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PACIFIC NORTHWEST NATIONAL LABORATORY
UNITED STATES DEPARTMENT OF ENERGY
under Contract DE-AC05-76RL01830
Full VersionThe full version of the tools gives a complete listing of questions that is suitable for a in-depth assessment of all of a organizations domains. This version would be suitable for management or those assigned to do full scope assessment.
Lite VersionThe lite version of the tool provides an abbreviated listing of the full question set that is suitable for limited scope assessments. This is suitable for non-management personnel who wish to look at their readiness in preparation for larger assessments.
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This report represents the results of an evaluation using the Chemical Security Capability Assessment Modeling Tool(CSAM). The CSAM evaluation is designed to assist organizations in identifying specific areas to strengthen their chemical security program, prioritize chemical security actions and investments, and maintain the desired level of security throughout the chemical life cycle.
The scope defined for this evaluation includes the following:
This evaluation examined ten critical chemical domains for a facility with a focus on chemical assets.
The results presented in this report are based on participant responses to CSAM Evaluation questions. Responses to evaluation questions must be honest, valid, and accurate for best and most applicable results of this evaluation. The evaluation process did not include document reviews, observation of work, or an examination of security controls in place to support the evaluated function.
The CSAM arises from a combination of existing chemical security standards, frameworks, programs, and initiatives. The CSAM provides flexible guidance to help organizations develop and improve their chemical security capabilities. As a result, the CSAM practices tend to be at a high level of abstraction, so that they can be interpreted for organizations of various structures and sizes.
The CSAM is organized into 10 domains. Each domain is a logical grouping of chemical security practices. The practices within a domain are grouped by objective—target achievements that support the domain. Within each objective, the practices are ordered by Maturity Indicator Level (MIL).
The following sections include additional information about the domains and the MILs.
Each of the CSAM's 10 domains contains a structured set of chemical security practices. Each set of practices represents the activities an organization can perform to establish and mature capability in the domain. For example, the Risk Management domain is a group of practices that an organization can perform to establish and mature chemical security risk management capability.
For each domain, the CSAM provides a purpose statement, which is a high-level summary of the intent of the domain. The purpose statement offers context for interpreting the practices in the domain. The practices within each domain are organized into objectives, which represent achievements that support the domain. For example, the Risk Management domain comprises three objectives:
Each of the objectives in a domain comprises a set of practices, which are ordered by MIL. Figure 2.1 depicts the architecture of the CSAM.Figure 2.1: CSAM Architecture
A brief description of the 10 domains follows in the order in which they appear in the CSAM.
Establish, operate, and maintain a chemical facility’s security risk management program to identify, analyze, and mitigate chemical security risk to the organization, including its business units, subsidiaries, related interconnected infrastructure, and stakeholders.
Manage the facility’s chemical assets commensurate with the risk to other infrastructure and organizational objectives.
Create and manage identities for entities that may be granted access to the organization’s chemical assets, including laboratory environments and information systems. Control access to the organization’s chemical assets in a way that commensurate with the chemical security risks posed by each asset.
Establish and maintain plans, procedures, and technologies to detect, identify, analyze, manage, and respond to chemical threats and vulnerabilities, commensurate with the risk to the organization’s infrastructure, personnel, and organizational objectives.
Establish and maintain activities and technologies to collect, analyze, and use operational and chemical security information, including information from the other model domains, to form a common operating picture (COP).
Establish and maintain relationships with internal and external entities to collect and provide chemical security information, including threats and vulnerabilities, to reduce risks and to increase operational resilience, commensurate with the risk to the organization’s infrastructure, personnel, and organizational objectives.
Establish and maintain plans, procedures, and technologies to detect, analyze, and respond to chemical events and to sustain operations throughout an event, commensurate with the risk to the organization’s infrastructure, personnel, and organizational objectives.
Establish and maintain controls to manage the risks associated with the facility’s chemical assets that are dependent on external entities, commensurate with the risk to the organization’s infrastructure, personnel, and organizational objectives.
Establish and maintain plans, procedures, technologies, and controls to create a culture of chemical security and to ensure the ongoing suitability and competence of personnel, commensurate with the risk to the organization’s infrastructure, personnel, and organizational objectives.
Establish and maintain chemical security program that provides governance, strategic planning, and sponsorship for the organization’s chemical security activities in a manner that aligns chemical security objectives with the organization’s strategic objectives.
