32
7. COI Identification ................................................................................................... 33
7.1
Release-Toxic COI .......................................................................................... 35
7.1.1
Calculating Release-Toxic COI ................................................................ 36
7.1.2
Calculating Minimum Concentration of Release-Toxic COI ...................... 38
7.1.3
Facility Topography .................................................................................. 39

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7.1.4
Reporting TOQ and Distance of Concern for Release-Toxic COI ............. 40
7.1.5
Reporting the AHQ and Distance of Concern for Release-Toxic COI ....... 45
7.1.6
Underground Storage for Release-Toxic COI ........................................... 46
7.2
Release-Flammable COI ................................................................................. 48
7.2.1
Calculating Release-Flammable COI ....................................................... 50
7.2.2
Calculating Minimum Concentration of Release-Flammable COI ............. 52
7.2.3
Reporting the Total Quantity of Release-Flammable COI ......................... 53
7.2.4
Reporting the Quantity of Release-Flammable COI in the AHQ ............... 54
7.2.5
Underground Storage for Release-Flammable COI .................................. 55
7.2.6
Gasoline-Specific Questions .................................................................... 56
7.2.7
Underground Storage for Release-Flammable COI .................................. 57
7.3
Release-Explosive COI ................................................................................... 61
7.3.1
Calculating Release-Explosive COI .......................................................... 62
7.3.2
Calculating Minimum Concentration of Release-Explosive COI................ 63
7.3.3
Reporting the Total Quantity of Release-Explosive COI ........................... 64
7.3.4
Reporting the Quantity of Release-Explosive COI in the AHQ .................. 65
7.4
Theft/Diversion-Explosives/Improvised Explosive Device Precursor COI ........ 66
7.4.1
Calculating Theft/Diversion-EXP/IEDP COI .............................................. 67
7.4.2
Calculating Minimum Concentration of Theft/Diversion-EXP/IEDP COI.... 67
7.4.3
Describing Theft/Diversion-EXP/IEDP COI .............................................. 68
7.5
Theft/Diversion-Weapon of Mass Effect COI ................................................... 69
7.5.1
Calculating Theft/Diversion-WME COI ..................................................... 70
7.5.2
Calculating Minimum Concentration of Theft/Diversion-WME COI ........... 71
7.5.3
Describing Theft/Diversion-WME COI ...................................................... 71
7.6
Theft/Diversion-Chemical Weapons/Chemical Weapon Precursor COI ........... 72
7.6.1
Calculating Theft/Diversion-CW/CWP COI ............................................... 73
7.6.2
Calculating Minimum Concentration of Theft/Diversion-CW/CWP COI ..... 73
7.6.3
Describing Theft/Diversion-CW/CWP COI ................................................ 74
7.7
Sabotage/Contamination COI.......................................................................... 75
7.7.1
Calculating Sabotage/Contamination COI ................................................ 76
7.7.2
Calculating Minimum Concentration of Sabotage/Contamination COI ...... 76
7.8
Mission Critical Chemicals .............................................................................. 77
7.8.1
Capacity Utilization Rate .......................................................................... 81
7.8.2
National Emergency Production Rate ...................................................... 82
7.9
Economically Critical Chemicals...................................................................... 82
8. Top-Screen Completion ......................................................................................... 88
8.1
Validating Reports ........................................................................................... 88
8.2
Summary Reports ........................................................................................... 88
8.3
Transferring to Submitter................................................................................. 89
8.4
Submitter Review ............................................................................................ 90
8.5
Printing Top-Screen Surveys........................................................................... 91
8.6
Submitting Top-Screen Surveys ...................................................................... 91
List of Acronyms............................................................................................................ 93
Attachment A: Tools for Estimating TOQ and Amount in AHQ ...................................... 94
Example: TOQ Worksheet for Three COI in a Facility with Rural Topography ........... 94
Example: AHQ and Distance of Concern Worksheet for Three COI in a Facility with
Rural Topography...................................................................................................... 99

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Example: Worksheet for Release-Flammable and Release-Explosive COI that are
located in same AHQ............................................................................................... 105
Attachment B: Sample Facility Letter (Not High-Risk).................................................. 109
Attachment C: Sample Facility Letter (Preliminary Tier Determination) ....................... 110

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1. Introduction
This document is the User Guide for the Chemical Security Assessment Tool (CSAT)
Top-Screen Survey Application, an information-gathering application developed by the
U.S. Department of Homeland Security (DHS) to help identify high-risk chemical facilities
which are subject to the Chemical Facility Anti-Terrorism Standards (CFATS; 6 CFR Part
27) and to determine preliminary tier placements for those facilities. DHS has developed
this document to assist facilities in completing the Top-Screen survey and submitting it to
DHS.
All examples in this User Guide are illustrative and intended to highlight a specific point.
Each facility must carefully consider the unique characteristics and circumstances of its
own facility to determine the relevance and appropriateness of each example.

1.1 Chemical Facility Anti-Terrorism Standards
On October 4, 2006, President Bush signed the Department of Homeland Security
Appropriations Act of 2007, which provides DHS with the authority to regulate the
security of high-risk chemical facilities (see Public Law 109-295 § 550). The Chemical
Facility Anti-Terrorism Standards (CFATS; 6 CFR Part 27) Interim Final Rule (IFR)
was published on April 9, 2007. See 72 Fed. Reg. 17688. The IFR went into effect on
June 8, 2007, except for the tentative list of Chemicals of Interest, which DHS published
as Appendix A, the DHS Chemicals of Interest (COI) list, to the IFR. DHS accepted
comment on the list and published a final Appendix A COI list on November 20, 2007.
See 72 Fed. Reg. 65396.
The purpose of 6 CFR Part 27 is to lower the risk posed by certain chemical facilities. 6
CFR Part 27 requires chemical facilities to provide DHS with information to determine
whether they are a covered (i.e., high-risk) facility and are therefore required to meet
certain security performance requirements. In order to identify high-risk chemical
facilities, the Department has identified a COI for preliminary screening based on the
belief that such chemicals, if released, stolen, diverted, and/or contaminated, have the
potential to create significant human health and/or life consequences.
If a facility possesses a COI that is on the DHS Chemicals of Interest list (6 CFR Part 27,
Appendix A) at or above the Screening Threshold Quantity (STQ) for any applicable
security issue, the facility must complete and submit a Top-Screen to DHS. 6 CFR §
27.200 of CFATS authorizes DHS to collect information from chemical facilities on a
broad range of topics related to the potential consequences of or vulnerabilities to a
terrorist attack or incident. The CSAT Top-Screen is one method DHS may use under 6
CFR § 27.200 to gather such information. The Top-Screen is available through CSAT, a
secure, Web-based system. After analyzing a facility’s Top-Screen information, DHS will
make a preliminary determination of whether a facility presents a high level of security
risk and therefore must comply with additional requirements of CFATS.

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1.2 The Top-Screen Process
The first step for a facility to take in determining whether it is covered under CFATS is to
review the exemptions listed in 6 CFR § 27.110. Unless a facility is exempt, it must
review Appendix A to 6 CFR Part 27 to determine whether it possesses any COI at or
above the listed STQ. DHS has listed the security issue(s) associated with each COI;
each chemical presents at least one security issue, and some chemicals present
multiple security issues. Where there are multiple security issues associated with a
chemical, a facility must complete and submit a Top-Screen if it meets or exceeds the
STQ for any of the applicable security issues.
If a facility determines that it possesses a COI at or above any applicable STQ, the
facility must register with DHS for access to DHS CSAT 1 and complete the Top-Screen
Survey Application. Using the information submitted via the Top-Screen Survey
Application, DHS will make a preliminary determination whether the facility presents a
high level of security risk. NOTE: If a Top-Screen submitted by a facility is rejected by
DHS for any reason, the facility will need to repeat the screening process, and all of the
information must be re-entered.
The CSAT Top-Screen follows a logical, two-step data collection process:
•

Step one involves collecting basic facility identification information.

•

Step two involves collecting information about the chemicals a facility possesses,
manufactures, processes, uses, stores, and/or distributes. Questions cover the
following security issues:
o

Release-toxic, release-flammable, and release-explosive chemicals with the
potential for impacts within and beyond a facility;

o

Theft of explosive/improvised explosive device precursor (Theft/DiversionEXP/IEDP) chemicals, theft of weapon of mass effect (Theft/Diversion-WME)
chemicals, and theft of chemical weapon/chemical weapon precursor
(Theft/Diversion-CW/CWP) chemicals;

o

Sabotage/contamination chemicals; and

o

Chemicals which are critical to Government Mission and National Economy.

The Top-Screen also provides additional questions for each of the following facility
types:
•

Petroleum refining and

•

Liquefied natural gas (LNG) storage (e.g., peak shaving facilities).

Upon completion of the Top-Screen, facilities will be presented with one of two
outcomes:

1

CSAT is a suite of four applications, including User Registration, Top-Screen, Security
Vulnerability Assessment (SVA), and Site Security Plan (SSP), through which the Department
will collect and analyze key data from chemical facilities.

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•

If DHS makes a preliminary determination that a facility is not high-risk, DHS will
send a letter to the facility Submitter which states such a determination (see
Attachment B for an example of such a letter).

•

If DHS makes a preliminary determination that a facility is high-risk, DHS will
send a letter to the facility (see Attachment C for an example of such a letter).
The letter will notify the facility of:
o

Its preliminary status as a high-risk facility,

o

Its preliminary placement in a risk-based tier pursuant to §27.220(a), and

o

The specific COI and related security issues that need further analysis.

1.2.1 Security Vulnerability Assessments
If DHS makes a preliminary determination that a facility is high-risk, DHS will require the
facility to complete a Security Vulnerability Assessment (SVA). A SVA is designed to
identify and assess the security of a facility’s critical assets in light of the security issues
raised by DHS in the preliminary tier determination letter.
Following a facility’s submission of the SVA and its analysis by DHS, DHS will either
confirm that a facility is high-risk or inform a facility that DHS no longer considers the
facility to be high-risk or subject to further regulation under CFATS. For facilities
confirmed to be high-risk, DHS will communicate the final facility tier determination and
the facilities must develop and implement Site Security Plans (SSPs) that satisfy the
Risk-Based Performance Standards (RBPS) enumerated in 6 CFR § 27.230.

1.3 Getting Additional Help
CSAT users may call the CSAT Help Desk with questions regarding the CSAT TopScreen and other elements of CSAT. The CSAT Help Desk can be reached at
866-323-2957 (toll free) between 7 a.m. and 7 p.m. (Eastern time), Monday through
Friday. The CSAT Help Desk is closed for Federal holidays.

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2. Getting Started
2.1 CSAT Registration
Your facility may register to use the CSAT system by filling out a User Registration form
at http://www.dhs.gov/chemicalsecurity. For assistance in registering to use CSAT,
please refer to the CSAT User Registration User Guide, which is available online at
http://www.dhs.gov/xlibrary/assets/chemsec_csatuserregismanual.pdf. After your facility
has registered with DHS to use the CSAT system, your facility will have access to the
CSAT Top-Screen Survey Application.

2.2 Chemical-terrorism Vulnerability Information
All information entered into the CSAT Top-Screen is Chemical-terrorism Vulnerability
Information (CVI). Both the information maintained by DHS (on servers prior, during, and
after submission) and the resulting Top-Screen that DHS prepares and shares with a
facility are CVI and will be marked accordingly.
Information developed or submitted pursuant to CFATS’ authorizing statute is
considered CVI, while information developed under other statutory regimes or for a
facility’s own purposes may not be considered CVI (see CFATS IFR, 72 Fed. Reg.
17715). Therefore, some of the original information used by a facility to complete the
Top-Screen and held by a facility may not be CVI. Please refer to the CVI Procedures
Manual, which is available at http://www.dhs.gov/chemicalsecurity, for more details
regarding CVI and the protection of chemical facility security information. Examples of
what is considered to be CVI—and not CVI—include:
•

A copy of the Top-Screen (in any media) submitted to DHS is CVI.

•

The information residing on DHS servers entered by a facility but not yet
submitted to DHS is CVI.

•

A printout of a Top-Screen screenshot without information completed by a facility
is not CVI.

2.2.1 CVI Authorizing Statements
The first screen that you will see upon entering CSAT for the first time is the CVI
Authorizing Statements screen (see Picture 2.1).

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Check
Boxes

Picture 2.1: CVI Authorizing Statements

The CVI Authorizing Statements constitute a Non-Disclosure Agreement between DHS
and your facility. Acknowledgement and agreement to abide by the CSAT Top-Screen
Authorizing Statements suffices to provide users access to the CSAT Top-Screen
survey. It also allows DHS to send a CVI letter to the CSAT Top-Screen Submitter
and/or Preparer with their facility’s preliminary tier designation.
•

To show acknowledgement of and agreement with the CVI Authorizing
Statements, select the check boxes next to each of the authorizing statements,
followed by clicking the [Accept] button at the bottom of the page. NOTE: All
users are required to abide by the CSAT Top-Screen CVI Authorizing Statements
before they are allowed to proceed. If you do not wish to abide by the CVI
Authorizing Statements and are not willing to accept the conditions, you will not
be able to enter the Top-Screen.

•

Acceptance of the CVI Authorizing Statements will allow you access to the TopScreen application. Your access will be limited to CVI created by the preparation
and submission of the CSAT Top-Screen. You will not be issued a CVI
Authorized User Number, and access to other CVI will require meeting additional
criteria as specified by DHS. NOTE: Access to the CSAT SVA and SSP surveys
will be limited to only CVI Authorized Users who have completed the CVI training
and received a CVI Authorized User Number.

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2.2.2 CVI Training
The CVI Authorizing Statements briefly summarize the information that is available
through the DHS CVI training. Your access to other CVI without limitations on access
and disclosure (given a properly determined need-to-know judgment) will require
successful completion of the training available at www.dhs.gov/chemicalsecurity. After
completing the DHS CVI Training, you will be issued a CVI Authorized User Number.
Becoming a certified CVI Authorized User will abrogate the CVI Authorizing Statements
embedded within the Top-Screen.

2.3 CSAT User Access Roles
A variety of individuals for each facility can be authorized to use CSAT. Each registered
individual will be assigned a specific role with access rights and privileges based on that
role, unless roles are transferred by the facility through the CSAT system.

CSAT User Role

Description

Preparer

A user who is authorized to enter the data into the CSAT system
and can designate the Top-Screen as ready for review by the
Submitter. The Preparer is a qualified individual who is familiar
with the facility in question. When the Preparer sends the TopScreen to the Submitter for review, the Preparer will no longer be
able to edit the information in the Top-Screen unless the TopScreen is returned to the Preparer by the Submitter for revision.

Submitter

A user who is designated by the facility to submit the information
collected in the CSAT system to DHS in accordance with 6 CFR §
27.200(b)(3). When the Submitter has access to the Top-Screen,
he/she may revise the information contained therein.

Authorizer

A user who provides assurance to DHS that the Submitter and
Preparer are authorized to complete the CSAT information. The
Authorizer is the individual who verifies to DHS that the Submitter
and Preparer are authorized to complete the CSAT Top-Screen on
behalf of a facility. The Authorizer is allowed to review information
in the Top-Screen but not to enter, edit, or submit the information,
unless he or she is also the Preparer or Submitter.

Reviewer

A user who is allowed to review information but not to enter, edit,
or submit the information. A Reviewer does not have edit or
approval privileges and must be invited by a known user from
within the Top-Screen. Upon logging in, the Reviewer must agree
to all use requirements and to the CVI Non-disclosure
Agreement/Authorizing Statement.
Table 2.1: CSAT User Role Descriptions

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•

It is the responsibility of each facility to organize and manage the individuals and
teams of individuals who contribute to its CFATS compliance, particularly during the
completion and submission of the Top-Screen.

•

The Preparer, Submitter, and Authorizer can be the same person or different
individuals. A single individual can have a given role for one or more facilities within a
single organization.

•

Once the Submitter transmits the Top-Screen to DHS, it is no longer accessible to
the facility or its designated Preparer, Submitter, Authorizer, or Reviewer(s).

•

For additional information about the CSAT registration process and user roles,
please see the CSAT User Registration Guide and Account Management Guides,
which are available at
http://www.dhs.gov/xprevprot/programs/gc_1169501486197.shtm. The CSAT Help
Desk can also provide further information on users and user roles for purposes of
completing the Top-Screen.

2.4 Top-Screen Resources and Recommendations
Prior to completing the Top-Screen, DHS recommends that each facility read and review
the following materials:
•

A copy of 6 CFR Part 27 (see 72 Fed. Reg. 17688).

•

A copy of the 2007 Appendix A to 6 CFR Part 27, the DHS COI list with STQs
(see 72 Fed. Reg. 65396).

•

A copy of the downloadable PDF file with Top-Screen questions that may be
used as a worksheet.

•

A copy of the Chemical-terrorism Vulnerability Information (CVI) Procedures
Manual regarding protection of CVI information.

All of these materials, as well as more details on 6 CFR Part 27 and CVI, are available
on the DHS Web site, www.dhs.gov/chemicalsecurity. Furthermore, DHS recommends
that facilities gather the following information before completing the Top-Screen:
•

North American Industrial Classification System (NAICS) codes.

•

Data Universal Numbering System (DUNS) numbers, which are available at
http://www.dnb.com.

•

Latitude and longitude of the center of the facility.

•

Parent company name(s) and DUNS number(s).

•

Joint venture name(s) and DUNS number(s).

•

Host/tenant facility name(s).

•

Environmental Protection Agency Risk Management Plan (EPA RMP) identifier
numbers for the facility and host/tenant facilities, if applicable. EPA RMP
regulation is located at 40 CFR, Part 68.

•

Number of employees and full-time resident contractors.

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•

Chemical inventory information, including:
o

The names and quantities of all DHS COI that are manufactured, processed,
used, stored, or distributed at the facility; and

o

The location of the Area of Highest Quantity, a 170-foot radius around the
area where the greatest amount of the chemical with a release concern is
located.

•

The most recent EPA RMP submittal, including the EPA identifier number,
covering processes, inventories of chemicals, and off-site consequence
analyses.

•

A copy of RMP*Comp to calculate information required for chemicals with a toxicrelease concern. RMP*Comp is a software application used to perform the offsite consequence analysis required under the RMP rule. This resource will be
needed for information related to toxic-release chemicals regardless of whether
the facility itself is subject to the EPA RMP regulation. RMP*Comp can be
downloaded at http://www.epa.gov/emergencies/content/rmp/rmp_comp.htm.

•

Records used to prepare the annual Tier 2 report under the Emergency Planning
and Community Right-to-Know Act (EPCRA). These records will include
inventory and storage locations for various chemicals at a facility.

•

Records used to comply with the Chemical Weapons Convention (CWC).

