Implementation of the OPRC Convention and the OPRC-HNS Protocol and relevant Conference resolutions

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1 E SUB-COMMITTEE ON POLLUTION PREVENTION AND RESPONSE 1st session Agenda item 10 PPR 1/WP.7 31 January 2014 Original: ENGLISH DISCLAIMER As at its date of issue, this document, in whole or in part, is subject to consideration by the IMO organ to which it has been submitted. Accordingly, its contents are subject to approval and amendment of a substantive and drafting nature, which may be agreed after that date. Implementation of the OPRC Convention and the OPRC-HNS Protocol and relevant Conference resolutions Report of the Sixteenth Meeting of the OPRC-HNS Technical Group Table of Contents 1 INTRODUCTION 2 DECISIONS OF OTHER BODIES 3 MANUALS AND GUIDANCE DOCUMENTS 4 TRAINING 5 INFORMATION SERVICES AND EXCHANGE 6 ANY OTHER BUSINESS 7 REPORT TO THE SUB-COMMITTEE I:\PPR\01\WP\7.doc

2 PPR 1/WP.7 Page 2 LIST OF ANNEXES ANNEX 1 ANNEX 2 * ANNEX 3 * ANNEX 4 * ANNEX 5 * ANNEX 6 TERMS OF REFERENCE FOR THE CORRESPONDENCE GROUP GUIDANCE ON THE SAFE OPERATION OF OIL POLLUTION COMBATING EQUIPMENT INTERNATIONAL OFFERS OF ASSISTANCE GUIDELINES IMO DISPERSANTS GUIDELINES DRAFT TABLE OF CONTENTS GUIDE ON OIL SPILL RESPONSE IN ICE AND SNOW CONDITIONS LIST OF PRESENTATIONS * Annexes 2, 3, 4 and 5 will be included in the final report for submission to PPR 1. I:\PPR\01\WP\7.doc

3 PPR 1/WP.7 Page 3 1 INTRODUCTION 1.1 The OPRC-HNS Technical Group held its sixteenth session from 28 to 31 January 2014, in London, United Kingdom, under the chairmanship of Mr. Woo-Rack Suh (Republic of Korea). 1.2 The session was attended by delegations from the following Member Governments: ANGOLA ARGENTINA BRAZIL CANADA CHINA FINLAND FRANCE GERMANY INDONESIA IRAN (ISLAMIC REPUBLIC OF) IRELAND JAPAN MALAYSIA MARSHALL ISLANDS NETHERLANDS NEW ZEALAND NIGERIA NORWAY PHILIPPINES POLAND REPUBLIC OF KOREA SINGAPORE SPAIN SWEDEN TURKEY UNITED KINGDOM UNITED STATES VENEZUELA (BOLIVARIAN REPUBLIC OF) by observers from the following intergovernmental organizations: EUROPEAN COMMISSION (EC) LEAGUE OF ARAB STATES and by observers from the following non-governmental organizations in consultative status: as well as: INTERNATIONAL ASSOCIATION OF INDEPENDENT TANKER OWNERS (INTERTANKO) INTERNATIONAL TANKER OWNERS POLLUTION FEDERATION LTD (ITOPF) INTERNATIONAL PETROLEUM INDUSTRY ENVIRONMENTAL CONSERVATION ASSOCIATION (IPIECA) INTERNATIONAL HARBOUR MASTERS' ASSOCIATION (IHMA) INTERNATIONAL SPILL CONTROL ORGANIZATION (ISCO) THE NAUTICAL INSTITUTE REGIONAL ACTIVITY CENTER/REGIONAL MARINE POLLUTION EMERGENCY, INFORMATION AND TRAINING CENTRE, WIDER CARIBBEAN REGION (RAC/REMPEITC-CARIBE) I:\PPR\01\WP\7.doc