The CSAM defines four maturity indicator levels, MIL0 through MIL3, which apply independently to each domain in the CSAM.
Four aspects of the MILs are important for understanding and applying the CSAM:
The CSAM includes 10 domains, or logical groupings of chemical security practices. A description of the each domain is provided in Section 2.1. Domains. This section provides a summary of MIL scores and answer input by MIL for each of the 10 domains included in the CSAM. See Appendix A: Evaluation Scoring Process for a detailed explanation of the scoring process and Section 5. Using the Evaluation Results for further detail regarding interpretation of evaluation results.
|Fully Implemented||Largely Implemented||Partially Implemented||Not Implemented|
This section provides the level of implementation (i.e., Fully Implemented, Largely Implemented, Partially Implemented, and Not Implemented) input to the Evaluation Survey for each CSAM practice by domain, objective, and MIL. See Appendix A: Evaluation Scoring Process for a detailed explanation of the scoring process and Section 5. Using the Evaluation Results for further detail regarding evaluation results.
The CSAM is meant to be used by an organization to evaluate its chemical security capabilities consistently, to communicate its capability levels in meaningful terms, and to inform the prioritization of its chemical security investments. Figure 5.1 summarizes the recommended approach for using the CSAM. An organization performs an evaluation against the CSAM, uses that evaluation to identify gaps in capability, prioritizes those gaps and develops plans to address them, and finally implements plans to address the gaps. As plans are implemented, business objectives change, and the risk environment evolves, the process is repeated.Figure 5.1: Recommended Approach for Using the CSAM
To aid in the analysis of identified gaps, survey questions that were recorded as either "Partially Implemented" or "Not Implemented" are consolidated in Section 5.1-Summary of Identified Gaps.
Table 5.1 presents a more detailed process for using evaluation results.Table 5.1: Detailed Process for Using the Evaluation Results
Note: For further detail regarding activities in the table above, see the C2M2 Version 1.1.
Evaluation scores are derived from responses entered into the CSAM Self Evaluation Toolkit. Each question includes a four-point answer scale: Fully Implemented (FI), Largely Implemented (LI), Partially Implemented (PI), and Not Implemented (NI). The answers of FI or LI are required for a practice to be considered implemented for scoring. Credit is not applied for answers of PI or NI.
The evaluation questionnaire answer options are explained in more detail in the following table:Table A.1: Evaluation Answer Scale
Achieving a specific MIL for a given domain in the CSAM requires the following:
Acute Toxicity (Category 1 through 5)
Compounds in Category 1 through 3 are identified by the Skull and Cross Bone pictogram. They are highly toxic in small amounts and can cause serious health effects or death. Compounds in Category 4 are labeled with the Exclamation Mark symbol (!). They are still harmful but cause lethal effects only after exposure to large amounts. Compounds in Category 5 may pose a hazard for vulnerable populations. As the toxicity depends on the route of exposure, chemicals may have different categories for oral, dermal, or inhalation toxicity.
Skin Corrosion / Irritation (Category 1 through 3)
Compounds in Category 1 can cause severe skin damage. They are marked with the Corrosion symbol. Compounds in Category 2 and 3 can cause reversible damage and are labeled with the Exclamation Mark symbol.
Compounds that can cause irreversible, serious eye damage are classified as Category 1 and are marked with the Corrosion symbol. Eye irritants are classified as Category 2a and 2b. They can cause reversible adverse effects and are labeled with the Exclamation Mark.
Respiratory sensitizers that can induce hypersensitivity of the airways after inhalation are marked with the Health Hazard symbol. A skin sensitizer that can induce an allergic response following skin contact is labeled with the Exclamation Mark.
Compounds with the following health classifications are labeled with the Health Hazard symbol:
Mutagenicity (Category 1a, 1b and 2)
A Category 1 compound is known to produce heritable mutations in human germ cells. Compounds in Category 2 are suspected to cause mutations.
Carcinogenicity (Category 1a, 1b and 2)
A Category 1a compound is known to cause malignant tumors in humans. Compounds in Category 1b are presumed to cause cancer in humans based on animal carcinogenicity. For compounds in Category 2, there is limited evidence of human or animal carcinogenicity.