•

Financial, sales, and marketing information that will be helpful in reporting
production values, market share, capacity utilization rates, and product
applications for economically critical and mission critical chemicals, if applicable.
Census forms such as the Annual Survey of Manufacturers and the Survey of
Plant Capacity Utilization will also be helpful if the company or facility has been
asked to complete them previously. These forms are available from the U.S.
Census Bureau at http://bhs.econ.census.gov/BHS/index.html.

2.4.1 Top-Screen Personnel Support
For some facilities, the following personnel may be able to provide facility information in
the areas noted in the preparation and submittal of the CSAT Top-Screen:

Personnel Type

Top-Screen Areas

Process Safety personnel

RMP inventories and related information and
documents

Environmental personnel

Inventories of chemicals

Shipping/Receiving/Logistics personnel

Inventories, sales and shipping information

Research and Development personnel

Amounts of COI used in pilot plants and/or laboratories
at the facility

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Personnel Type

Top-Screen Areas

Marketing/Sales personnel

Mission critical and economically critical information, as
well as end-use(s) for COI

Engineering personnel

Replacement costs, capacities, and throughputs

Table 2.2: Personnel Support for Top-Screen Submission

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3. Using CSAT
3.1 Accessing CSAT
After you have completed the CVI Authorization and have logged into CSAT, the
following screen will appear:

Picture 3.1: CSAT Survey List Screen

The CSAT Survey List screen lists each registered facility to which you are assigned
and the associated surveys to which you have access, including Top-Screens. This
screen presents you with three options:
1) Accessing the Top-Screen application for a given facility;
2) Managing user roles for any of the facilities displayed; and/or
3) Updating facility information with a new name or address.
NOTE: Your CSAT session will time out after 20 minutes if the system is not in use. If
that happens, you will need to log back in to CSAT to restart you session. Data you have
saved will not be lost, and your new session will open on the same screen where your
previous session ended.

3.2 Managing Users
Submitters, Preparers, and Authorizers can add or delete Reviewers to a Top-Screen
survey. To add new users, click the [Manage User Roles] button on the left side of the
CSAT Survey List screen. The following screen will appear:

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Picture 3.2: CSAT User Management Screen

3.2.1 Adding/Deleting Reviewers
A Reviewer with read-only privileges may be added to each registered facility to which
you are assigned. Reviewers added to the Top-Screen survey will have their privileges
to view a survey for a specific facility carried over into the related SVA and SSP for that
same facility. NOTE: Authorizers, Submitters and Preparers cannot grant themselves
Reviewer privileges. Doing so will disable all other privileges.
•

To add a Reviewer, click the [Add Reviewer] button to the right of the survey for
which you would like to add the Reviewer. A new screen will appear:

Picture 3.3: CSAT Reviewer Access Screen

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The CSAT Reviewer Access screen will ask whether you would like to grant
reviewer access to an existing CSAT user or to a new CSAT user. Select the
appropriate choice by clicking the appropriate button—[Grant Access to Existing
CSAT User] or [Grant Access to New CSAT User]—and entering the requested
information.
•

To delete a reviewer, click the [Delete] button.

•

When you are finished, click the [Return to CSAT Survey List] button to return to the
CSAT Survey List screen.

3.3 Updating Facility Data
To update facility information, including changing facility name or address, click the
[Update Facility Info] button on the CSAT Survey List screen. The Update Facility
Information screen will appear.

Register a
New Facility
Command

Picture 3.4: Update Facility Information Screen

•

When you are finished updating your facility’s information, click the [OK] button on
the bottom of the screen to save your updates.

•

To leave the screen without saving your updates, click the [Cancel] button on the
bottom of the screen.

•

NOTE: Do not use this screen to enter a new facility. If a new facility needs to
registered, click the register a new facility link at the top of the screen.

You can also access the Update Facility Information screen while using the TopScreen application. Please see Section 4.1 for more details.

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3.4 Top-Screen Navigation
3.4.1 Navigation Buttons
You can navigate within the Top-Screen application by using the [Next] and [Back]
buttons on the screen.

Picture 3.5: Navigation Buttons

•

Using the [Next] and [Back] buttons will automatically save the information that you
entered on any given page within the application.

•

If you have entered information on one screen of the Top-Screen but do not intend to
go to another screen, click the [Save] button to retain the information.

•

NOTE: Do not use the [Back] button (or arrows) in your Web browser to navigate
through the Top-Screen. Using your browser’s navigation buttons can result in lost
data.

3.4.2 Top-Screen Navigation Menu
After you complete the General section of the Top-Screen, a navigation menu will
appear on the left side of the screen, as seen in Picture 3.6.

Picture 3.6: Top-Screen Navigation Menu

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You can navigate through the Top-Screen by selecting the desired topic in the TopScreen Navigation Menu. NOTE: You can only select the menu commands that are
displayed in bold blue text.

3.4.3 Progress Bar
In the upper right corner of each screen is a green Progress Bar indicating the
percentage of a survey that is complete (see Picture 3.7). If the user returns to a
previously completed section, the progress bar shows a new, recalculated amount, with
the updated percent complete.
The percentage calculations are adaptive, in parallel with the survey, so the Progress
Bar changes each time the user makes a survey response. When the user changes the
survey, the Progress Bar illustrates a revised total Survey Completion percent that is
aligned with the robust survey questions. As a direct result of the answers given, the
proportion shown is based on survey questions, including those that may be added or
subtracted. The corresponding new total will be reflected in the percentage displayed in
the Progress Bar.

Picture 3.7: Survey Completion Progress Bar

A second Progress Bar appears under the main Survey Completion Progress Bar on
screens that have questions about specific subtopics within the survey, such as
economically critical chemicals. Picture 3.8 shows an example of the second Progress
Bar indicating the percentage of information that is complete about the subtopic.

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Picture 3.8: Survey Completion Progress Bar and Subtopic Completion Bar

3.5 Entering Top-Screen Data
•

On some screens, you will need to enter additional text into text boxes to complete
the response to a question. When you are finished entering text, use the [Add] button
next to the text box to save your information. If you decide to empty a text box of the
text you have entered, use the [Delete] button next to the text box. See Picture 3.9
for an example.

Picture 3.9: Add and Delete Buttons

•

On screens where further explanation of an item is required, a [Describe] button is
provided. Click the button to answer additional questions specific to that item. At the
conclusion of these additional questions, you will be asked to select a check box to
verify that the description you provided is complete. When you indicate that the
questions are complete, you will be returned to the original list of items.
o

If you marked the item as being complete and all required questions were
answered for that item, the item will be displayed with a green Complete
icon.

o

If you do not check the box to indicate that the questions are complete, or if
any required questions were not answered, the item will be displayed with a
yellow Incomplete icon.

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Picture 3.10: Description Buttons and Icons

3.5.1 Saving Data
All of the information you enter into the Top-Screen is saved when you click the [Save]
button, or when you click either the [Next] or [Back] button. You can exit and return to
CSAT multiple times until your Top-Screen is complete; the information that has been
saved during the previous session will be available to you upon re-entry into the TopScreen.

3.5.2 Validating Data
Data validation ensures that you have entered your information in the correct format
(e.g., that a phone number is numeric and formatted correctly). The system performs
some basic data validation before allowing a user to move to another screen. The user
can perform a more thorough data validation by selecting the Validate Report option on
the Top-Screen Navigation Menu, as seen in Picture 3.6. The Validate Report option
is also done automatically before Top-Screen submission.
Using the Validate Report option provides a more complete information formatting
review. A Validate Report error message will be displayed if required data input fields
are empty or completed incorrectly, and you will be allowed to return to the error and
correct it. For example, an error message will be displayed if the name of the facility is
not entered (see Picture 3.11). The link provided on the error message will direct you to
the input area for correction.

Error
Correction
Link

Picture 3.11: Validate Report Error Message

NOTE: Data validation is performed only for logic and basic errors. Therefore, you
should not expect the Validate Report option to ensure that your Top-Screen has been
completed without errors. Your Submitter is responsible for submitting accurate and
correct information to the best of his/her knowledge.

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4. General Facility Information
All facilities completing the Top-Screen must begin by completing the General section, which collects basic facility information. On
the basis of the information input into the General section, the Top-Screen will verify whether your facility is statutorily exempt from
CFATS regulations.

4.1 Updating Facility Information
The first screen in the General section allows you to review and update your facility’s information. Click the [Update Facility Info]
button at the bottom of the screen to edit the address and provide other facility information. The table below provides more
information on how to update facility information.

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Picture 4.1: Top-Screen General Section Screen

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Top-Screen Data
Field/Question

Data Field/Question Details
• Facility Name: The name must be specific to your facility. If your facility is one of a corporation’s multiple facilities, the
name should be the corporate name and the location (e.g., “ABC Oil Refining — Hightown Plant”).

Facility Information

• Alternative Facility Name: Provide any alternative name(s) by which your facility may be known (e.g., “Green Street
Facility” or “Downtown Facility”). If your facility has no alternative name, leave this field blank.
• Facility Location Address: Enter your facility’s address for its physical location, including the street, city, state, ZIP
code (with the four-digit extension, if applicable), and county. This address might not be the same as your facility’s
mailing address. Use local street and road designations, not post office or rural box numbers.
Enter the name and Dun and Bradstreet (DUNS) number of the corporation(s) or other business entity/entities (if any)
that control at least 50 percent of the voting stock of the company that owns or operates the facility.

Parent Company

• If a facility is owned by a joint venture, enter the name and DUNS number of the first of the two major owners.
• If a facility does not have a parent company or is not owned or operated by a joint venture, leave these fields blank and
complete the Describe the facility’s ownership text box provided.
Choose the appropriate description of the facility’s relationship to other entities, operations or businesses (if any) on its
property (i.e., hosts a tenant on-site; is a tenant on another entity’s facility, or is the sole occupant of the property). A
facility that is co-located shares a site with another company's facility through either a host or a tenant agreement.

Co-located Entities

• If a facility does not share a site with another company's facility, it is the sole tenant and you should select the Not
applicable option button.
• If a facility is host to a co-located tenant facility or is a co-located tenant facility, please provide the name and EPA RMP
ID for each host/tenant facility. Add additional rows if necessary by clicking the [Add] button.
• If the facility does not share its property with another facility, leave this field blank.

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Top-Screen Data
Field/Question

Data Field/Question Details
An SVA enables the identification and evaluation of security hazards, threats, countermeasures, and vulnerabilities.

Security
Vulnerability
Assessment (SVA)

• If an SVA has been conducted for your facility, select the Yes option button and enter the methodology used for the
SVA.
• For facilities that have conducted an SVA previously, enter the date when the most recent SVA was completed at the
facility. Use the following date format: mm/dd/yyyy (e.g., May 1, 2006 is entered as 05/01/2006).

Facility NAICS

Provide the five- or six-digit NAICS code that corresponds most closely to the primary activity of your facility as a whole.
The first three digits of the code define a major business sector (e.g., 325 represents Chemical Manufacturing), and the
last two or three digits indicate an establishment’s specialty within the major sector (e.g., 325131 represents Inorganic
Dye and Pigment Manufacturing). NAICS codes are maintained by the U.S. Census Bureau, and they can be found on its
Web site at http://www.census.gov/epcd/naics02/.

Facility DUNS

Provide the facility’s nine-digit DUNS number. This number is a unique identifier that allows facility information to be
cross-referenced with other business information. If a facility has a DUNS number, it should be available from the
company’s financial officer or corporate headquarters. It can also be located through the DUNS Web site at
http://www.dnb.com.

EPA RMP Facility
ID

If a facility conducts EPA RMP-covered processes, fill in the unique 12-digit number assigned to the facility by the RMP
Reporting Center. The RMP Reporting Center includes this number in the acknowledgment letter to the facility. If a facility
does not operate an RMP-covered process, leave this field blank.

Owner Name

Enter the name of the person or entity that owns the facility. This may be a person, company, cooperative, state,
municipality, or other entity. It may or may not be the same as the name entered for the facility operator; if the owner and
operator are the same, enter the same information in both data fields.

Operator Name

Enter the name of the person or entity that is responsible for the daily operations of the facility. This may be a person,
company, cooperative, state, municipality, or other entity. It may or may not be the same as the name entered for the
facility owner; if the owner and operator are the same, enter the same information in both data fields.

Number of Full
Time Employees

Enter the maximum number of employees. Provide the number of full-time (or resident) contractors at the facility at any
given time, including shift changes. Do not include part-time or short-term workers, such as those who are brought in for
turnarounds or construction, when determining this number. Do not use commas when entering data.

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Top-Screen Data
Field/Question

Data Field/Question Details

Facility
Coordinates

Please verify that the latitude/longitude coordinates are correct. Latitude and longitude cannot be changed on this screen;
please contact the CSAT Help Desk to modify incorrect latitude and/or longitude information.

•

When you are finished updating your facility’s information, click the [OK] button on the bottom of the screen to save your updates.

•

To leave the screen without saving your updates, click the [Cancel] button on the bottom of the screen.

NOTE: Special Handling of the Owner and Operator Names. The Owner and Operator Names, like all data in the Top-Screen, can
be entered and updated as needed while a facility completes an initial Top-Screen. Once a facility’s initial Top-Screen has been
submitted to DHS the ability to edit the Owner and Operator fields becomes restricted. After submission only one of the fields may
be edited; once changed the other field will become uneditable. For further clarification or help with updates, please call the Help
Desk.

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4.2 Facility Description
This section of the Top-Screen is designed to collect information that will provide DHS with a better understanding of your facility’s
type and its surrounding environment.

Top-Screen Question

Question Details
Use the drop-down list box to select a facility type. The options include:
• Petroleum refining;

Choose the facility type that
best describes your facility.

• LNG storage (e.g., peak shaving facility); and
• Chemical manufacturing, use, storage, and distribution (e.g., any public or private facility that
manufactures, processes, uses, stores, or distributes chemicals). This type of facility can
range from a large petrochemical manufacturing facility to a facility that uses anhydrous
ammonia for refrigeration.

NOTE: All facilities, regardless of type, must answer the questions related to chemical manufacturing, processing, use, storage, and
distribution.

4.3 Facility Regulatory Mandates
The next set of questions in the General section relates to the statutory exemptions from Section 550 of the DHS Appropriations Act
of 2007 (P.L. 109-295), which DHS has incorporated into the regulation at 6 CFR Part § 27.110.

Top-Screen Question

MTSA-Regulated Facilities

Question Details
• If your entire facility is regulated pursuant to the Maritime Transportation Security Act of 2002
(MTSA), Public Law 107-295, as amended, select Yes and follow the instructions to complete
and exit the Top-Screen. MTSA facilities are exempt from CFATS.
• If a portion of your facility is regulated pursuant to MTSA and a portion of your facility is not

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Top-Screen Question

Question Details
regulated pursuant to MTSA, select Partially and continue to complete the Top-Screen for the
non-MTSA portion of the facility.
• If your facility is not regulated pursuant to MTSA, select No and continue to complete the
Top-Screen.
• See the preamble to 6 CFR Part 27 for further information about facilities that may be
regulated under MTSA. More information about MTSA is available at
http://www.uscg.mil/HQ/G-M/MP/mtsa.shtml.
• If your facility is a Public Water System as defined by Section 1401 of the Safe Drinking
Water Act, Public Law 93-523, as amended, select Yes and follow the instructions for
completing and exiting the Top-Screen.

Public Water System

• If your facility contains a Public Water System as defined by the Safe Drinking Water Act, but
also contains components that are not covered by that definition, select Partially, and
continue to complete the screen for the portion of the facility not defined under the Safe
Drinking Water Act.
• If your facility is not a Public Water System as defined under the Safe Drinking Water Act,
select No and continue to complete the Top-Screen.
• More information about the Safe Drinking Water Act is available at
http://www.epa.gov/safewater/sdwa/.

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Top-Screen Question

Question Details
• If your facility is a Treatment Works as defined in Section 212 of the Federal Water Pollution
Control Act, Public Law 92-500, as amended, select Yes and follow the instructions for
completing and exiting the Top-Screen.

Treatment Works

• If your facility contains a Treatment Works as defined by the Federal Water Pollution Control
Act but also contains components that are not covered by that definition, select Partially and
continue to complete the screen for the portion of the facility not so defined under the Federal
Water Pollution Control Act.
• If your facility is not a Treatment Works as defined under the Federal Water Pollution Control
Act, select No and continue to complete the Top-Screen.
• For the definition of Treatment Works in Section 212, see http://epw.senate.gov/water.pdf
(page 80).
• For more information on the Federal Water Pollution Control Act (commonly known as the
Clean Water Act), see http://www.epa.gov/lawsregs/laws/cwa.html.

Department of DefenseOwned or Operated Facility

Department of Energy

• If your facility is owned or operated by the U.S. Department of Defense, select Yes and follow
the instructions on completing and exiting the Top-Screen. Facilities owned and operated by
the U.S. Department of Defense may include military bases.
• If your facility is not owned or operated by the Department of Defense, select No and
continue to complete the Top-Screen.
• If your facility is owned or operated by the U.S. Department of Energy, select Yes and follow
the instructions on completing and exiting the Top-Screen.
• If your facility is not owned or operated by the Department of Energy, select No and continue
to complete the Top-Screen.

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Top-Screen Question

Question Details
DHS applies this statutory exemption on facilities where the Nuclear Regulatory Commission
(NRC) already imposes significant requirements and regulates facility safety and security (e.g.,
a power reactor holding a license under 10 CFR Part 50, a special nuclear material fuel cycle
holding a license under 10 CFR Part 70, or facilities licensed under 10 CFR Parts 30 and 40
that have received security orders requiring increased protection).

Nuclear Regulatory
Commission

• If a facility is regulated by the NRC, it is exempt from CFATS under the NRC exemption. The
facility should answer Yes and follow the instructions on completing and exiting the TopScreen.
• If a facility possesses only small radioactive sources for chemical process control equipment,
gauges, or dials, it is not exempt from CFATS under the NRC exemption. The facility should
answer No and continue to fill out the Top-Screen.
• If a facility contains a facility or portion of a facility which is regulated by the NRC to govern
the safety and security of the facility but also contains a facility or portion of a facility which is
not regulated by the NRC, the facility should answer Partially and continue to fill out the
screen for the portion of the facility not so regulated by the NRC.

4.3.1 Statutory Exemptions
•

If your facility answers Yes to any of the Facility Regulatory Mandates questions, it is exempt from CFATS regulation and you
may complete and exit the Top-Screen without providing any additional data.

•

Click the [Next] button on the Survey Completion screen (see Picture 4.2) and follow the instructions for completing and exiting
the Top-Screen. See Section 8 for instructions on reviewing, validating, printing, and submitting the Top-Screen.

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Picture 4.2: Survey Completion Screen for Regulation-Exempt Facilities

4.4 EPA RMP Facility Identifier
After you have answered the Facility Regulatory Mandates questions and your facility is still subject to CFATS regulations, answer
the following question:

Top-Screen Question
Does the facility operate any

Question Details
Select Yes or No. Program 1, 2, and 3 processes are defined under the RMP rule and denote the

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Top-Screen Question

Question Details

U.S. Environmental
Protection Agency Risk
Management Plan (EPA
RMP)-covered process(es) —
Program 1, 2, or 3?

relative level of risk from an accidental release associated with the process (and hence the
facility). A Program 1, 2, or 3 designation establishes the regulatory requirements for which the
facility/company must comply. For more information on EPA RMP, see 40 CFR 68.10(b), (c), and
(d), or Chapter 2 of EPA’s General Guidance for Risk Management Programs (40 CFR 68).
Additional information can be found at http://www.epa.gov/emergencies/content/rmp/index.htm.

Petroleum Refineries and LNG facilities will be directed to specific facility questions (see Section 5 – Petroleum Refineries and
Section 6 - LNG) and all other facilities will continue to the questions regarding DHS COI in 6 CFR Part 27 Appendix A (see Section
7).

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5. Petroleum Refineries
The following questions must be answered if the facility type selected in Question 1.1-65 was petroleum refining. These petroleum
refinery-specific questions may assist DHS in identifying those chemicals and facilities that may be critical to Government Mission
and National Economy, as well as inform DHS as to the potential a facility could have to critical Government Mission and National
Economy impacts. After completion of the petroleum refinery-specific questions, a series of standard questions will be asked about
chemicals that may be present at your facility at or above their STQs. The CSAT system will skip this group of questions for all other
facility types.

5.1 Refinery Capacity
Top-Screen Question

Question Details

Production Capacity

Enter the production capacity of your refinery in barrels per day. The production capacity, also
known as the nameplate capacity, is the product output under conditions optimized for maximum
quantity for the production facility, as demonstrated by one or more test-runs. Do not use
commas when entering the numbers.

Design Capacity

• Enter the design capacity, or theoretically calculated product output, of your refinery in barrels
per day. The design capacity of an operable petroleum refinery is expressed in terms of barrels
per day of crude capacity, cracking capacity, desulphurization, or amounts of products by
grade. Do not use commas when entering the numbers.
• The throughput capacity of an operable petroleum refinery is expressed in terms of barrels per
day of crude capacity, cracking capacity, desulphurization, or amounts of products by grade. In
most cases, simply enter the number of barrels per day of crude oil processed into more
refined products.

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Top-Screen Question

Question Details
This question asks for the source(s) of the crude oil that is refined at your facility. Enter the
percentage of crude that arrives by:
• Ship/barge
• Pipeline

Refinery Crude Sources

• Strategic Petroleum Reserve(SPR)
• Rail
• Truck
For each of the crude oil sources listed, enter the typical contribution as a percentage of the total
barrels per day (0 to 100). Do not use commas or percent signs when entering the numbers. If
your facility does not receive crude oil from a source on the list, enter a zero in the field.
For each product listed, determine your facility’s percentage share of the regional market and the
region to which it is supplied. If your refinery does not supply to a listed market, leave the field
blank.
• Gasoline
• Diesel

Regional Market Share

• Jet fuel/kerosene
• LPG
• Home heating oil
In identifying the region that your facility supplies, you should include states or areas of the US
(e.g., Northern California) to which your refinery ships its products.

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5.2 Airport Fuels Supplier
Top-Screen Question

Is your refinery a direct
supplier to a major
metropolitan airport?

Question Details
A major metropolitan airport is an international airport or other airport serving a major urban area.
General aviation, military, and other airports/bases are not considered major airports for the
purposes of this question.
• If your refinery fits this description, select Yes and enter the name of the airport(s).
• Enter the facility’s percentage of total deliveries of all the gasoline and/or jet fuel/kerosene
supplied to the airport(s) from all sources.
• Rows can be added if the refinery is a supplier to more than one major metropolitan airport.

5.3 Military Installation Supplier
Top-Screen Question

Question Details
• If your refinery fits this description, select Yes and enter the name of the military installation(s).

Is your refinery a direct
supplier to a military
installation?

• For each military installation identified, enter the refinery’s percentage share (0 to 100) of total
deliveries of gasoline, diesel, and/or aviation fuel supplied to the installation from all sources.
• Rows can be added if a refinery is a supplier to more than one military installation. Enter a zero
if the refinery does not supply that product. NOTE: Do not leave the field blank.

After you finish answering the questions listed above, you will be prompted to answer questions regarding DHS COI in 6 CFR Part 27
Appendix A. For instructions on answering these questions, please refer to Section 7.

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6. Liquefied Natural Gas Storage Facilities
The following questions must be answered if the facility type selected in Question 1.1-65 was liquid natural gas (LNG) storage facility.
These LNG storage-specific questions may assist DHS in identifying those chemicals and facilities that may have critical Government
Mission and National Economy impacts. After answering the LNG-storage-specific questions, the remainder of the Top-Screen
questionnaire must be completed. The CSAT system will skip this group of questions for all other facility types.

6.1 LNG Capacity
Top-Screen Question

Question Details
• Enter the LNG storage capacity for your facility in cubic meters.

LNG storage capacity?

Regasification rate?

• If there are multiple storage tanks at the facility, enter the total capacity of all tanks. For
example, if there are three 100,000-m3 LNG storage tanks at the facility, then “300000” should
be entered. Do not use commas when entering the numbers.
• The regasification rate refers to the conversion of LNG stored as a liquid into a vapor for
transport to users and is specific to the unit or facility. Check with the facility’s Operations
Department to determine the rate for the facility or process unit.
• Enter the regasification rate (billion cubic feet per day). Report the annual average. Do not use
commas when entering the data.

Natural gas pipeline
system(s)?

• Enter the name of the natural gas pipeline system(s) your facility feeds. This should be the
main tie-in point for natural gas from your facility.

6.2 LNG Exclusion Zone
An exclusion zone is an area surrounding an LNG facility in which an operator or government agency legally controls all activities in
accordance with 49 CFR §193.2057 and 49 CFR §193.2059 for as long as a facility is in operation. These requirements are designed
to prevent a flammable vapor cloud associated with an LNG spill from reaching a property line or to prevent the thermal radiation

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from ignition of vapors to exceed specified levels. These site requirements are provisions to minimize the possibility of the damaging
side effects of fire reaching beyond a property line. 49 CFR Part 193 incorporates National Fire Protection Association (NFPA) 59A
(Standard for the Production, Storage, and Handling of Liquefied Natural Gas) by reference. For a copy of 49 CFR Part 193, go to
http://www.access.gpo.gov/nara/cfr/waisidx_06/49cfr193_06.html.

Top-Screen Question

Question Details

Is your facility sited according to Subpart B of the 49 CFR 193
(Liquefied Natural Gas: Federal Safety Standards) exclusion
zone requirements for thermal radiation and flammable vapor
dispersion?

Indicate whether your facility matches this description. If you
select No, and then click the [Next] button and enter the
reason why your facility was exempted from the regulation in
the text field on the next screen. If you select Yes, you will
be prompted with the LNG Exclusion Zone Details
questions.

6.3 LNG Exclusion Zone Details
Top-Screen Question

Question Details
2

Thermal radiation zone?

Provide the distance (in feet) of the 5kW/m thermal radiation zone using the 49
CFR Part 193 site requirements (§193.2057).

One-half the Lower Flammability Limit?

Provide the distance (in feet) to one-half the Lower Flammability Limit (½ LFL)
using the 49 CFR Part 193 site requirements (§193.2059).

After you finish answering the questions listed above, you will be prompted to answer questions regarding DHS Chemicals of Interest
in 6 CFR Part 27 Appendix A.

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7. COI Identification
All non-exempt facilities are required to answer the chemical-specific questions. NOTE: A facility has an obligation to complete a
Top-Screen if it possesses any of the COI at or above the listed STQs in Appendix A. See 6 CFR § 27.200(b)(2). Possession may
include manufacture, use, storage, or distribution of COI. The following terms are applicable to this section:

Item

Description

Screening
Threshold
Quantity
(STQ)

The STQ is the quantity of a chemical of interest, upon which a facility’s obligation to complete and submit the CSAT Top-Screen
under 6 CFR 27.200(b)(2) is based. STQs are listed in Appendix A to 6 CFR Part 27. Counting provisions associated with STQs
are located in the regulatory text, including 6 CFR §§ 27.203 and 27.204. The COI and STQs are also shown in the lists
presented in the Top-Screen.
DHS has assigned a minimum concentration provision to each COI in Appendix A, which can be one of the following:
• Specific Percentage (1.00-50%): If a specific percentage appears in the minimum concentration column for a COI, a facility
must count toward the STQ for that COI all quantities of that chemical that meet or exceed the listed minimum concentration
amount.

Minimum
Concentration

• A Commercial Grade (ACG): ACG is defined in §27.105 as “any quality or concentration of a chemical of interest offered for
commercial sale that a facility uses, stores, manufactures, or ships. Appendix A chemicals are manufactured mainly in the
chemical industry; however, they are used in both the chemical industry and various other industries, such as the automotive,
agricultural, consumer products, pharmaceutical, and paints and coatings industries. These other industries use Appendix A
chemicals to produce commercial and consumer goods, such as paint, crop protection, detergents, and computers. Appendix A
COI are thus manufactured in various commercial grades to satisfy the needs of diverse industries. For COI with a minimum
concentration of ACG, a facility must count all commercial grades of such COI toward the STQ.
• CUM 100g: A facility shall count any amount and concentration of COI with a minimum concentration of CUM 100g toward the
cumulative STQ of 100 grams. For example, a facility that possesses isopropylphosphonyl difluoride and ethyl phosphonyl
difluoride must count the total amount in any concentration of each COI toward the single cumulative STQ of 100 grams.

Article

Pursuant to 6 CFR § 27.203(a)(6), in calculating whether a facility possesses a chemical of interest that meets the STQ for any
security issue, a facility need not include chemicals of interest contained in articles, as defined in 40 CFR § 68.3. As defined in
EPA’s RMP regulation, an “article” is a manufactured item formed to a specific shape or design that has end use functions

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Item

Description
dependent on the shape or design and that does not release or result in exposure to a regulated substance under normal use or
processing. See 40 CFR § 68.3. For example:
• A facility need not count the quantity of vinylidene chloride contained in flexible plastic food wrap toward the facility’s STQ of
vinylidene chloride, because the flexible plastic food wrap is an article.
• A facility that only possesses paint need not count the COI, such as aluminum powder, contained in that paint, because the
paint is an article. However, a facility that manufactures paint (and possesses a commercial grade of aluminum powder with a
minimum concentration of ACG to manufacture the paint) must count all commercial grades of the aluminum powder it
possesses toward the STQ of 100 pounds.
• A facility that possesses toothpaste containing potassium nitrate need not count that potassium nitrate toward its STQ for
potassium nitrate, because the toothpaste is an article. However, a facility that purchases a commercial grade of potassium
nitrate in order to manufacture toothpaste must count it towards its STQ for potassium nitrate.

The following terms apply only to release COI in sections 7.1, 7.2, and 7.3:

Item

Description

COI and
Transportation
Containers

In calculating either the Total On-site Quantity (TOQ) or the Area of Highest Quantity (AHQ) of a release COI, a facility must
include COI in transportation containers used for storage not incident to transportation, including transportation containers
connected to equipment at a facility for loading or unloading and transportation containers detached from motive power that
delivered the container to the facility. Examples of transportation containers with COI that facilities should count toward their STQ
include:
• A tank car containing COI that is attached to processing units;
• A tank car containing COI that is detached from the locomotive that had delivered the tank car to the facility.

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Item

Description
After the facility does its STQ calculation and determines that the facility possesses COI in an amount that meets or exceeds the
STQ, the facility must calculate the TOQ and AHQ of its chemicals of interest.

Administrative
Controls

• If a facility uses documented administrative controls that limit the maximum quantity in a vessel (e.g., ASME fill capacity
restrictions), this information can be used to compile the TOQ and AHQ.
• If no administrative controls are in place, a facility must enter the total capacity of all vessels for purposes of reporting the TOQ
and AHQ.

7.1 Release-Toxic COI
DHS identifies release-toxic COI as those with the potential to create a toxic cloud that would affect populations within and beyond a
facility if intentionally released.

Top-Screen Question

Question Details

Release-Toxic COI Present at Facility: Does
the facility manufacture, process, use, store,
or distribute any of the release-toxic COI at
or above the screening threshold quantity?

• If your facility currently possesses any of the listed chemicals or possessed them
within the past 60 days, in an amount at or above the applicable STQs, you
should select the chemical(s) from the list (see Table 7.1). Some chemicals have
more than one STQ.
• The default settings indicate that the chemical is not present at your facility; thus,
you must affirmatively change the answer for each chemical your facility
possesses or has been possessed by your facility within the past 60 days.

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Security Issue

STQ

Release-Toxic
COI

500-20,000 lbs

COI to Exclude

COI to Include

27.203(a)

27.203(b)(1)

27.203(b)(2)

27.204(a)(1)

Minimum
Concentration

27.204(a)(1)

Table 7.1: Summary of General Rules for Release-Toxic COI at 6 CFR Part 27

NOTE: If your facility later comes into possession of a COI on Appendix A at or above any of the applicable STQ(s), your facility must
complete and submit a CSAT Top-Screen to DHS within 60 calendar days of the date your facility comes into possession of the COI
in such an amount. 6 CFR § 27.210(a)(1)(i). See the preamble to the Appendix A Final Rule for a more complete discussion of how
to handle a facility’s subsequent possession of COI at or above the listed STQs.

7.1.1 Calculating Release-Toxic COI
To calculate whether your facility possesses any of the listed release-toxic COI at or above the STQ, your facility shall only include
COI in the following:

Release-Toxic COI
Location/Occurrence

Description

Vessel

As defined in 40 CFR § 68.3, any reactor, tank, drum, barrel, cylinder, vat, kettle, boiler, pipe, hose, or other container.

Underground Storage
Facility

For purposes of 6 CFR Part 27, DHS defines an underground storage facility as a belowground storage location for
COI or mixtures of COI (e.g., petroleum-based materials) that are placed in a storage location (until needed) after
having been extracted from the ground and refined or processed. Such facilities include, but are not limited to,
depleted reservoirs in oil and/or oil gas fields, aquifers, and salt cavern formations.

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Release-Toxic COI
Location/Occurrence
Magazine
Transportation
Containers for Storage

Incidental/Transitory
Peak Shaving Facilities

Tank Farms

Description
As defined in 27 CFR § 555.11.
These would be transportation containers that are not incident to transportation, such as transportation containers
connected to equipment at a facility for loading or unloading and transportation containers detached from the mode of
power that delivered the container to the facility.
These would be COI that, if they exist at any given time, would be present as process intermediates, by-products, or
materials produced incidental to the production of a product.
These would be COI in natural gas or liquefied natural gas stored in peak shaving facilities.
These would be COI in gasoline, diesel, kerosene or jet fuel (including fuels that have flammability hazard ratings of 1,
2, 3, or 4, as determined by using the National Fire Protection Association’s [NFPA] Standard System for the
Identification of the Hazards of Materials for Emergency Response) stored in aboveground tank farms, including tank
farms that are part of pipeline systems.

To calculate whether your facility possesses any of the listed release-toxic COI at or above the STQ, your facility does not need to
include COI that is:
•

Used as a structural component (e.g., a facility need not include a chemical of interest embedded in foam insulation toward
the facility’s STQ for that chemical);

•

Used as products for routine janitorial maintenance;

•

Contained in food, drugs, cosmetics, or other personal items used by employees;

•

In process water or non-contact cooling water drawn from environment or municipal sources;

•

In air as compressed air or as part of combustion;

•

Contained in articles, as defined in 40 CFR § 68.3;

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•

In solid waste (including hazardous waste) regulated under the Resource Conservation and Recovery Act, 42 U.S.C. § 6901
et seq., except for the waste described in 40 CFR § 261.33;

•

In naturally occurring hydrocarbon mixtures prior to entry of the mixture into a natural gas processing plant or a petroleum
refining process unit (e.g., condensate, crude oil, field gas, and produced water as defined by 40 CFR § 68.3); or

•

In a laboratory at the facility under the supervision of a technically qualified individual as defined in 40 CFR § 720.3. NOTE:
This exemption does not apply to specialty chemical production; manufacture, processing, or use of substances in pilot plant
scale operations; or activities, including research and development, involving chemicals of interest outside the laboratory.

7.1.2 Calculating Minimum Concentration of Release-Toxic COI
In determining whether your facility possesses COI that meet or exceed the STQ, you shall consider the release-toxic minimum
concentration provision in 6 CFR §27.204(a)(1). This approach to release-toxics is consistent with EPA’s RMP regulation.
•

If a release-toxic COI is present in a mixture and the concentration of the chemical is equal to or greater than one percent
(1%) by weight, your facility shall count the amount of the release-toxic COI in the mixture toward the STQ. For example, if
your facility has 500 pounds of a toxic mixture containing five percent (5%) acrolein, your facility should count five percent
(5%) of the weight of the mixture, or 25 pounds of acrolein, toward the STQ of 5,000 pounds.

•

If a release-toxic COI is present in a mixture and the concentration of the chemical is less than one percent (1%) by weight of
the mixture, your facility does not need to count the amount of that chemical in the mixture in determining whether your
facility possesses the STQ.

•

Except for oleum, if the concentration of the chemical of interest in the mixture is one percent (1%) or greater by weight but
your facility can demonstrate that the partial pressure of the regulated substance in the mixture (solution) under handling or
storage conditions in any portion of the process is less than 10 millimeters of mercury (mm Hg), the amount of the substance
in the mixture in that portion of the vessel does not need to be considered when determining the STQ. Your facility shall
document this partial pressure measurement or estimate.

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After your facility has selected all COI that it possesses at or above the STQ from the look-up table, select Yes to affirm that your
facility has diligently reviewed the list provided.

Picture 7.1: COI Review Affirmation

7.1.3 Facility Topography
Indicate the topography which is representative of the area in which your facility is located. For release-toxic COI evaluated using
RMP*Comp (see Section 7.1.4.2), topography will be required in order to determine the Distance of Concern.
The characteristics of the topography surrounding your facility will have an effect on the dispersion of a toxic gas cloud. Uneven or
rough terrain causes fluctuations in the wind profile and more turbulence, which contributes to a more rapid dispersion and shorter
Distance of Concern. The Top-Screen uses the same definitions of Urban and Rural as EPA.
•

Urban means that there are many obstacles (e.g., buildings, trees) in the immediate area. An area that may be away from a
populated area, but has hills, trees, or canyon walls may be considered urban (not open).