Reproductive Toxicity (Category 1a, 1b and 2)
A Category 1a compound is known to cause effects on human reproduction or development. Compounds in Category 1b are presumed to cause such effects, based on the results of animal experiments. Compounds in Category 2 are suspected to cause reproductive effects. An additional category describes effects through lactation.
Target Organ Toxicity (Category 1 through 3)
Chemicals in this category have significant health effects upon single or repeated exposure that can impair the function of one or more organs. Category 1 refers to chemicals that are known to cause such effects. Compounds in Category 2 are presumed to cause adverse effects. Category 3 chemicals cause only transient narcotic effects or respiratory tract irritations and are labeled with the exclamation mark symbol.
Aspiration Hazard (Category 1 and 2)
Compounds in Category 1 are known to pose adverse effects such as pulmonary injury when aspirated. Compounds in Category 2 are presumed to cause such effects, based on the results of animal studies and physical properties.
|Hazard Class||General Description|
|Acute toxicity||These products are fatal, toxic or harmful if inhaled, following skin contact, or if swallowed.
Acute toxicity refers to effects occurring following skin contact or ingestion exposure to a single dose, or multiple doses given within 24 hours, or an inhalation exposure of 4 hours.
Acute toxicity could result from exposure to the product itself, or to a product that, upon contact with water, releases a gaseous substance that is able to cause acute toxicity.
|Skin corrosion/irritation||This class covers products that cause severe skin burns (i.e., corrosion) and products that cause skin irritation.|
|Serious eye damage/eye irritation||This class covers products that cause serious eye damage (i.e., corrosion) and products that eye irritation.|
|Respiratory or skin sensitization||A respiratory sensitizer is a product that may cause allergy or asthma symptoms or breathing difficulties if inhaled. Skin sensitizer is a product that may cause an allergic skin reaction.|
|Germ cell mutagenicity||This hazard class includes products that may cause or are suspected of causing genetic defects (permanent changes (mutations) to body cells that can be passed on to future generations).|
|Carcinogenicity||This hazard class includes products that may cause or are suspected of causing cancer.|
|Reproductive toxicity||This hazard class includes products that may damage or are suspected of damaging fertility or the unborn child (baby).
Note: There is an additional category which includes products that may cause harm to breast-fed children.
|Specific target organ toxicity – single exposure||This hazard class covers products that cause or may cause damage to organs (e.g., liver, kidneys, or blood) following a single exposure.
This class also includes a category for products that cause respiratory irritation or drowsiness or dizziness.
|Specific target organ toxicity – repeated exposure||This hazard class covers products that cause or may cause damage to organs (e.g., liver, kidneys, or blood) following prolonged or repeated exposure.|
|Aspiration hazard||This hazard class is for products that may be fatal if they are swallowed and enter the airways.|
|Biohazardous infectious materials||These materials are microorganisms, nucleic acids or proteins that cause or is a probable cause of infection, with or without toxicity, in humans or animals.|
|Health hazards not otherwise classified||This class covers products that are not included in any other health hazard class. These hazards have the characteristic of occurring following acute or repeated exposure and have an adverse effect on the health of a person exposed to it - including an injury or resulting in the death of that person. If a product is classified in this class, the hazard statement will describe the nature of the hazard.|
Corrosive to metals
A substance that will react with and damage metals. This class is marked with the Corrosion symbol (the same symbol as used for skin and eye corrosives).
Explosives: A chemical that is by itself capable of producing gas at a temperature, pressure, and speed that it can cause serious damage to the surroundings. Explosives are divided into groups 1.1 through 1.6 depending on sensitivity. Divisions 1.1 through 1.4 are labeled with the Exploding Bomb symbol.
All flammables are identified by the Flame symbol and include:
- Gases: A gas having a flammable range in air under standard conditions (20°C, 101.3 kPa).
- Aerosols: Compressed, liquefied, dissolved gas, or gas mixture in a non-refillable container containing flammable components.
- Liquids: A liquid having a flash point of not more than 93°C / 200°F. Based on their flash points, flammable liquids are assigned to Category 1 through 4.
- Solids: Solids that are readily combustible or may cause or contribute to fire through friction. Depending on the burning rate flammable solids are assigned to category 1 or 2.
Gases under pressure
Gases that are contained in a receptacle at a pressure not less than 280 Pa at 20°C or as a refrigerated liquid. They are identified by the Gas Cylinder symbol.