•

Rural means that there are few or no buildings in the immediate area and the terrain is flat and unobstructed. An area with
few buildings or trees should be considered rural (open).

If your facility is covered by RMP, the selection of urban or rural under CFATS should be consistent with your facility’s current RMP
on file with EPA. If your facility is not covered by RMP and the terrain surrounding your facility differs depending on the approach to
your facility, select the topography that is most representative of the facility’s location. If you are still unsure, select Rural.

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7.1.4 Reporting TOQ and Distance of Concern for Release-Toxic COI
After all release-toxic COI at your facility in quantities at or above the STQ have been identified, they will be displayed with their
Chemical Abstracts Service (CAS) Registry number in a list on the screen. A CAS Registry number is a unique numeric identifier for
chemical compounds, polymers, mixtures and alloys assigned by the CAS to every chemical that has been described in open
literature. Referring to chemicals by their CAS numbers helps avoid confusion among different nomenclature systems and
conventions.
Your facility will be asked to provide the following information:
•

The TOQ and Distance of Concern (see Picture 7.2);

•

The amount in the AHQ and Distance of Concern; and

•

Whether the Toxic COI is stored underground.

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Picture 7.2: TOQ, Distance of Concern, and Underground Storage

7.1.4.1

Total On-site Quantity

Enter the maximum Total On-site Quantity (TOQ) of each release-toxic COI in pounds that your facility possessed at any time within
the past 60 days. This is the single highest amount of each release-toxic COI currently present on-site or within the past 60 days, not
the aggregate amount within the past 60 days. Compute the TOQ using the same provisions your facility shall consider when
determining whether it possesses a COI at or above the STQ (see Section 7.1).
The records prepared by your facility to comply with other programs, such as Emergency Planning and Community Right-to-Know
Act (EPCRA) and RMP, contain information that may be useful in compiling the TOQ of a given COI consistent with Section 7.1.
However, your facility shall compile the TOQ of a COI under CFATS irrespective of the interconnection of processes and equipment

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or the proximity of different storage containers or locations, which are considerations in RMP and in the Occupational Safety and
Health Administration’s (OSHA) Process Safety Management (PSM). Interconnection is not a consideration for compiling the TOQ of
a COI under CFATS.
NOTE: Do not use commas when reporting quantities. Round to two significant digits and report quantities as follows (similar to the
way quantities are rounded and reported in RMP). For example:
•

5,333 pounds should be reported as 5300 pounds.

•

107,899 pounds should be reported as 110000 pounds.

•

2,128,000 pounds should be reported as 2100000 pounds.

Facilities may refer to Attachment A of this document for worksheets and an example of how to assemble information for reporting
TOQ.

7.1.4.2

Distance of Concern

For each listed release-toxic COI, the Distance of Concern must be reported. Your facility must report all distances shorter than 0.1
mile as 0.1 mile, and all distances 25 miles or greater as 25 miles.
For purposes of the Top-Screen, The Distance of Concern is the downwind distance calculated using RMP*Comp for the COI’s TOQ
and additional process conditions for this chemical. Facilities can download RMP*Comp from the EPA Web site at
http://www.epa.gov/emergencies/content/rmp/rmp_comp.htm. For more information about RMP*Comp, see the EPA's Risk
Management Program Guidance Consequence Analysis document at http://www.epa.gov/ceppo/pubs/ammonia/achap-04.pdf.
Use the steps listed in the following table for calculating the Distance of Concern. Repeat these steps to use the RMP*Comp on each
listed release-toxic COI for which the Top-Screen requests a Distance of Concern.

Step Number and Name

Instructions

Step 1: Open RMP*Comp

When RMP*Comp is opened, a welcome screen with some background information on the application is displayed.
Click the [Next] button to continue.

Step 2: Choose the

On the next screen, verify that the “Single Chemical” option is selected and then select the chemical to be evaluated.

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Step Number and Name

Instructions

chemical to be analyzed

Use the scroll bar to the left of the chemical name, CAS number, and Threat (indication of toxic or flammable
properties as defined under EPA RMP*Comp). Click the [Next] button to continue.

Step 3: Choose type of
scenario to analyze

For the Top-Screen, all toxics must be analyzed using the Worst-case scenario type. Select Worst-case and click the
[Next] button to continue.
Because one chemical may exist in different physical states as it is processed and/or stored on-site, the physical
state selected should be the state that is most representative of the COI while at a facility, or the state that results in
the greatest Distance of Concern using RMP*Comp. Depending on how the chemical is stored and processed, it can
be a gas, a gas stored as a liquid (under refrigeration or pressure), or a liquid.

Step 4: Select chemical
phase

• If the chemical selected for evaluation is a toxic gas, a facility must provide additional information into RMP*Comp
to determine if the chemical is unliquefied or liquefied. Toxic gases include all listed toxic substances that are
gases at ambient temperature (25º C, 77º F).
o Select Unliquefied if the chemical is used or stored as a gas under normal operating conditions for your facility.
o Select Liquefied if the chemical is used or stored as a liquid under normal operating conditions for your facility. If
Liquefied is selected, the storage conditions need to be specified. The choices in RMP*Comp are Liquefied by
refrigeration and Liquefied by pressure. Select the appropriate option and click [Next] to continue.
• If the chemical selected is a toxic liquid, then the previous screen will not be shown in RMP*Comp. For toxic
liquids, a facility needs to provide only the operating temperature. The operating temperature for a toxic liquid is
requested on the same screen as topography (see Step 6 below).

Step 5: Quantity released

Enter the TOQ of the listed toxic chemical. This is the same quantity that was entered in response to the Top-Screen
question regarding TOQ. It must be entered here for RMP*Comp to calculate the Distance of Concern. Documented
administrative controls that limit the maximum quantity in tanks and vessels can be accounted for in the estimate of
the TOQ. If no administrative controls are in place, the total capacity of all vessels, tanks, and piping should be
entered. Click [Next] to continue.

Step 6: Topography

Enter the same topography description that was used to answer the previous Top-Screen question about
topography. RMP*Comp requires this information to be entered to calculate the Distance of Concern. Click [Next] to
continue.

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Step Number and Name

Instructions

Step 7: Mitigation
measures

RMP*Comp collects information on passive mitigation systems. The mitigation measures may include release into
dikes, release into buildings, and release in an enclosed space. Because the Top-Screen is evaluating an intentional
release rather than an accidental release, passive mitigation systems should not be included in the determination of
the Distance of Concern. Do not select any option and click [Next] to continue.

Step 8: Estimated
Distance of Concern

Once all of the chemical and quantity-specific information is entered, RMP*Comp produces an Estimated Distance to
Toxic Endpoint. This distance (in miles) is what is entered into the Top-Screen as the Distance of Concern, if
applicable. Your facility must report all distances shorter than 0.1 mile as 0.1 mile and all distances 25 miles or
farther as 25 miles. For the example shown in Picture 7.3, it can be seen that 10,000 pounds of anhydrous ammonia
liquefied by refrigeration at a facility with urban terrain results in a Distance of Concern of 0.6 miles.

Picture 7.3: RMP*Comp Distance of Concern Summary Page

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7.1.4.3

Underground Storage

Top-Screen Question

Is the Release-Toxic COI Stored
Underground?

Question Details
Your facility should answer this question for each listed release-toxic COI. If any amount of
the COI is stored underground, you must select Yes and then answer a series of specific
questions on underground storage. A COI is typically considered stored underground if it is
stored in a containment vessel (e.g., a tank) that is physically buried in the ground (i.e.,
basement level storage would not be considered underground).

7.1.5 Reporting the AHQ and Distance of Concern for Release-Toxic COI
After all quantities of the release-toxic COI at your facility have been identified and the sums have been determined to be at or above
the STQ, they will be displayed with their CAS numbers in a list on the next screen (see Picture 7.4).
•

Enter in pounds the total maximum amount within the AHQ for each release-toxic COI that your facility possesses or has
possessed within the past 60 days. NOTE: The TOQ (answered in the previous question) may be different from the total
amount in the AHQ. If release-toxic COI is found in only one location at your facility, enter the same amount as reported for
TOQ.

•

The AHQ is defined as an area within a radius of 170 feet in which the greatest amount of the release-toxic COI is located.
The same counting rules that a facility applies in determining whether it meets or exceeds the STQ for release-toxic
chemicals COI, also apply when compiling the AHQ. Please refer to Attachment A of this document for worksheets and an
example of how to assemble information for reporting the AHQ.

•

For each listed release-toxic COI, the Distance of Concern for the AHQ is the downwind distance calculated using
RMP*Comp. If the amount of COI in the AHQ is different than the TOQ, calculate the Distance of Concern using the new
amount by following the instructions in Section 7.1.4.2 for calculating Distance of Concern with RMP*Comp. Your facility
should report all distances shorter than 0.1 mile as 0.1 mile and distances 25 miles or greater as 25 miles.

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Picture 7.4: AHQ and AHQ Distance of Concern

7.1.6 Underground Storage for Release-Toxic COI
For each release-toxic COI that is stored underground, your facility should answer the following questions:

Top-Screen Question

Question Details

Number of Underground Tanks

Enter the number of underground storage tanks.

Collective Capacity of Underground Tanks

Enter the collective capacity of the underground storage tanks (in pounds).

Distance to Nearest Infrastructure

Enter the distance from the underground tank(s) to the nearest infrastructure (in
feet) that is not associated with the underground storage operation. Infrastructure
may include buildings, bridges, or other above ground structures or pipelines.

On the next screen, answer the following questions for each release-toxic COI that is stored underground:

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Top-Screen Question

Question Details

Pressure Rating of Tank(s)

Enter the pressure rating of tank(s) (in psig).

Tank(s) Double Walled?

Is/Are the tank(s) double walled? Answer Yes or No.

Depth of Underground Tanks

Enter depth (from ground surface to tank top) of underground tanks (in feet).
Select buried or below grade.

Underground Storage Type

• Buried storage is set in the ground and covered by soil.
• Below grade storage is set entirely below the surface of the ground in a storage
pit but is not covered by soil.

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For each release-toxic COI that is stored below grade, answer the following question:

Top-Screen Question

Question Details
• If the below grade containment area is covered by enclosure or other protective
structure, answer Yes.

Below Grade Containment Covered?

• If the below grade containment is open to atmospheric conditions, answer No.

7.2 Release-Flammable COI
DHS identifies release-flammable COI as those with the potential to create an explosive cloud that would affect populations within
and beyond the facility, if intentionally released. Pursuant to 6 CFR § 27.200(a), the release-flammable chemicals section of the TopScreen asks questions about release-flammable COI from Appendix A and questions about some fuels (such as diesel) that do not
routinely contain Appendix A chemicals. If your facility is completing a Top-Screen because it possesses a release flammable COI, it
must also provide information about these fuels that do and do not contain Appendix A release-flammable COI. A facility that
possesses only fuel(s) must:
1) Indicate the type of fuel it possesses; and
2) Provide the total amount of the fuel it possesses at the facility. This facility need not select from the list of release-flammable
COI any or all constituents of that fuel.
Some examples include:
•

For fuels that do not contain Appendix A COI: Diesel does not routinely contain any Appendix A chemicals of interest. A
facility that possesses diesel need only select “Fuel: Diesel” and enter the total weight in pounds of diesel at the facility.

•

For fuels that contain Appendix A COI: Gasoline typically includes Appendix A chemicals of interest. A facility that possesses
gasoline need only select “Fuel: Gasoline” and enter the total weight in pounds of gasoline at the facility. The facility should
not select the constituents of its gasoline (e.g., butane) from the list of release-flammable COI in the Top-Screen.

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Top-Screen Question
Release-Flammable COI
Present at a Facility: Does
the facility manufacture,
process, use, store, or
distribute any of the releaseflammables COI at or above
the screening threshold
quantity?

Security Issue

ReleaseFlammable

Question Details
If your facility currently possesses any of the listed chemicals or possessed them within the
past 60 days in an amount at or above the applicable STQs, you should select the chemical(s)
from the list provided (see Table 7.2). Some chemicals have more than one STQ.
• The default settings indicate that the chemical is not present at the facility; thus, your facility
must affirmatively change the answer for each chemical it possesses or possessed at or
above the STQ at the facility within the past 60 days.
• Select all applicable chemicals from the look-up table and select Yes at the end to affirm that
your facility has diligently reviewed the list.

STQ

COI to
Exclude

10,000–60,000 lbs

27.203(a)

(RMP STQ except
COI Propane)

27.203(b)(2)

COI to Include

Minimum
Concentration

27.203(b)(1)
27.204(a)(2)
27.204(a)(2)

27.203(b)(3)

Table 7.2: Summary of General Rules for Release-Flammable COI at 6 CFR Part 27

For assistance in determining if a Top-Screen submission is required and how to complete the Top-Screen for release-flammable
mixtures, fuels and/or the chemical or COI propane, please see the CFATS Web site or http://edocket.access.gpo.gov/2008/pdf/081059.pdf.

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7.2.1 Calculating Release-Flammable COI
To calculate whether your facility possesses any of the listed release-flammable COI at or above the STQ, your facility shall only
include COI in the following:

Release-Flammable COI
Location/Occurrence
Vessel

Underground Storage
Facility

Magazine

Description
As defined in 40 CFR § 68.3, any reactor, tank, drum, barrel, cylinder, vat, kettle, boiler, pipe, hose, or other
container.
For purposes of 6 CFR Part 27, DHS defines an underground storage facility as a belowground storage location for
COI or mixtures of COI (e.g., petroleum-based materials) that are placed in a storage location (until needed) after
having been extracted from the ground and refined or processed. Such facilities include, but are not limited to,
depleted reservoirs in oil and/or oil gas fields, aquifers, and salt cavern formations.
As defined in 27 CFR § 555.11.

Transportation Containers
for Storage

These would be transportation containers that are not incident to transportation, such as transportation containers
connected to equipment at a facility for loading or unloading and transportation containers detached from the mode
of power that delivered the container to the facility.

Incidental/Transitory

These would be COI that, if they exist at any given time, would be present as process intermediates, by-products, or
materials produced incidental to the production of a product.

Peak Shaving Facilities

These would be COI in natural gas or liquefied natural gas stored in peak shaving facilities.

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Release-Flammable COI
Location/Occurrence

Description

Tank Farms

These would be COI in gasoline, diesel, kerosene or jet fuel (including fuels that have flammability hazard ratings of
1, 2, 3, or 4, as determined by using the National Fire Protection Association’s (NFPA) Standard System for the
Identification of the Hazards of Materials for Emergency Response) stored in aboveground tank farms, including tank
farms that are part of pipeline systems. For purposes of applying this provision, the flammability hazard ratings are
defined in NFPA 704: Standard System for the Identification of the Hazards of Materials for Emergency Response
[2007 ed.].

To calculate whether your facility possesses any of the listed release-flammable COI at or above the STQ, your facility does not
need to include COI that is:
•

Used as a structural component (e.g., a facility need not include a chemical of interest embedded in foam insulation toward
the facility’s STQ for that chemical);

•

Used as products for routine janitorial maintenance;

•

Contained in food, drugs, cosmetics, or other personal items used by employees;

•

In process water or non-contact cooling water drawn from environment or municipal sources;

•

In air as compressed air or as part of combustion;

•

Contained in articles, as defined in 40 CFR § 68.3;

•

In solid waste (including hazardous waste) regulated under the Resource Conservation and Recovery Act, 42 U.S.C. § 6901
et seq., except for the waste described in 40 CFR § 261.33;

•

In naturally occurring hydrocarbon mixtures prior to entry of the mixture into a natural gas processing plant or a petroleum
refining process unit (e.g., condensate, crude oil, field gas, and produced water as defined by 40 CFR § 68.3); or

•

In a laboratory at the facility under the supervision of a technically qualified individual as defined in 40 CFR § 720.3. NOTE:
This exemption does not apply to specialty chemical production; manufacture, processing, or use of substances in pilot plant
scale operations; or activities, including research and development, involving chemicals of interest outside the laboratory.

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NOTE: Special provisions apply to the COI propane. The COI propane refers to products containing at least 87.5 percent of the
chemical propane, as well as other release-flammable COI. The STQ for the COI propane is 60,000 pounds. When calculating
whether a facility possesses an amount that meets the STQ for the COI propane, your facility does not need to include tanks of
10,000 pounds or less (see 6 CFR § 27.203[b][3]).

7.2.2 Calculating Minimum Concentration of Release-Flammable COI
In determining whether a facility possesses COI that meet or exceed the STQ, your facility shall consider the release-flammable
minimum concentration provision in 6 CFR §27.204(a)(2).
For release-flammable mixtures that are fuels:
•

•

Your facility must indicate the type of fuel it possesses and provide the entire amount of the fuel if a release-flammable COI
is:
o

Present in gasoline, diesel, kerosene or jet fuel (including fuels that have flammability hazard ratings of NFPA 1, 2, 3, or
4);

o

Stored in an aboveground tank farm, including tank farms that are part of pipeline systems; and

o

In a concentration equal to or greater than one percent (1%) by weight of the mixture.

However, your facility does not need to account for the release-flammable COI or mixture if the same release-flammable COI
is:
o

Present in a fuel stored in an aboveground tank farm, including tank farms that are a part of pipeline systems,

o

In a concentration less than one percent (1%) by weight of the mixture; and

o

In a mixture that has a NFPA flammability hazard rating of 1, 2, 3, or 4.

For release-flammable mixtures that are not fuels:
•

Your facility does not need to count the mixture if a release-flammable COI is:
o

Present in a mixture in a concentration equal to or greater than one percent (1%) by weight of the mixture; and

o

In a mixture that has a National Fire Protection Association (NFPA) flammability hazard rating of 1, 2, or 3.

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NOTE: Your facility only needs to count the amount of the release-flammable COI equal to or greater than one percent (1%).
•

However, your facility must count the entire amount of the mixture if a release-flammable COI is:
o

Present in a mixture in a concentration equal to or greater than one percent (1%) by weight of the mixture, and

o

In a mixture that has a NFPA flammability hazard rating of 4.

NOTE: Your facility must count the entire amount of such a mixture whether it is stored in a belowground or aboveground
tank farm.
The following examples illustrate the requirements for release-flammable COI and release-flammable mixtures that are fuels:
•

A facility that stores gasoline with a NFPA 2 flammability hazard rating belowground is not required to count this releaseflammable mixture and fuel. Release-flammable mixtures with a NFPA flammability hazard rating of 1, 2, or 3 only count at
aboveground tank farms. See 6 CFR §§ 27.204(a)(2) and 27.203(b)(v).

•

A marketing terminal has an aboveground tank farm that stores 15,000 pounds of a release-flammable mixture that contains
2% of butane. The release-flammable mixture has a NFPA flammability hazard rating of 3. This facility must select “Fuel:
Gasoline” from the release-flammable list, apply the entire amount of the release-flammable mixture, and submit a TopScreen because it possesses an amount that exceeds the STQ of 10,000 pounds for the release-flammable mixture.

7.2.3 Reporting the Total Quantity of Release-Flammable COI
After you identify all of the release-flammable COI that your facility possesses at or above the STQ, the Top-Screen will display all of
the release-flammable COI with their CAS numbers in a list.

Top-Screen Question

Total On-site Quantity

Question Details
Enter the maximum TOQ of each release-flammable COI (in pounds) that your facility
possessed at any time within the past 60 days. This is the single highest amount of each
release-flammable COI currently present on-site or within the past 60 days, not the aggregate
amount within the past 60 days. Compute the TOQ using the same provisions a facility shall
consider when determining whether it possesses a COI at or above the STQ (see Section 7.2).

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The records prepared by your facility to comply with other programs, such as Emergency Planning and Community Right-to-Know
Act (EPCRA) and RMP, contain information that may be useful in compiling the TOQ of a given COI consistent with Section 7.2.
However, your facility shall compile the TOQ of a COI under CFATS irrespective of the interconnection of processes and equipment
or the proximity of different storage containers or locations, which are considerations in RMP and in the Occupational Safety and
Health Administration’s (OSHA) Process Safety Management (PSM). Interconnection is not a consideration for compiling the TOQ of
a COI under CFATS.
NOTE: Do not use commas when reporting quantities. Round to two significant digits and report quantities as follows (similar to the
way quantities are rounded and reported in RMP):
•

5,333 pounds should be reported as 5300 pounds.

•

107,899 pounds should be reported as 110000 pounds.

•

2,128,000 pounds should be reported as 2100000 pounds.

Please refer to Attachment A of this document for worksheets and an example of how to assemble information for reporting TOQ.

7.2.4 Reporting the Quantity of Release-Flammable COI in the AHQ
The AHQ is defined as an area within a radius of 170 feet in which the greatest amount of the release-flammable COI is located.
When compiling the AHQ, apply the same counting rules that your facility applies in determining whether it meets or exceeds the
STQ for release-flammable COI.

Top-Screen Question
Total Maximum Amount
within the Area of Highest
Quantity (AHQ)

Question Details
Enter the total maximum amount within the AHQ for each release-flammable COI (in pounds).
The TOQ (answered in the previous question) may be different from the total amount in the
AHQ. If the release-flammable COI is found in only one location at a facility, enter the same
amount as reported for TOQ.

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The approach to compiling the AHQ for release-flammable COI is distinct from the approach used for release-toxic COI. For releasetoxic COI, AHQs are counted individually regardless of their proximity; for release-flammables, the reported AHQ for a COI should
include the release-flammable COI in addition to other release-flammable COI in adjacent process equipment or several listed
release-flammable COI within the 170-foot radius. All listed release-flammable COI released in an intentional event could contribute
to a secondary flammable consequence; therefore, all listed release- flammables within 170 feet of the COI need to be evaluated
when determining the AHQ and reported as an aggregate number, consistent with the counting provision in Section 7.2 and 6 CFR
§27.203(b)(1). For example, a facility with a single flammable storage area (all within a 170-foot radius) with three COI — 70,000
pounds of COI propane, 50,000 pounds of butane, and 30,000 pounds of pentane — the same AHQ of 150,000 pounds would be
reported for each flammable COI. Please refer to Attachment A of this document for worksheets and an example of how to assemble
information for reporting AHQ.

7.2.5 Underground Storage for Release-Flammable COI

Top-Screen Question

Is the Flammable COI Stored
Underground?

Question Details
Your facility should answer this question for each listed release-flammable COI. If any amount
of the COI is stored underground, your facility must answer Yes and then answer a series of
specific questions about underground storage. Under CFATS, a COI is considered stored
underground if it is stored in a containment vessel (e.g., a tank) that is physically buried in the
ground, is stored in a containment vessel below grade, or is stored in cavern or non-cavern
type containment. Basement level storage would not be considered underground if the
containment vessels are portable.

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7.2.6 Gasoline-Specific Questions
If your facility selects gasoline as a COI, it will be asked additional questions about storage.

Top-Screen Question
Aboveground storage

Question Details
If your facility stores any gasoline in aboveground atmospheric tanks, answer Yes; otherwise,
answer No.

If you answer Yes for your facility, you will be directed to a series of specific questions about aboveground storage. For the questions
in this section, round quantities to two significant digits (e.g., round 24750 gallons to 25000 gallons, and round 3625 feet to 3600
feet).

Top-Screen Question

Question Details

Maximum Storage Capacity

What is your facility's maximum gasoline storage capacity (in gallons, based on design
capacity) taking into consideration Federal, State, and local laws and regulations?

Single Largest Storage
Vessel

What is your facility's single largest gasoline storage vessel (in gallons, based on design
capacity) taking into consideration Federal, State, and local laws and regulations?

Shortest Distance to Offsite Business

What is the shortest distance (in feet) from a large gasoline storage tank to off-site businesses
or retail areas where another company's employees or members of the public would be
located? For purposes of this question, a “large storage tank” is typically defined as 30,000
gallons or greater (based on design capacity), taking into account Federal, State, and local
laws and regulations. However, enter the shortest distance from the largest gasoline storage
tank at your facility.

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Top-Screen Question

Question Details

Shortest Distance to Offsite Residences

What is the shortest distance (in feet) from a large gasoline storage tank to off-site residences?
For purposes of this question, a “large storage tank” is typically defined as 30,000 gallons or
greater (based on design capacity) taking into account Federal, State, and local laws and
regulations. However, enter the shortest distance from the largest gasoline storage tank at your
facility.

Largest Population

What is your estimate of the largest population (either daytime or nighttime) other than on-site
employees/contractors within 250, 500, and 1,000 feet from any large gasoline storage tank or
containment area?

What is the source or basis
for this estimate?

Provide an explanation of how the previous question’s response was determined.

7.2.7 Underground Storage for Release-Flammable COI
For each release-flammable COI that is stored underground, your facility should answer the following questions:

Top-Screen Question
Is the COI stored in bulk
tanks?
Is the COI stored in
cavern/non-cavern type
containment?

Question Details
Bulk tanks are cylindrical or spherical containers, typically of metal fabrication, and
“cavern/non-cavern containment” refers to underground earth formations including aquifers,
salt caverns and depleted reservoirs. If the answer to either question is Yes, the facility will
then be directed to specific questions on bulk tanks or cavern/non-cavern storage.

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For each release-flammable COI that is stored underground in bulk tanks, answer the following questions. Bulk tank storage can be
for both below grade and physically buried tanks. The following questions regarding underground storage should only be answered
about the amount of release-flammable COI stored underground:

Top-Screen Question

Question Details

Number of Underground
Tanks

Enter the number of underground storage tanks.

Collective Capacity of
Underground Tanks

Enter the collective aggregate capacity of the underground storage tanks (in pounds).

Distance to Nearest
Infrastructure

Enter the distance from the underground tank(s) to the nearest infrastructure (in feet) that is not
associated with the underground storage operation. Infrastructure may include buildings,
bridges, or other above ground structures or pipelines.

The following questions regarding underground storage for each release-flammable COI should only be answered about the amount
of release-flammable COI stored underground:

Top-Screen Question

Question Details

Pressure Rating of Tank(s)

Enter the pressure rating of tank(s) (in psig).

Tank(s) Double Walled?

Is/Are the tank(s) double walled? Answer Yes or No.

Depth of Underground Tanks

Enter depth (from ground surface to tank top) of underground tanks (in feet).

Underground Storage Type

Select buried or below grade. Buried storage is set in the ground and covered by soil. Below
grade storage is set entirely below the surface of the ground in a storage pit but is not covered
by soil.

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For each release-flammable COI that is stored below grade in bulk tanks, answer the following question:

Top-Screen Question
Below Grade Containment
Covered?

Question Details
• If the below grade containment area is covered by an enclosure or other protective structure,
answer Yes.
• If the below grade containment is open to atmospheric conditions, answer No.

For each release-flammable COI stored underground in a cavern/non-cavern type formation, select the [Describe] button and answer
the following questions regarding underground storage. These questions should only be answered about the amount of releaseflammable COI stored underground.

Top-Screen Question

Question Details

Is the Release-Flammable
COI stored in cavern or in
non-cavern storage?

Choose Cavern or Non-Cavern. Cavernous formations refer to porous rock formations. Noncavernous formations refer to old gas or oil fields that are no longer productive.

How many wells are in the
storage field?

Enter the number of wells that are in the storage field in the text box provided.

What is the aerial extent of
the storage formation?

Enter the aerial extent of the storage formation (in acres).

What is the total storage
weight?

Enter the total storage weight (in pounds).

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Top-Screen Question

List the well heads, if any,
located in High
Consequence Areas (HCA)
as defined by Department
of transportation (DOT)
Pipeline and Hazardous
Materials Safety
Administration (PHMSA) in
49 CFR Part 192

Question Details
Enter the following information for each well head located in the HCA. Click the [Add] button to
enter information for another well head.
• Enter the name or ID of the well head.
• Depth of Well (in feet).
• Maximum pressure at well head (in psig).
• Absolute open flow rate at maximum pressure (in mmcf/min).
• Distance to closest infrastructure not associated with storage operation (in feet). Use the
distance (in feet) from the well head to the nearest infrastructure that is not associated with
the underground storage operation. Infrastructure may include buildings, bridges, or other
above ground structures or pipelines.

When each release-flammable COI stored underground in a cavern/non-cavern type formation is complete, click the [Next] button to
continue to release-explosive COI.

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7.3 Release-Explosive COI
DHS identifies release-explosive COI as those with the potential to affect populations within and beyond the facility, if intentionally
detonated.

Top-Screen Question

Question Details

Release-Explosive COI
Present at a Facility: Does
the facility manufacture,
process, use, store, or
distribute any of the listed
release-explosive COI at or
above the screening
threshold quantity?

If your facility currently possesses any of the listed chemicals or possessed them within the
past 60 days in an amount at or above the applicable STQs, you should select the chemical(s)
from the list (see Table 7.3). Some chemicals have more than one STQ.
• The default settings indicate that the chemical is not present at the facility; thus, your facility
must affirmatively change the answer for each chemical it possesses or possessed at the
facility within the past 60 days.
• Select all applicable chemicals from the look-up table and select Yes at the end to affirm that
your facility has diligently reviewed the list.

Security Issue

STQ

COI to Exclude

COI to Include

Minimum
Concentration

5,000 lbs

27.203(a)

27.203(b)(1)

27.204(a)(3)

Release-Explosive
COI

Table 7.3: Summary of General Rules for Release-Explosive COI at 6 CFR Part 27

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7.3.1 Calculating Release-Explosive COI
To calculate whether your facility possesses any of the listed release-explosive COI at or above the STQ, your facility shall only
include COI in the following:

Release-Explosive COI
Location/Occurrence
Vessel

Underground Storage
Facility

Magazine

Description
As defined in 40 CFR § 68.3, any reactor, tank, drum, barrel, cylinder, vat, kettle, boiler, pipe, hose, or other
container.
For purposes of 6 CFR Part 27, DHS defines an underground storage facility as a belowground storage location for
COI or mixtures of COI (e.g., petroleum-based materials) that are placed in a storage location (until needed) after
having been extracted from the ground and refined or processed. Such facilities include, but are not limited to,
depleted reservoirs in oil and/or oil gas fields, aquifers, and salt cavern formations.
As defined in 27 CFR § 555.11.

Transportation Containers
for Storage

These would be transportation containers that are not incident to transportation, such as transportation containers
connected to equipment at a facility for loading or unloading and transportation containers detached from the mode
of power that delivered the container to the facility.

Incidental/Transitory

These would be COI that, if they exist at any given time, would be present as process intermediates, by-products, or
materials produced incidental to the production of a product.

Peak Shaving Facilities

Tank Farms

These would be COI in natural gas or liquefied natural gas stored in peak shaving facilities.
These would be COI in gasoline, diesel, kerosene, or jet fuel (including fuels that have flammability hazard ratings of
1, 2, 3, or 4, as determined by using the National Fire Protection Association’s [NFPA] Standard System for the
Identification of the Hazards of Materials for Emergency Response) stored in aboveground tank farms, including tank
farms that are part of pipeline systems.

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To calculate whether your facility possesses any of the listed release-explosive COI at or above the STQ, your facility does not need
to include COI that is:
•

Used as a structural component (e.g., a facility need not include a COI embedded in foam insulation toward the facility’s STQ
for that chemical);

•

Used as products for routine janitorial maintenance;

•

Contained in food, drugs, cosmetics, or other personal items used by employees;

•

In process water or non-contact cooling water drawn from environment or municipal sources;

•

In air as compressed air or as part of combustion;

•

Contained in articles, as defined in 40 CFR § 68.3;

•

In solid waste (including hazardous waste) regulated under the Resource Conservation and Recovery Act, 42 U.S.C. § 6901
et seq., except for the waste described in 40 CFR § 261.33;

•

In naturally occurring hydrocarbon mixtures prior to entry of the mixture into a natural gas processing plant or a petroleum
refining process unit (e.g., condensate, crude oil, field gas, and produced water as defined by 40 CFR § 68.3); or

•

In a laboratory at the facility under the supervision of a technically qualified individual as defined in 40 CFR § 720.3. NOTE:
This exemption does not apply to specialty chemical production; manufacture, processing, or use of substances in pilot plant
scale operations; or activities, including research and development, involving chemicals of interest outside the laboratory.

7.3.2 Calculating Minimum Concentration of Release-Explosive COI
The minimum concentration provision for release-explosive COI is located at 6 CFR § 27.204(a)(3). The minimum concentration for
release-explosive COI is A Commercial Grade (ACG). ACG is defined in 6 CFR §27.105 as “any quality or concentration of a
chemical of interest offered for commercial sale that a facility uses, stores, manufactures, or ships.” For each release-explosive COI,
your facility shall count the total quantity of all commercial grades of the COI toward the STQ. However, if a specific minimum
concentration is assigned in the minimum concentration column of Appendix A, your facility should count the total quantity of all
commercial grades of the chemical at or above the specified minimum concentration.

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7.3.3 Reporting the Total Quantity of Release-Explosive COI
After you identify all of the release-explosive COI that your facility possesses at or above the STQ, the Top-Screen will display all of
the release-explosive COI with their CAS numbers in a list.

Top-Screen Question

Question Details

Total On-site Quantity

Enter the maximum TOQ of each release-explosive COI (in pounds) that your facility
possessed at any time within the past 60 days. This is the single highest amount of each
release-explosive COI currently present on-site or within the past 60 days, not the aggregate
amount within the past 60 days. Compute the TOQ using the same provisions a facility shall
consider when determining whether it possesses a COI at or above the STQ (see Section 7.3).

The records prepared by your facility to comply with other programs, such as Emergency Planning and Community Right-to-Know
Act (EPCRA) and RMP, contain information that may be useful in compiling the TOQ of a given COI consistent with Section 7.3.
However, your facility shall compile the TOQ of a COI under CFATS irrespective of the interconnection of processes and equipment,
or the proximity of different storage containers or locations, which are considerations in RMP and in the Occupational Safety and
Health Administration’s (OSHA) Process Safety Management (PSM). Interconnection is not a consideration for compiling the TOQ of
a COI under CFATS.
NOTE: Do not use commas when reporting quantities. Round to two significant digits and report quantities as follows (similar to the
way quantities are rounded and reported in RMP):
•

5,333 pounds should be reported as 5300 pounds.

•

107,899 pounds should be reported as 110000 pounds.

•

2,128,000 pounds should be reported as 2100000 pounds.

Please refer to Attachment A of this document for worksheets and an example of how to assemble information for reporting TOQ.

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7.3.4 Reporting the Quantity of Release-Explosive COI in the AHQ
The AHQ is defined as an area within a radius of 170 feet in which the greatest amount of the explosive COI is located. When
compiling the AHQ, apply the same counting rules that your facility applies in determining whether it meets or exceeds the STQ for
release-explosive COI.

Top-Screen Question
Total Maximum Amount
within the Area of Highest
Quantity (AHQ)

Question Details
Enter the total maximum amount within the AHQ of each release-explosive COI (in pounds).
The TOQ (answered in the previous question) may be different from the total amount in the
AHQ. If the release-explosive COI is found in only one location at a facility, enter the same
amount as reported for TOQ.

For explosives, the reported AHQ for a COI may include a single release-explosive COI or several covered explosives located within
the 170-foot radius. Because all covered explosives released in an intentional event could contribute to a secondary consequence,
all covered explosives that meet the reporting criteria in Section 7.3.1 within 170 feet of the COI need to be evaluated when
determining the AHQ and reported as an aggregate number. This calculation for colocated COI is similar to the approach used for
release-flammable COI. The example in Attachment A illustrates the approach. Please refer to Attachment A of this document for
worksheets and an example of how to assemble information for reporting Area of Highest Quantity.

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7.4 Theft/Diversion-Explosives/Improvised Explosive Device Precursor COI
DHS identifies Theft/Diversion-Explosives (EXP)/Improvised Explosive Device Precursors (IEDP) COI as those that could be stolen
or diverted and used explosives or Improvised Explosive Devices (IEDs).

Top-Screen Question

Question Details

Theft/Diversion-Explosives/Improvised
Explosive Device Precursor (EXP/IEDP)
Present at the Facility: Does the facility
manufacture, process, use, store, or
distribute any of the theft/diversionexplosives/improvised explosive device
precursor COI at or above the STQ?

If your facility currently possesses any of the listed chemicals or possessed them
within the past 60 days in an amount at or above the applicable STQs, you should
select the chemical(s) from the list (see Table 7.4). Some chemicals have more
than one STQ.
• The default settings indicate that the chemical is not present at the facility; thus,
your facility must affirmatively change the answer for each chemical it possesses
or possessed at the facility within the past 60 days.
• Select all applicable chemicals from the list and select Yes at the end to affirm
that your facility has diligently reviewed the list.