Organic liquid or solid that contains the bivalent O-O structure. Such substances may explode, burn rapidly, be sensitive to impact or friction, or react dangerously with other chemicals. Substances are assigned to types A through G with A being the most dangerous. Compounds are either marked with the Exploding Bomb (categories A and B) or the Flame symbol (categories C through F).
Oxidizing gases, liquids or solids
A chemical that in itself may not be combustible but causes or contributes to the combustion of other materials. This class is marked with a Flame Over a Circle symbol.
Pyrophoric liquid or solid
A chemical that ignites within five minutes after coming into contact with air. This class is identified by the Flame symbol.
A substance that self-heats by reacting with air. Unlike pyrophorics, it ignites only when in large amounts (kilograms) and after long periods of time (hours or days). Compounds are marked with the Flame symbol.
A thermally unstable liquid or solid that can undergo an exothermic decomposition without the participation of oxygen. This class is divided into categories A through G. Compounds in categories A and B possess explosive properties and are marked with the Exploding Bomb symbol. Categories C through G are less hazardous and are marked with the Flame symbol.
Substances, which in contact with water emit flammable gases
Solids or liquids that give off flammable gases in dangerous quantities when brought in contact with water. This class is divided into categories 1 through 3 depending on the speed of gas evolution. All are labeled with the Flame symbol.
|Hazard Class||General Description|
|Flammable gases, Flammable aerosols, Flammable liquids, Flammable solids||These four classes cover products that have the ability to ignite (catch fire) easily and the main hazards are fire or explosion.|
|Oxidizing gases, Oxidizing liquids, Oxidizing solids||These three classes cover oxidizers, which may cause or intensify a fire or cause a fire or explosion.|
|Gases under pressure||This class includes compressed gases, liquefied gases, dissolved gases and refrigerated liquefied gases.
Compressed gases, liquefied gases and dissolved gases are hazardous because of the high pressure inside the cylinder or container. The cylinder or container may explode if heated. Refrigerated liquefied gases are very cold and can cause severe cold (cryogenic) burns or injury.
|Self-reactive substances and mixtures||These products may react on their own to cause a fire or explosion, or may cause a fire or explosion if heated.|
|Pyrophoric liquids, Pyrophoric solids, Pyrophoric gases||These products can catch fire very quickly (spontaneously) if exposed to air.|
|Self-heating substances and mixtures||These products may catch fire if exposed to air. These products differ from pyrophoric liquids or solids in that they will ignite only after a longer period of time or when in large amounts.|
|Substances and mixtures which, in contact with water, emit flammable gases||As the class name suggests, these products react with water to release flammable gases. In some cases, the flammable gases may ignite very quickly (spontaneously).|
|Organic peroxides||These products may cause a fire or explosion if heated.|
|Corrosive to metals||These products may be corrosive (chemically damage or destroy) to metals.|
|Combustible dust||This class is used to warn of products that are finely divided solid particles. If dispersed in air, the particles may catch fire or explode if ignited.|
|Simple asphyxiants||These products are gases that may displace oxygen in air and cause rapid suffocation.|
|Physical hazards not otherwise classified||This class is meant to cover any physical hazards that are not covered in any other physical hazard class. These hazards must have the characteristic of occurring by chemical reaction and result in the serious injury or death of a person at the time the reaction occurs. If a product is classified in this class, the hazard statement on the label and SDS will describe the nature of the hazard.|
Acute and chronic aquatic toxicity
A substance that can cause injury or other adverse effects to aquatic organisms with either a short-term or long-term exposure. This class is divided into four categories. Acute aquatic toxicity Category 1 and chronic aquatic toxicity Category 1 and 2 are labeled with the Environment symbol.
|Hazard Class||General Description|
|Acute and chronic aquatic toxicity||This class covers substances that can cause injury or other adverse effects to aquatic organisms with either a short-term or long-term exposure.|
Chemicals of concern are chemicals that present high levels of security risk. These include:
There are three main security issues related to chemicals of interest:
Chemicals of interest may be determined by a national or international governing body. Up to date lists of chemicals of interest may be found at:
Organisation for the Prohibition of Chemical Weapons
United States Department of Homeland Security
Flame Over Circle
Skull and Crossbones
Other information includes the date of preparation of the SDS or its last revision.
|Fully Implemented||Largely Implemented||Partially Implemented||Not Implemented|
|Maturity Indicator Level|
|All||MIL 1||MIL 2||MIL 3|