Security Issue

STQ

COI to Exclude

COI to Include

Minimum
Concentration

Theft/DiversionEXP/IEDP

15–400 lbs

27.203(a)

27.203(c)

27.204(b)(3)

Table 7.4: Summary of General Rules for Theft/Diversion-EXP/IEDP COI at 6 CFR Part 27

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7.4.1 Calculating Theft/Diversion-EXP/IEDP COI
To calculate whether your facility possesses any of the theft/diversion-EXP/IEDP COI at or above the STQ, your facility shall only
include theft/diversion-EXP/IEDP COI in a transportation packaging, as defined in 49 CFR § 171.8. This includes—but is not limited
to—cylinders, bulk bags, bottles (inside or outside of a box), cargo tanks, and tank cars. Accordingly, your facility shall count all
commercial grades of theft/diversion-EXP/IEDP COI in transportation packaging(s) in laboratories toward the STQ. NOTE: The
laboratory quantities exclusion in § 27.203(b)(2) does not apply to theft/diversion-EXP/IEDP COI.
To calculate whether your facility possesses any of the listed theft/diversion-EXP/IEDP COI at or above the STQ, your facility does
not need to include COI that is:
•

Used as a structural component (e.g., a facility need not include COI embedded in foam insulation toward the facility’s STQ
for that chemical);

•

Used as products for routine janitorial maintenance;

•

Contained in food, drugs, cosmetics, or other personal items used by employees;

•

In process water or non-contact cooling water drawn from environment or municipal sources;

•

In air as compressed air or as part of combustion;

•

Contained in articles, as defined in 40 CFR § 68.3;

•

In solid waste (including hazardous waste) regulated under the Resource Conservation and Recovery Act, 42 U.S.C. § 6901
et seq., except for the waste described in 40 CFR § 261.33;

•

In naturally occurring hydrocarbon mixtures prior to entry of the mixture into a natural gas processing plant or a petroleum
refining process unit (e.g., condensate, crude oil, field gas, and produced water as defined by 40 CFR § 68.3).

7.4.2 Calculating Minimum Concentration of Theft/Diversion-EXP/IEDP COI
The minimum concentration provision for theft/diversion-EXP/IEDP COI is located at 6 CFR § 27.204(b)(3). The minimum
concentration provision for theft/diversion-EXP/IEDP COI is A Commercial Grade (ACG). ACG is defined in 6 CFR §27.105 as “any
quality or concentration of a chemical of interest offered for commercial sale that a facility uses, stores, manufactures, or ships.” For
each theft/diversion-EXP/IEDP COI, your facility shall count the total quantity of all commercial grades of the COI toward the STQ.

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However, if a specific minimum concentration is assigned in the minimum concentration column of Appendix A, your facility should
count the total quantity of all commercial grades of the chemical at or above the specified minimum concentration.
•

Hydrogen peroxide is an example of a theft/diversion-EXP/IEDP COI with a specific minimum concentration. Hydrogen
peroxide is manufactured and used in various commercial grades depending on its intended use. DHS listed hydrogen
peroxide in Appendix A with a specific concentration, “at least 35%;” thus, a facility that possesses 400 pounds or more of at
least 35 percent hydrogen peroxide must complete a Top-Screen.

•

In Appendix A, DHS lists two forms of ammonium nitrate (AN) for the security issue of theft:
o

AN (explosive form) with more than 0.2 percent combustible substances, including any organic substance calculated as
carbon to the exclusion of any other added substance, has an STQ of 400. The STQ for this form of AN is 400 pounds. A
facility must count the total of any commercial grade of this form of AN toward that STQ.

o

AN (solid, commonly used as a fertilizer) with a nitrogen concentration of 23 percent or greater. The STQ for this form
of AN is 2,000 pounds. A facility must count this form of AN when it accounts for 33% or more of a mixture.

7.4.3 Describing Theft/Diversion-EXP/IEDP COI
After you identify all of the theft/diversion-EXP/IEDP COI that your facility possesses at or above the STQ, the Top-Screen will
display all of the theft/diversion-EXP/IEDP COI with their CAS numbers in a list. Select all of the following that describe
theft/diversion-EXP/IEDP COI at your facility:
•

Portable: The theft/diversion-EXP/IEDP COI is portable. Portable is defined as either man-portable (i.e., movable by 1-3
people without the aid of powered mechanical devices) or mechanically portable (i.e., movable with the aid of a fork lift, truck,
or crane).

•

Bulk Transport: The theft/diversion-EXP/IEDP COI is included in a shipment that is required to carry a placard pursuant to
the provisions of subpart F of 49 CFR Part 172. Specifically, the COI is in a package or container such as a tank car(s), a rail
car(s), or other large storage container(s) that could be hitched to a vehicle for removal from a site.

•

Bulk Storage: The theft/diversion-EXP/IEDP COI is in a package or container from which the COI could be safely transferred
into a portable package or container.

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7.5 Theft/Diversion-Weapon of Mass Effect COI
DHS identifies theft/diversion-weapons of mass effect (WME) COI as those that could be stolen or diverted and used directly as
WME.

Top-Screen Question

Question Details

Theft/Diversion-Weapons of Mass
Effect (WME) COI Present at the
Facility: Does the facility manufacture,
process, use, store, or distribute any of
the theft/diversion-weapons of mass
effect COI at or above the STQ?

If your facility currently possesses any of the listed chemicals or possessed them
within the past 60 days in an amount at or above the applicable STQs, you should
select the chemical(s) from the list (see Table 7.5). Some chemicals have more
than one STQ.
• The default settings indicate that the chemical is not present at the facility; thus,
your facility must affirmatively change the answer for each chemical it possesses
or possessed at the facility within the past 60 days.
• Select all applicable chemicals from the list and select Yes at the end to affirm
that your facility has diligently reviewed the list.

Security Issue

STQ

COI to Exclude

COI to Include

Minimum
Concentration

Theft/DiversionWME

15 - 500 lbs

27.203(a)

27.203(c)

27.204(b)(2)

Table 7.5: Summary of General Rules for Theft/Diversion-WME COI at 6 CFR Part 27

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7.5.1 Calculating Theft/Diversion-WME COI
To calculate whether your facility possesses any of the theft/diversion-WME COI at or above the STQ, your facility shall only include
theft/diversion-WME COI in a transportation packaging, as defined in 49 CFR § 171.8. This includes—but is not limited to—cylinders,
bulk bags, bottles (inside or outside of a box), cargo tanks, and tank cars. Accordingly, your facility should count all theft/diversionWME COI in transportation packaging in laboratories toward the STQ. For example:
•

A facility that possesses 20 pounds of 1 percent arsine must complete and submit a Top-Screen to DHS.

•

A facility that possesses 50 pounds of arsine contained in an article such as a semiconductor, need not consider this arsine
toward the STQ.

NOTE: The laboratory quantities exclusion in § 27.203(b)(2) does not apply to theft COI.
To calculate whether your facility possesses any of the listed theft/diversion-WME COI at or above the STQ, your facility does not
need to include COI that is:
•

Used as a structural component (e.g., a facility need not include a chemical of interest embedded in foam insulation toward
the facility’s STQ for that chemical);

•

Used as products for routine janitorial maintenance;

•

Contained in food, drugs, cosmetics, or other personal items used by employees;

•

In process water or non-contact cooling water drawn from environment or municipal sources;

•

In air as compressed air or as part of combustion;

•

Contained in articles, as defined in 40 CFR § 68.3;

•

In solid waste (including hazardous waste) regulated under the Resource Conservation and Recovery Act, 42 U.S.C. § 6901
et seq., except for the waste described in 40 CFR § 261.33;

•

In naturally occurring hydrocarbon mixtures prior to entry of the mixture into a natural gas processing plant or a petroleum
refining process unit (e.g., condensate, crude oil, field gas, and produced water, as defined by 40 CFR § 68.3).

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7.5.2 Calculating Minimum Concentration of Theft/Diversion-WME COI
The minimum concentration provision for theft/diversion-WME COI is located at 6 CFR § 27.204(b)(2). If a theft/diversion-WME COI
is present in a mixture at or above the minimum concentration amount listed in the minimum concentration column, a facility shall
count the entire amount of the mixture toward the STQ. For example, a facility that possesses a 16 pound mixture that contains 7
percent fluorine must complete and submit a Top-Screen for that COI.

7.5.3 Describing Theft/Diversion-WME COI
After you identify all of the theft/diversion-WME COI that your facility possesses at or above the STQ, the Top-Screen will display all
of the theft/diversion-WME COI with their CAS numbers in a list. Select all of the following that describe theft/diversion-WME COI at
your facility:
•

Portable: The theft/diversion-WME COI is portable. Portable is defined as either man-portable (i.e., movable by 1-3 people
without the aid of powered mechanical devices) or mechanically portable (i.e., movable with the aid of a fork lift, truck or
crane).

•

Bulk Transport: The theft/diversion-WME COI is included in a shipment that is required to carry a placard pursuant to the
provisions of subpart F of 49 CFR Part 172. Specifically, the COI is in a package or container such as a tank car(s), a rail
car(s), or other large storage container(s) that could be hitched to a vehicle for removal from a site.

•

Bulk Storage: The theft/diversion-WME COI is in a package or container from which the COI could be safely transferred into
a portable package or container.

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7.6 Theft/Diversion-Chemical Weapons/Chemical Weapon Precursor COI
DHS identifies Theft/Diversion-Chemical Weapons (CW)/Chemical Weapons Precursor (CWP) COI as those that could be stolen or
diverted and used as CW or easily converted into CW.

Top-Screen Question

Question Details

Theft/Diversion-Chemical
Weapons/Chemical Weapons Precursor
(CW/CWP) COI Present at the Facility:
Does the facility manufacture, process,
use, store, or distribute any of the
theft/diversion-CW/CWP COI at or
above the STQ?

If your facility currently possesses any of the listed chemicals or possessed them
within the past 60 days in an amount at or above the applicable STQs, you should
select the chemical(s) from the list (see Table 7.6). Some chemicals have more
than one STQ.
• The default settings indicate that the chemical is not present at the facility; thus,
your facility must affirmatively change the answer for each chemical it possesses
or possessed at the facility within the past 60 days.
• Select all applicable chemicals from the list and select Yes at the end to affirm
that your facility has diligently reviewed the list.

Security Issue

STQ

COI to Exclude

COI to Include

Minimum
Concentration

Theft/DiversionCW/CWP

CUM 100
grams*-220 lbs

27.203(a)

27.203(c)

27.204(b)(1)

Table 7.6: Summary of General Rules for Theft/Diversion-CW/CWP COI at 6 CFR Part 27
*CUM 100g means a cumulative STQ of 100 g for those theft/diversion-CW/CWP COI
being noted as CUM 100g. This is an aggregate amount for all such
theft/diversion – CW/CWP COI, not a per-chemical STQ.

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7.6.1 Calculating Theft/Diversion-CW/CWP COI
To calculate whether a facility possesses any of the theft/diversion-CW/CWP COI at or above the STQ, your facility shall only include
such theft COI in a transportation packaging, as defined in 49 CFR § 171.8. This includes—but is not limited to—cylinders, bulk bags,
bottles (inside or outside of a box), cargo tanks, and tank cars. Accordingly, your facility should count all theft/diversion-CW/CWP
COI in transportation packaging in laboratories toward the STQ. NOTE: The laboratory quantities exclusion in § 27.203(b)(2) does
not apply to theft COI.
To calculate whether your facility has any of the listed theft/diversion-CW/CWP COI at or above the STQ, your facility does not need
to include COI that is:
•

Used as a structural component (e.g., COI embedded in foam insulation at the facility would not be counted toward the
facility’s STQ of those COI);

•

Used as products for routine janitorial maintenance;

•

Contained in food, drugs, cosmetics, or other personal items used by employees;

•

In process water or non-contact cooling water drawn from environment or municipal sources;

•

In air as compressed air or as part of combustion;

•

Contained in articles, as defined in 40 CFR § 68.3 (e.g., the quantity of vinylidene chloride contained in flexible plastic food
wrap that is found at the facility would not be counted toward the facility’s STQ of vinylidene chloride);

•

In solid waste (including hazardous waste) regulated under the Resource Conservation and Recovery Act, 42 U.S.C. § 6901
et seq., except for the waste described in 40 CFR § 261.33;

•

In naturally occurring hydrocarbon mixtures prior to entry of the mixture into a natural gas processing plant or a petroleum
refining process unit (e.g., condensate, crude oil, field gas, and produced water as defined by 40 CFR § 68.3).

7.6.2 Calculating Minimum Concentration of Theft/Diversion-CW/CWP COI
The minimum concentration provision for theft/diversion-CW/CWP COI is located at 6 CFR § 27.204(b)(1). If CUM 100g appears in
the minimum concentration column in Appendix A for a theft/diversion-CW/CWP, your facility shall total the quantity of all such
designated chemicals in its possession to determine whether the facility possesses theft/diversion-CW/CWP chemicals that meet or
exceed the STQ of 100 grams. That STQ is cumulative for all such theft/diversion-CW/CWP COI; it is not a chemical-specific STQ.

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Where a theft/diversion-CW/CWP COI is not designated by “CUM 100g” in Appendix A and the chemical is present at or above the
minimum concentration amount listed in the minimum concentration column of Appendix A, your facility shall count the entire amount
of the mixture toward the STQ.

7.6.3 Describing Theft/Diversion-CW/CWP COI
After you identify all of the theft/diversion-CW/CWP COI that your facility possesses at or above the STQ, the Top-Screen will display
all of the theft/diversion-CW/CWP COI with their CAS numbers in a list. Select all of the following that describe each theft/diversionCW/CWP COI at your facility:
•

Portable: The theft/diversion-CW/CWP COI is portable. Portable is defined as either man-portable (i.e., movable by 1-3
people without the aid of powered mechanical devices) or mechanically portable (i.e., movable with the aid of a fork lift, truck,
or crane).

•

Bulk Transport: The theft/diversion-CW/CWP COI is included in a shipment that is required to carry a placard pursuant to
the provisions of subpart F of 49 CFR Part 172. Specifically, the COI is in a package or container such as a tank car(s), a rail
car(s), or other large storage container(s) that could be hitched to a vehicle for removal from a site.

•

Bulk Storage: The theft/diversion-CW/CWP COI is in a package or container from which the COI could be safely transferred
into a portable package or container.

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7.7 Sabotage/Contamination COI
DHS identifies Sabotage/Contamination COI as those that, if mixed with readily-available materials, have the potential to create
significant adverse consequences for human life or health.

Top-Screen Question

Sabotage/Contamination COI Shipped:
Does the facility ship any of the listed
Sabotage/Contamination COI from its
facility for which it is required to placard
the shipment of the COI under
Department of Transportation (DOT)
Hazardous Materials regulations?

Question Details
Your facility meets the STQ for a sabotage/contamination COI if it ships the
chemical and is required to placard the shipment pursuant to the provisions of
subpart F of 49 CFR part 172. If your facility ships any of sabotage/contamination
COI from the facility in an amount that requires a placard or did so in the past 60
days, select the COI from the list provided.
• The default settings for the list indicate that the COI is not shipped from the
facility; thus you must affirmatively change the answer for each COI shipped from
your facility.
• Select all applicable COI from the look-up table and select Yes at the end to
affirm that your facility has diligently reviewed the list.

Security Issue

STQ

COI to Exclude

COI to Include

Sabotage/Contamination
COI

A Placarded
Amount

27.203(a)

27.203(d)

Minimum
Concentration
27.204(c)
ACG

Table 7.7: Summary of General Rules for Sabotage/Contamination COI at 6 CFR Part 27

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7.7.1 Calculating Sabotage/Contamination COI
To calculate whether your facility possesses any of the listed Sabotage/Contamination COI at or above the STQ, your facility does
not need to include COI that is:
•

Used as a structural component (e.g., a facility need not include a chemical of interest embedded in foam insulation toward
the facility’s STQ for that chemical);

•

Used as products for routine janitorial maintenance;

•

Contained in food, drugs, cosmetics, or other personal items used by employees;

•

In process water or non-contact cooling water drawn from environment or municipal sources;

•

In air as compressed air or as part of combustion;

•

Contained in articles, as defined in 40 CFR § 68.3;

•

In solid waste (including hazardous waste) regulated under the Resource Conservation and Recovery Act, 42 U.S.C. § 6901
et seq., except for the waste described in 40 CFR § 261.33;

•

In naturally occurring hydrocarbon mixtures prior to entry of the mixture into a natural gas processing plant or a petroleum
refining process unit (e.g., condensate, crude oil, field gas, and produced water as defined by 40 CFR § 68.3).

7.7.2 Calculating Minimum Concentration of Sabotage/Contamination COI
The minimum concentration provision for sabotage/contamination COI is located in 6 CFR § 27.204(c). The minimum concentration
for sabotage/contamination COI is A Commercial Grade (ACG). For each sabotage/contamination COI, your facility shall count the
total quantity of all commercial grades of the chemical toward the STQ of APA. A Commercial Grade (ACG) is defined in §27.105 as
“any quality or concentration of a chemical of interest offered for commercial sale that a facility uses, stores, manufactures, or ships.”
For example:
•

A facility that manufactures and ships a placarded amount of commercial grade aluminum phosphide to a producer of crop
protection products must complete and submit a Top-Screen.

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•

Conversely, a facility that possesses a fumigant that contains the sabotage/contamination COI aluminum phosphide does not
need to count the aluminum phosphide contained in the fumigant toward the STQ because it is neither a commercial grade of
the COI nor is the facility shipping a placarded amount of this COI.

7.8 Mission Critical Chemicals
All petroleum refinery, LNG storage, and chemical manufacturing facilities will be directed to the Mission Critical Chemicals section
when completing the Top-Screen. In this section, your facility will answer questions about any chemicals for which they produce 20
percent or more of the domestic production, regardless of whether or not the chemical is a COI listed in Appendix A.
For purposes of this portion of the Top-Screen, critical infrastructure sectors include:
•

Defense Industrial Base, which involves the Department of Defense, government, and private-sector facilities that perform
research and development, design, produce, or maintain military weapon systems, subsystems, components, or parts to meet
military requirements.

•

Public Health and Healthcare, which involves public or private facilities that provide health-care services to the individual or
to the community, whether the services are provided at the workplace, in academic institutions, or in the military, as well as
supporting services.

•

Energy (electric generation only), which involves facilities converting other forms of energy (e.g., water power, fossil fuels,
nuclear power, solar power) into electrical energy.

•

Public Drinking Water, which involves facilities that serve at least 15 service connections used by year-round residents or
regularly serves at least 25 year-round residents.

Top-Screen Question

Question Details

Mission Critical Production: Does this facility
account for 20 percent or more of the domestic
production of any chemical and supply the chemical
to one or more critical infrastructure sectors?

Select Yes or No. Your facility may produce more than one chemical
that meets the criteria. Facilities should consider chemicals listed on
Appendix A as well as those that are not on Appendix A when
determining whether their chemical production meets the criteria.

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If the response is Yes and your facility accounts for 20 percent or more of the domestic production of any one chemical that is
supplied to one or more critical infrastructure sectors listed above, your facility will be asked to supply the name and then to provide
additional information about each such chemical (see Picture 7.5).

Picture 7.5: Adding/Describing Mission Critical Chemicals Screen

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Top-Screen Question

Question Details
Provide the name of any chemical that your facility accounts for 20 percent or more of its domestic
production and is supplied to one or more of the critical infrastructure sectors. If your facility has more than
one such chemical, click the [Add] button to add rows. For each chemical, click the [Describe] button and
enter the following information:
• CAS number (if available).
• Any other name by which the chemical is commonly known (e.g., trinitrophenol is also known as picric
acid).
• Your facility’s estimated domestic market share of the chemical. Select the appropriate range from the
drop-down menu.

Further Chemical
Information

• The primary application of the chemical by your facility’s customer(s) (e.g., a chemical used to treat
drinking water may be described in this field as “water treatment chemical”).
• The primary sector for which your facility produces the chemical. Select from the list all that apply for each
chemical.
• Whether there is an exact or direct substitute(s) available for the chemical produced to meet the needs of
your facility’s customers. Select Yes or No. If Yes, select whether the exact or direct substitute is
produced in North America or overseas.
• Whether a functional substitute(s) is available. Select Yes or No. If Yes, select whether the functional
substitute is produced in North America or overseas. A functional substitute is another chemical that can
accomplish the same function as the chemical made by your facility. For example, one solvent could be
substituted for another solvent in the same application with little impact on product quality or processing.

Select the facility’s
estimated annual average
Capacity Utilization Rate

Select your facility’s estimated annual average Capacity Utilization Rate from the range of values provided
in the drop-down menu, see section 7.8.1.

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Top-Screen Question
Select the facility’s
estimated National
Emergency Production
Rate.

Enter the total annual
production.

Question Details
Select your facility’s estimated National Emergency Production Rate for the chemical from the range of
values provided in the drop-down menu, see section 7.8.2.
Enter the total annual production of the chemical (in pounds/year) from your facility. This information is
similar to that which is reported under EPA's Inventory Update Rule (for updating the Toxic Substances
Control Act Chemical Inventory Database) for the organic and inorganic substances manufactured or
imported in quantities of 25,000 pounds per facility per reporting year. Report production only, not imports.
• If the chemical is not on the Toxic Substances Control Act (TSCA) inventory, provide an estimate of your
annual production.
• Do not use commas when entering this information.

The estimated
replacement cost of the
production unit(s).

Select the appropriate range of the estimated replacement cost of the production unit(s) for the chemical at
your facility from the drop-down menu. Replacement cost(s) apply to the production unit(s) related to the
manufacture of this chemical and any other facility property likely to be damaged beyond repair that would
need to be replaced to restore the original functionality of the unit or equipment to its design productivity
levels.
• The economic value to repair or replace the damaged or destroyed unit(s) and its associated equipment,
plus the economic value of any lost products, should be estimated in U.S. dollars.
• For the purposes of this analysis, use the historic (undepreciated) cost of the facility property plus the
undepreciated value of betterments/ improvements (excluding maintenance and repair) to the production
unit, less the amount that is covered by insurance.

Confirm that all chemicals
have been listed and
described.

Confirm that all chemicals have been listed and described by selecting Yes. If more chemicals need to be
listed and described, return to the appropriate screen and continue to add and describe the chemicals that
meet the criteria.

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7.8.1 Capacity Utilization Rate
The Capacity Utilization Rate is also known as the “operating rate for production” of a chemical or product at a facility. The
information requested by the Top-Screen is the same as that which may have already been provided as part of the U.S. Census
Bureau’s Survey of Plant Capacity Utilization form (form MQ-C1, question 2c), which is available at
http://bhs.econ.census.gov/BHS/index.html (see Picture 7.6).
The Survey of Plant Capacity Utilization provides current data on the rates of capacity utilization in U.S. manufacturing plants. The
survey collects information annually from approximately 17,000 manufacturing facilities with more than five employees. The answers
to these Census Bureau questions may be available from the facility or its corporate financial department. Whereas data are reported
on the Census Bureau survey for one quarter, DHS is seeking an estimate of the data for a one-year period. The instructions for
calculating the full production rate for the survey are available at http://www.census.gov/cir/www/mqc1pag2.html.

Picture 7.6: Survey of Plant Capacity Utilization

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7.8.2 National Emergency Production Rate
The National Emergency Production Rate is the maximum amount of production that a facility can expect to attain and sustain for
one year or more during national emergency conditions. The National Emergency Production Rate is estimated by dividing the
average amount of chemical or product produced over the year by the amount that could have been produced if the plant had been
operating under national emergency conditions during that period. The rate of production at national emergency levels should be
greater than or equal to the rate of full production capability. For detailed definitions and instructions for calculating the National
Emergency Production Rate, review the instructions for Item 5 on the Annual Plant Capacity Utilization Survey at
http://www.census.gov/cir/www/mqc1pag2.html.

7.9 Economically Critical Chemicals
This section of the Top-Screen relates to chemicals that are critical to the national economy or to other critical infrastructure sectors
that are not included in the Mission Critical Chemical section. In this section, your facility will answer questions about chemicals for
which it accounts for 35 percent or more of the domestic production irrespective of whether the chemical is listed on Appendix A.

Top-Screen Question

Question Details
Only manufacturers are required to provide a dollar amount in response to this question. All other
entities, such as distributors and retailers, should enter a “0” in response to this question.

Total Production Value

• Enter the total production value of products (not just Appendix A COI) shipped and other receipts
from the facility.
• Enter the whole number without commas or dollar signs (e.g., enter 1200000 not 1.2 million).

•

For the purpose of this question, CFATS defines a manufacturer the same way as the U.S. Census Bureau. The US Census
Bureau requires all domestic establishments that are classified in NAICS sector 31-33, Manufacturing. The list of
manufacturing NAICS required to complete the ASM are found on the US Census Bureau Web site at
http://www.census.gov/indicator/www/m3/appendixb.pdf.

•

The Total Production Value will be the same as that provided in the Annual Survey of Manufacturers (ASM), which provides
sample estimates of statistics for all manufacturing establishments with one or more paid employees. The U.S. Census

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Bureau conducts the ASM in each of the four years between the Economic Census that is collected for years ending in two
and seven. In the Economic Census, manufacturing is the sample frame from which the ASM is chosen and presents more
detailed data than the ASM. Among the statistics included in this survey are:
o

Employment

o

Payroll

o

Value added by manufacturing

o

Cost of materials consumed

o

Value of shipments

o

Detailed capital expenditures

o

Supplemental labor costs

o

Fuels and electric energy used

o

Inventories by stage of fabrication.

More information is available at http://bhs.econ.census.gov/BHS/index.html.

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•

Facilities that responded to the 2006 ASM should provide the response to survey Question 5, “SALES, SHIPMENTS,
RECEIPTS, OR REVENUE — Total value of products shipped and other receipts (rounded to thousands of dollars).” If the
facility/company took part in this survey, the answers to the survey questions are probably available from the facility or from
the corporate financial department. Picture 7.7 is extracted from the 2006 Annual Survey of Manufacturers.

Picture 7.7: Form MA-10000(S) (10-11-2006), Question 5

Report the total value of products shipped, including interplant transfers, exports, and other receipts as entered in item 22 of
the ASM. The value in item 5 should be the same as the value reported in item 22, code 7700000.

Picture 7.8: Form MA-10000(S) (10-11-2006), Question 22

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•

•

Facilities may provide the response from the previous survey if the numbers accurately reflect current facility operations.
Otherwise, the facility should calculate the amount using instructions for the most recent survey. For more information on the
Economic Census, see http://www.census.gov/econ/census02/index.html.

Top-Screen Question

Question Details

Production of Economically Critical Chemicals: Does
this facility account for 35 percent or more of the
domestic production of any chemical, excluding the
production of chemicals for critical infrastructure sectors
covered in the Mission Critical Chemical section above
(Defense Industrial Base, Public Health and Healthcare,
Energy [electric generation only], Public Drinking
Water)?

If your facility produces a chemical that is critical to the continued
operation of other U.S. manufacturing, including, but not limited to,
mining, construction, information, finance, government, or service
sector of the U.S. economy (excluding the mission critical
infrastructure sectors defined above), does your facility account for
more than 35 percent of the total U.S. production volume of this
chemical? In other words, does the production of this chemical
from your facility represent a market share larger than 35 percent?
Select Yes or No.

The market share is calculated as the facility’s production divided by the total U.S. production for a particular chemical in
volume terms. An estimate of the total U.S. production volume of a particular chemical in the facility’s production portfolio
should be available from a company’s marketing department.

Facility Production of Chemical X (in volume terms)
Market Share =
Total U.S. Production of Chemical X (in volume terms)

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Top-Screen
Question

Question Details
Provide the name of any chemical that your facility accounts for 35 percent or more of its domestic
production and is supplied to one or more of the other economic sectors. If your facility has more than one
such chemical, click the [Add] button to add rows. For each chemical, click the [Describe] button and enter
the following information:
• CAS number (if available).
• Any other name by which the chemical is known (e.g., trinitrophenol is also known as picric acid).
• Your facility’s estimated domestic market share of the chemical. Select the appropriate range from the
drop-down menu.
• The application of the chemical by your facility’s customer(s). Select the application(s) of the chemical by
your facility’s customer(s) from the list provided. Select Yes for all that apply. If there are other
applications that are not listed, select Yes for “other applications” and enter a description of the other
application(s) of the chemical by your facility’s customer(s) that were not listed on the previous page.

Additional
Chemical
Specific
Information

• The primary market sector for which your facility produces the chemical. Select the primary sector(s) from
the list provided for which your facility produces the chemical. Select Yes for all that apply. If there are
other applications that are not listed, select Yes for “other primary sectors” and enter a brief description of
the other primary sector(s) not listed on the next page.
• Whether there is an exact or direct substitute(s) available for the chemical produced to meet the needs of
your facility’s customers. Select Yes or No. If Yes, select whether the exact or direct substitute is
produced in North America or overseas.
• Whether a functional substitute(s) is available. Select Yes or No. If Yes, select whether the functional
substitute is produced in North America or overseas.
• Your facility’s estimated annual average Capacity Utilization Rate from the range of values provided in the
drop-down menu. Use the instructions in Section 7.8 to calculate this information.
• Your facility’s estimated National Emergency Production Rate for the chemical from the range of values
provided in the drop-down menu. Use the instructions in Section 7.8 to calculate this information.
• Annual production rate of mission critical chemicals. Enter the total annual production of the chemical (in
pounds/year) from your facility. Do not use commas when entering the information.

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Top-Screen
Question

Question Details
• The estimated replacement cost(s) of the production unit(s) for this chemical at your facility. Use the
instructions in Section 7.8 to calculate this information.
• Confirm that all chemicals have been listed and described by selecting Yes. If more chemicals need to be
listed or described, return to the appropriate screen and continue to list and describe the chemicals that
meet the criteria until complete.

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8. Top-Screen Completion
8.1 Validating Reports
The Preparer is advised to validate the information entered into Top-Screen and review
it for completeness and accuracy prior to survey submission (or completion). A validation
check for basic logical errors is done by selecting the Validate Report command on the
Top-Screen Navigation Menu on the left side of the screen. Information that is missing
or incorrectly formatted will be listed and highlighted in red, and a link will be provided to
take you to the affected area to fix the error or add the missing information. Once the
information has been corrected, select the Validate Report command again to check for
any additional errors.
NOTE: The Top-Screen will not find and display errors other than missing required data
or logical errors (e.g., the incorrect format for latitude/longitude or the incorrect number
of digits for an EPA Identifier number). Even if no validation errors appear when the
Validation Report command is selected, you are encouraged to print a copy of the
Summary Report and review it for accuracy.

Picture 8.1: Validate Report Screen

8.2 Summary Reports
Select the View Summary Report command on the Top-Screen Navigation Menu on
the left side of the screen to generate a report that lists the Top-Screen questions and
the data entered for each.

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Picture 8.2: Summary Report Screen

After you have validated and reviewed the report, the system will generate a message
based on the information supplied by a facility (“You may be regulated” or “You may not
be regulated”). See Picture 8.3 for an example. Click the [Next] button to continue the
completion process.

Picture 8.3: Regulation Notice Screen

8.3 Transferring to Submitter
The Preparer can choose to have a copy of facilities preliminary tiering from DHS sent to
him/her as well by answering Yes to the question, “Do you want a copy of the letter with
the preliminary tiering determination to be sent to the Preparer in addition to the
Submitter?”
Click the [Transfer to Submitter for Review] button to transmit the Top-Screen to the
Submitter for review. Once the Top-Screen is sent to the Submitter, the Preparer has

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read-only access to the data unless the Submitter sends the Top-Screen back for
revisions, including the entry of additional data.

Picture 8.4: DHS Communications/Preparer Copy Screen

8.4 Submitter Review
After the Preparer has submitted the completed Top-Screen, the Submitter will receive
an e-mail notifying him/her that the Top-Screen is ready for review. On the CSAT
Survey List screen (see Picture 3.1), the Submitter will see the facility (or list of
facilities) he/she is authorized to review and the facility’s status in the review process.
Surveys that are awaiting final review and submission will have the status of In Review.
The Submitter will select the name of the facility to review, and look through the TopScreen to review and edit the answers supplied by the Preparer. After reviewing all of
the information, the Completion screen will be displayed and the Submitter can either:
•

Return the survey to the Preparer for edits and/or additions by clicking the [Transfer
to Preparer for Modifications] button; or

•

Proceed to the Final Validation screen by clicking the [Final Validation] button.

NOTE: If the Top-Screen is returned to the Preparer, its status will return to In Progress
on the CSAT Survey List screen and the Preparer and Submitter will receive e-mails
with additional instructions.

Picture 8.5: Submitter Review Buttons

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To finish the SSP, the Submitter will click the [Final Validation] button and correct any
errors or omissions. When the validation is complete, the Submitter will click the
[Continue] button.

Figure 8.6: Validation Complete Screen

8.5 Printing Top-Screen Surveys
The Submitter must retain a copy of the completed Top-Screen for the facility’s records,
as specified in 6 CFR §27.255(b). This must be done prior to submission, as once the
Top-Screen is submitted to DHS, a user no longer has access to the survey and will not
be able to create a Summary Report.
Click the [Print Version of Top-Screen] button to generate the Summary Report. You can
then choose to print the PDF file and/or save it electronically. Once generated, the report
will be available from the CSAT Survey List Screen only until submission. NOTE: The
printed and electronic records of the completed Top-Screen are CVI and must be
protected as CVI.

8.6 Submitting Top-Screen Surveys
To officially submit the completed Top-Screen, the Submitter should click the [Submit to
DHS] button on the Top-Screen Finish screen, as seen in Picture 8.7. The Submitter
should be sure to read carefully and understand the Submission Statement on the TopScreen Finish screen before submitting the Top-Screen.

Picture 8.7: Top-Screen Finish Screen

After receiving the submitted Top-Screen, DHS will evaluate your facility to determine
whether it presents a high level of security risk. DHS will notify your facility in writing of
its initial determination.
•

If the preliminary determination by DHS is that your facility is a high-risk facility, it will
notify your facility via a letter that it has been preliminarily determined to be high-risk.
In the letter, DHS will also notify your facility of (1) its placement in a risk-based tier
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pursuant to §27.220(a), and (2) the specific chemical(s) and security issue(s) that
need to be addressed in the SVA. See Attachment C for an example.
•

If the preliminary determination by DHS is that your facility is not a high-risk facility, it
will send a letter stating its determination. See Attachment B for an example.

Your facility’s Top-Screen submission is complete.

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List of Acronyms
ACG
AHQ
ASM
ASME
CAS
CCPS
CFATS
CFR
COI
CSAT
CUM 100g
CVI
CW/CWP
CWC
DHS
DOT
DUNS
EPA
EPCRA
EXP/IEDP
FAQ
IFR
LFL
LNG
MTSA
NAICS
NFPA
OSHA
PSM
RMP
SPR
SSP
STQ
SVA
TOQ
WME

A Commercial Grade
Area of Highest Quantity
Annual Survey of Manufactures
American Society of Mechanical Engineers
Chemical Abstract Service
Center for Chemical Process Safety
Chemical Facility Anti-Terrorism Standards
Code of Federal Regulations
Chemical(s) of Interest
Chemical Security Assessment Tool
Cumulative STQ of 100 grams for designated Chemical Weapons
Chemical-terrorism Vulnerability Information
Chemical Weapons/Chemical Weapons Precursor
Chemical Weapons Convention
U.S. Department of Homeland Security
U.S. Department of Transportation
Data Universal Numbering System
U.S. Environmental Protection Agency
Emergency Planning and Community Right to Know Act
Explosive/Improvised Explosive Device Precursor
Frequently Asked Question
Interim Final Rule
Lower Flammability Limit
Liquefied Natural Gas
Maritime Transportation Security Act
North American Industrial Classification System
National Fire Protection Association
Occupational Safety and Health Administration
Process Safety Management
Risk Management Plan
Strategic Petroleum Reserve
Site Security Plan
Screening Threshold Quantity
Security Vulnerability Assessment
Total On-site Quantity
Weapon of Mass Effect

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Attachment A: Tools for Estimating TOQ and
Amount in AHQ
Example: TOQ Worksheet for Three COI in a Facility with
Rural Topography
Where required in the Top-Screen, the TOQ must be calculated in comparison to the
STQ to determine which chemicals and security issues should be evaluated in the TopScreen. Essentially, the TOQ is the maximum quantity of each listed chemical that could
be found at the facility at any one time within the past 60 days.
The TOQ is different from a worst-case scenario under EPA’s RMP program in that the
quantity is not limited to the amount in the single largest vessel. Rather, the TOQ in the
Top-Screen is the aggregate quantity of the chemical that is found over the entire facility.
Therefore, as part of the Top-Screen, each listed chemical at a facility will need to be
inventoried by reviewing the following:
•

Processing areas

•

Storage areas (vessels as well as warehouses)

•

Transportation loading and unloading operations

•

Laboratories

•

Any other areas at the facility where a COI is located.

When calculating the quantity at each location at the facility, the inclusions and
exclusions from Appendix A (as described in Sections 7.1 through 7.3) and reasonable
(and defensible) judgment should be used.
The following steps should be followed to calculate the TOQ for a single listed COI:
•

Step 1: Identify all locations where the chemical is manufactured, used, stored, or
processed.

•

Step 2: Calculate the quantity associated with each location.

•

Step 3: Sum the quantities from each location to determine the TOQ.

To illustrate the calculation of TOQ, an example is presented below for a facility with two
listed release-toxic COI and one listed release-flammable COI. The calculation would be
the same for release-explosive COI, but has been limited for simplicity.
•

Chemical A: chlorine (toxic)

•

Chemical B: dimethylamine (flammable)

•

Chemical C: boron trifluoride (toxic)

Figure A.1 presents a plot plan showing the areas of the facility where the different COI
are located. From this plot plan, it can be seen that Chemical A (chlorine) is located in a
laboratory that is supervised by a technically qualified individual, includes raw material

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storage tanks and a process unit, and is stored in railcars. Chemical B (dimethylamine)
is located in two areas; a warehouse and a production unit. Chemical C (boron
trifluoride) is found in the laboratory and two truck trailer areas.

Chemical Bwarehouse

Administration
Building with
laboratories
containing
Chemicals A and C

Chemical
C-trailer
parking

Chemical
C-trailer
parking

Chem
A tank

Chem
A tank

Chem
A tank

Chemical B-processing units
Chemical
A
processing

Railroad tracks
Rail car with
Chemical A

Figure A.1: Example Facility for Calculating TOQ

Using the worksheets, the following data are captured for this example facility.
Additionally, the Distance of Concern using RMP*Comp must be reported in the Top-

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Screen for toxics. These worksheets allow the documentation of this distance (in miles).
In this example a facility is assumed to be located in a rural area (as defined in Section
7.1), and the resulting TOQ for each chemical and rural topography was used as an
input into RMP*Comp to calculate the Distance of Concern documented in the example
worksheets.

Chemical A: Chlorine TOQ
Processing units (tanks and vessels)
Storage (bulk storage tanks, vessels, underground
caverns, etc.)

Tanks

Amount
3,000 pounds
3 vessels with a total
capacity of 7,500
pounds
-

Railcars regularly on or adjacent to facility (Even if
the railcar is not always present, include the
estimated maximum amount at any one time that
has been staged in railcars at the facility within the
past 60 days.)

Possibility of two 90ton railcars at the
facility. 180,000
pounds each =
360,000 pounds

Tube trailers parked at the facility (the estimated
maximum amount that has been at the facility within
the past 60 days)

-

Other bulk transportation containers (tank cars,
isotainers, large storage containers, etc.)

-

Portable containers (cylinders, bags, etc.). Calculate
the number of containers, multiply by the amount,
and sum the results.

-

Quantities in laboratories unless the laboratory is
2
supervised by a technically qualified individual

Not reported, as this
laboratory is
exempted

Other_______________________________

-

Total On-site Quantity (aggregate quantity)

370,500 pounds
(370,000 lbs reported)

2

Distance of Concern
(miles)

25 miles

See 40 CFR § 720.3 for the definition of such a laboratory supervisor.

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Chemical B: Dimethylamine TOQ
Processing units (tanks and vessels)

Amount
13,300 pounds
(13,000 lbs reported)

Storage (bulk storage tanks, vessels, underground
caverns, etc.)

-

Tanks

-

Railcars regularly on or adjacent to facility (Even if
the railcar is not always present, include the
estimated maximum amount at any one time that
has been staged in railcars at the facility within the
past 60 days.)

-

Tube trailers parked at the facility (the estimated
maximum amount that has been at the facility within
the past 60 days)

-

Other bulk transportation containers (tank cars,
isotainers, large storage containers, etc.)

-

Portable containers (cylinders, bags, etc.). Calculate
the number of containers, multiply by the amount,
and sum the results.

Distance of Concern
(miles)

thirty 500-pound totes
in warehouse
(15,000)

Quantities in laboratories unless the laboratory is
2
supervised by a technically qualified individual

-

Other_______________________________

-

Total On-site Quantity (aggregate quantity)

28,300 pounds

Flammable

(28,000 lbs reported)

(not reported)

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Chemical C: Boron Trifluoride TOQ

Amount

Processing units (tanks and vessels)

-

Storage (bulk storage tanks, vessels, underground
caverns, etc.)

-

Tanks

-

Railcars regularly on or adjacent to facility (Even if
the railcar is not always present, include the
estimated maximum amount at any one time that
has been staged in railcars at the facility within the
past 60 days.)

-

Tube trailers parked at the facility (the estimated
maximum amount that has been at the facility within
the past 60 days)

Maximum of 1 full
tube trailed at the
facility. Trailer with
eight 2,000-pound
tubes (16,000 lbs).

Other bulk transportation containers (tank cars,
isotainers, large storage containers, etc.)

-

Portable containers (cylinders, bags, etc.). Calculate
the number of containers, multiply by the amount,
and sum the results

-

Quantities in laboratories, unless the laboratory is
2
supervised by a technically qualified individual

Distance of Concern
(miles)

Not reported, as this
laboratory is exempt.

Other_______________________________

-

Total On-site Quantity (aggregate quantity)

16,000 pounds

7.4 miles

(16,000 reported)

2

See 40 CFR § 720.3 for the definition of such a laboratory supervisor.

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Example: AHQ and Distance of Concern Worksheet for
Three COI in a Facility with Rural Topography
The AHQ is defined as an area within a circle with a radius of 170 feet, where the
greatest amount of a listed toxic, flammable, or explosive COI is located. The AHQ is
only reported in the Top-Screen for chemicals at or above the STQ listed for a release
concern. For facilities with chemicals located in more than one area, the amount in the
AHQ might be found in a single large storage vessel, in an area of densely located
processing equipment, or in storage areas for raw materials, intermediates, and final
products.
The calculation of AHQ for release-toxic COI is approached differently than for releaseflammables/explosives when there are multiple chemicals located within the AHQ.
Example calculations for each type of chemical are presented separately below.
Release-Toxic: Building on the TOQ example for three listed chemicals above, the AHQ
can be calculated. To determine the AHQ for toxic-release chemicals, the following steps
are performed:
•

Step 1: Overlay a circle with a radius of 170 feet on a plot plan of the facility.

•

Step 2: Move the circle over or near each location where the COI is located.

•

Step 3: At each location determine the quantity within the circle.

•

Step 4: Report an AHQ for the COI that corresponds to the highest quantity
determined at each location in Step 3.

For Chemical A the AHQ is determined by overlaying the 170-foot circle at or near the
raw material storage area, railcar unloading, and the Chemical A processing unit. When
the circle is moved over the facility, the following is determined:
•

Raw material storage and processing units: Quantity of Chemical A in this area is
2,500 pounds in each of three storage tanks, resulting in a total of 7,500
pounds—plus 3,000 in the production unit results in a quantity of 10,500 pounds.

•

Processing unit and railcar unloading: When the circle is overlaid near this area
the production unit and the railcar unloading are encompassed. With 3,000
pounds in the processing unit and 360,000 pounds in the railcars, 363,000
pounds result at this location.

Therefore, the AHQ for Chemical A is 363,000 pounds, as illustrated in Figure A-2.

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Administration
Building with
laboratories
containing
Chemicals A and C

Chemical Bwarehouse

Chemical
C-trailer
parking

Chemical
C-trailer
parking

Chem
A tank

Chem
A tank

Chem
A tank

Chemical Bprocessing

Chemical
A
processing

Railroad Tracks
Rail car with
Chemical A

Figure A.2: Example Facility for Calculating AHQ (Chemical A)

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Moving the circle (170-foot radius) over the facility for each of the three COI results in
the AHQ determinations listed below. Blank worksheets are provided at the end of this
Attachment that can be used for documenting the AHQ calculation.

Chemical A: Chlorine

Amount

Distance of Concern
(miles)

AHQ Location: Area Encompassing Storage Tanks, Production Process, and Railcars
Processing units (tanks and vessels)
Storage (bulk storage tanks, vessels, underground
caverns, etc.)

Tanks

3,000 pounds
3 vessels with a total
capacity of 7,500
pounds
-

Railcars regularly on or adjacent to facility (Even if
the railcar is not always present, include the
estimated maximum amount at any one time that
has been staged in railcars at the facility within the
past 60 days.)

Possibility of two 90ton railcars at the
facility. 180,000 lbs
each = 360,000 lbs

Tube trailers parked at the facility (the estimated
maximum amount that has been at the facility within
the past 60 days)

-

Other bulk transportation containers (tank cars,
isotainers, large storage containers, etc.)

-

Portable containers (cylinders, bags, etc.). Calculate
the number of containers, multiply by the amount,
and sum the results.

-

Quantities in laboratories unless the laboratory is
2
supervised by a technically qualified individual

-

Other_______________________________

-

Area of Highest Quantity (aggregate quantity)

363,000 pounds

25 miles

(360,000 pounds
reported)

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Chemical B: Dimethylamine AHQ

Amount

Distance of Concern
(miles)

AHQ Location: Area Encompassing Warehouse
Processing units (tanks and vessels)

13,300 pounds

Storage (bulk storage tanks, vessels, underground
caverns, etc.)

-

Tanks

-

Railcars regularly on or adjacent to facility (Even if
the railcar is not always present, include the
estimated maximum amount at any one time that
has been staged in railcars at the facility within the
past 60 days.)

-

Tube trailers parked at the facility (the estimated
maximum amount that has been at the facility over
the past 12 months)

-

Other bulk transportation containers (tank cars,
isotainers, large storage containers, etc.)

-

Portable containers (cylinders, bags, etc.). Calculate
the number of containers, multiply by the amount
and sum the results.

Thirty 500-pound
totes in warehouse
(15,000)

Quantities in laboratories unless the laboratory is
2
supervised by a technically qualified individual

-

Other_______________________________

-

Area of Highest Quantity (aggregate quantity)

15,000 pounds
(15,000 lbs reported)

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Chemical C: Boron Trifluoride AHQ

Amount

Distance of Concern
(miles)

AHQ Location: Area Encompassing Warehouse
Processing units (tanks and vessels)

-

Storage (bulk storage tanks, vessels, underground
caverns, etc.)

-

Tanks

-

Railcars regularly on or adjacent to facility (Even if
the railcar is not always present, include the
estimated maximum amount at any one time that
has been staged in railcars at the facility within the
past 60 days.)

-

Tube trailers parked at the facility (the estimated
maximum amount that has been at the facility within
the past 60 days)

Maximum of 1 full
tube trailed at the
facility. Trailer with
eight 2,000-lb tubes
(16,000 lbs)

Other bulk transportation containers (tank cars,
isotainers, large storage containers, etc.)

-

Portable containers (cylinders, bags, etc.). Calculate
the number of containers, multiply by the amount,
and sum the results.

-

Quantities in laboratories unless the laboratory is
2
supervised by a technically qualified individual

-

Other_______________________________

-

Area of Highest Quantity (aggregate quantity)

16,000 pounds

7.4 miles

(16,000 reported)

The following can be determined from the AHQ calculations:
•

Chemical A: AHQ is equal to TOQ because the quantity of chlorine in the
laboratory is not counted.

•

Chemical B: AHQ encompasses only the location with the greater amount
because the two locations are not located within the same 170-foot circle. See

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the next example for an AHQ calculation for flammable COI located close
together.
•

Chemical C: AHQ is equal to the TOQ because this material is only found in one
location at the facility.

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Example: Worksheet for Release-Flammable and
Release-Explosive COI that are located in same AHQ
The difference between the calculation of AHQ for toxics and flammables/explosives is
that for toxics the AHQ is reported individually for each COI, whereas for flammables
and explosives the total quantity of all listed flammables/explosives (within the circle with
a 170-foot radius) needs to be reported as an aggregate amount.
To illustrate the determination of the AHQ for release-flammables and releaseexplosives COI, a facility with three COI release-flammables is used for illustration:
•

COI Propane: Stored in a single location at the facility with a TOQ of 70,000
pounds;

•

Butane: Located in a common flammable storage area as well as other locations
at a facility with a TOQ of 70,000 pounds; and

•

Pentane: Used in a production process with a TOQ of 20,000.

To determine the AHQ for flammable or explosive, the following steps are performed:
•

Step 1: Overlay a circle with a radius of 170 feet on a plot plan of the facility.

•

Step 2: Move the circle over or near each location where the COI is located.

•

Step 3: For each location, determine the total quantity of listed flammable or
explosive within the circle.

•

Step 4: Report an AHQ for each flammable or explosive COI that corresponds to
the highest quantity determined at each location in Step 3.

For the flammables in the example below, the AHQ is determined by overlaying the 170foot circle at or near the flammable COI locations at the facility (see Figure A.3). When
the circle is moved over the facility, the following is determined:
•

Mixed flammable storage: Overlaying the circle with COI propane and butane
storage tanks will encompass two tanks (70,000 pounds of COI propane and
50,000 pounds of butane). At this location the AHQ of flammables is 120,000
pounds.

•

Process area butane: There are two separate areas of 10,000 pound butane.
Overlaying the 170-foot radius at or near these locations results in only 10,000
pounds of butane.

•

Production unit with pentane: Overlaying the circle at the production unit
encompasses only the 20,000 pounds of COI propane associated with the unit.

For the listed chemicals, the following AHQ would be reported in the Top-Screen:
•

COI Propane: 120,000 pounds (mixed flammable storage area)

•

Butane: 120,000 pounds (mixed flammable storage area)

•

Pentane: 20,000 pounds (production unit)

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Propane and Butane
Storage Tanks - AHQ
Location

Propane

Butane

Butane
Process

Butane
Process

Production Unit with no Flammable
COI present

Pentane Process

Pentane AHQ
Location

Figure A.3: Example Facility for Calculating AHQ (Flammables)

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TOQ Worksheet
Chemical Name:

Amount

Distance of Concern
(miles)

Processing units (tanks and vessels)
Storage (bulk storage tanks, vessels, underground
caverns, etc.)
Tanks
Railcars regularly on or adjacent to facility (Even if
the railcar is not always present, include the
estimated maximum amount at any one time that
has been staged in railcars at the facility within the
past 60 days.)
Tube trailers parked at the facility (the estimated
maximum amount that has been at the facility within
the past 60 days)
Other bulk transportation containers (tank cars,
isotainers, large storage containers, etc.)
Portable containers (cylinders, bags, etc.). Calculate
the number of containers, multiply by the amount,
and sum the results.
Quantities in laboratories, unless the laboratory is
2
supervised by a technically qualified individual
Other_______________________________
Total On-site Quantity (aggregate quantity)

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CSAT Top-Screen Survey Application User Guide

AHQ Worksheet
Chemical Name:

Amount

Distance of Concern
(miles)

AHQ Location:
Processing units (tanks and vessels)
Storage (bulk storage tanks, vessels, underground
caverns, etc.)
Tanks
Railcars regularly on or adjacent to facility (Even if
the railcar is not always present, include the
estimated maximum amount at any one time that
has been staged in railcars at the facility within the
past 60 days.)
Tube trailers parked at the facility (the estimated
maximum amount that has been at the facility within
the past 60 days)
Other bulk transportation containers (tank cars,
isotainers, large storage containers, etc.)
Portable containers (cylinders, bags, etc.). Calculate
the number of containers, multiply by the amount
and sum the results.
Quantities in laboratories, unless the laboratory is
2
supervised by a technically qualified individual
Other_______________________________
Area of Highest Quantity (aggregate quantity)

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Attachment B: Sample Facility Letter (Not
High-Risk)
Date
[Submitter Name]
[Company XYZ]
DHS Chemical Security Identification Number [INSERT Unique ID #]
[Address]
[State]
From:
Office of Infrastructure Protection/Chemical Security Compliance Division
Mail Stop 8100
Department of Homeland Security
Washington, DC 20528-8100
RE:
Determination of status of [facility name from screen] [unique facility ID] under
Chemical Facility Anti-Terrorism Standards
Dear [Submitter Name]:
Section 550 of Public Law 109-295 directs the Department of Homeland Security (DHS)
to regulate security at chemical facilities determined to present high levels of security
risk.
Based on the data submitted on [date of submission] by [name of submitter] to DHS
through the Chemical Security Assessment Tool (CSAT) Top-Screen, the [name of
facility from screen] has been determined not to present a high level of security risk. If
there is a material change in the type of activities you undertake at this facility, this
determination may change and you are required to notify DHS within 60 days of making
such a change. Such notification should be sent to [insert contact information].
Thank you for your time and effort in completing the screening process. If you have any
questions about the results of the CSAT Top-Screen please contact [insert contact
information].
Sincerely,

U.S. Department of Homeland Security

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Attachment C: Sample Facility Letter
(Preliminary Tier Determination)
Date
[Submitter Name]
[Company XYZ]
DHS Chemical Security Identification Number [INSERT Unique ID #]
[Address]
[State]
From:
Office of Infrastructure Protection/Chemical Security Compliance Division
Mail Stop 8100
Department of Homeland Security
Washington, DC 20528-8100
RE:
ID]

Determination of preliminary tiering for [facility name from screen] [unique facility

Dear [Submitter Name]:
Section 550 of Public Law 109-295 directs the Department of Homeland Security (DHS)
to regulate security at chemical facilities determined to present high levels of security
risk. Chemical facilities so identified are required to conduct a Security Vulnerability
Assessment (SVA) and develop a Site Security Plan (SSP) to be reviewed and approved
by DHS. The facility may implement layered security measures that meet the applicable
Risk Based Performance Standards (RBPSs).
Based on the data submitted on [date of submission] by [name of submitter] to DHS
through the Chemical Security Assessment Tool (CSAT) Top-Screen, the [name of
facility from screen] has been determined to present a high level of security risk and
placed preliminarily in Tier [insert tier level].
INSERT IF TIER 1, 2, OR 3: As a preliminary Tier [1, 2, 3] facility, you must conduct the
Security Vulnerability Assessment using the CSAT SVA Survey Application available at
http://www.dhs.gov/chemicalsecurity.
INSERT IF TIER 4: As a preliminary Tier 4 facility, DHS requests that you conduct a
Security Vulnerability Assessment using the CSAT SVA Survey Application available at
http://www.dhs.gov/chemicalsecurity. You may, however, submit an Alternative Security
Program for consideration.

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The SVA for [name of facility] must include assets associated with the chemicals and
security issues specified below:
•

•

•

•

Release of the following:
o [ChemicalA]
o [ChemicalB]
o [ChemicalC]
Theft or diversion of the following:
o [ChemicalA]
o [ChemicalB]
o [ChemicalC]
Sabotage or contamination of the following:
o [ChemicalA]
o [ChemicalB]
o [ChemicalC]
Production of the following:
o [ChemicalA]
o [ChemicalB]
o [ChemicalC]

The completed CSAT SVA should be submitted to DHS by [insert tier specific date].
DHS will review the submitted SVA and notify the facility in writing of the final Tier
determination. Following receipt of the final Tier Determination, the facility may be
requested to prepare and submit a Site Security Plan (SSP) in accordance with the
requirements of [add regulatory citation].
If you have any questions about the results of the CSAT Top-Screen or the SVA
requirements please contact [insert contact information].
Sincerely,

U.S. Department of Homeland Security

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File Typeapplication/pdf
File TitleCSAT Top-Screen Survey Application User Guide
SubjectCSAT Top-Screen Survey Application User Guide
AuthorU.S. Department of Homeland Security
File Modified2014-09-16
File Created2010-09-15

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