4 PPR 1/WP.7 Page 4 OPENING OF THE MEETING 1.3 Mr. Stefan Micallef, Director of Marine Environment Division, attended the opening session and made an introduction to the working arrangements of the OPRC-HNS Technical Group under the restructured sub-committees, in particular, the Pollution Prevention and Response Sub-Committee (PPR). 1.4 In his opening remarks, Mr. Dandu Pughiuc, Senior Deputy Director, Marine Environment Division, welcomed delegates to the sixteenth session of the OPRC-HNS Technical Group and, having also informed the delegates on the outcomes of the reform initiative to restructure the sub-committees, highlighted the Group's achievements and contributions in oil spill and HNS prevention and response as well as capacity building through IMO's Integrated Technical Cooperation Programme (ITCP). Having noted the work the Technical Group had before it, he concluded by wishing the Group success in their discussions and deliberations throughout the week. 1.5 The Chairman, Mr. Woo-Rack Suh, also welcomed all delegations, in particular, those delegations attending for the first time. Mr. Suh highlighted the priority work items for the current session and encouraged active participation and dialogue on various agenda items in the course of the session. ADOPTION OF THE AGENDA 1.6 The Group, having considered OPRC-HNS/TG 16/1/Rev.1 and OPRC-HNS/TG 16/1/1 on the revised provisional agenda, annotated agenda and the provisional timetable for the current session, respectively, approved its agenda and revised timetable as amended. 2 DECISIONS OF OTHER BODIES 2.1 As agreed, under the revised timetable, the Group had two documents for its consideration under this agenda item: OPRC-HNS/TG 16/2 (Secretariat), containing an overview of the outcomes of MEPC 65, MSC 92 and C 110, on matters of relevance to the work of the OPRC-HNS Technical Group and OPRC-HNS/TG 16/6 (Secretariat) on the working arrangements of the OPRC-HNS Technical Group under the Sub-Committee on Pollution Prevention and Response (PPR) containing information on the planned output of the Technical Group for biennium to be aligned with the work programme of the PPR Sub-Committee. 2.2 The Group noted the information contained in document OPRC-HNS/TG 16/2, in particular, the approval of a number of guidelines for publication by MEPC 65 and the approval of the Circular on List of certificates and documents required to be carried on board ships (FAL.2/Circ.127-MEPC.1/Circ.847-MSC.1/Circ.1492), including the amendment to the "Note" in the title of the annex to previous versions of the list to remove the wording "All certificates to be carried on board must be originals". 2.3 The Group also noted the approval of MSC-MEPC.3/Circ.4 on Revised harmonized reporting procedures to supersede MSC-MEPC.3/Circ.3, which retains all the information related to pollution incident reporting. 2.4 The Group noted further the agreement on the restructuring of the sub-committees by MEPC 65 and MSC 92 and the endorsement by C 110, including the approval of the terms of reference, biennial agendas for and the provisional agendas for the first sessions of the restructured sub-committees and the tentative arrangements for correspondence, working and drafting groups related to the restructured sub-committees. I:\PPR\01\WP\7.doc

5 PPR 1/WP.7 Page 5 Working arrangements of the OPRC-HNS Technical Group under the Sub-Committee on Pollution Prevention and Response 2.5 Following consideration of document OPRC-HNS TG 16/6 (Secretariat), as agreed during the adoption of the agenda, the group recalled that the OPRC-HNS Working Group, the predecessor of the OPRC-HNS Technical Group of the MEPC, was first established following the 1990 Diplomatic Conference, which adopted the OPRC Convention and met primarily during meetings of the MEPC and, on occasion, intersessionally. 2.6 The Group also recalled that at MEPC 48, a more permanent structure was proposed and agreed upon to replace the OPRC Working Group following a joint submission by Australia, Canada, New Zealand and ITOPF. The more permanent structure was scheduled to meet the week prior the MEPC and the terms of reference were approved at MEPC The Group noted that in accordance with the review and reform initiatives of the Organization and with the outcome of MSC 92 and MEPC 65 on the restructuring of the sub-committees, TG 16 is reporting directly to PPR 1 instead of MEPC 66. Planned output for biennium 2.8 The Group noted that under the revised planned output of MEPC and PPR Sub-Committee for the biennium, there are seven planned outputs relating to OPRC-HNS matters consisting of four on guidance documents, two on manuals and one on Model training courses, which will be discussed in detail under the relevant agenda items, in contrast to the eight outputs proposed by TG 15 to MEPC 65 (annex 1, MEPC 65/WP.2). 2.9 The Group also noted that of the seven planned outputs, four are earmarked for completion for 2014 and the remaining three outputs for completion in Having noted that the PPR Sub-Committee is meeting once a year and with the view to aligning to its work programme to complete the planned outputs for the biennium on OPRC/HNS matters, the Group took the necessary actions as indicated under the relevant agenda items. 3 MANUALS AND GUIDANCE DOCUMENTS 3.1 The Group had for its consideration under this agenda item the following documents and topics: OPRC-HNS/TG 16/3/2 (France); OPRC-HNS/TG 16/3 (United States); OPRC-HNS/TG 16/3/1 (Norway); OPRC-HNS/TG 16/3/3 (Islamic Republic of Iran); and section II of the Manual on Oil Pollution Contingency Planning. Updating of IMO Dispersant Guidelines 3.2 The Group recalled that, at TG 11, it considered a document submitted by the United States and the additional material submitted by the European Commission, and having noted the initial lessons learned with regard to dispersants from the Montara and Deepwater Horizon incidents, agreed to the establishment of an intersessional correspondence Group led by France to revise the IMO dispersant guidelines and to submit a revised draft Guidelines for consideration at TG 12. Due to the complexity of the matter, the work was extended over the following sessions of the Technical Group. I:\PPR\01\WP\7.doc

6 PPR 1/WP.7 Page The Group noted that MEPC 65 had considered and approved the finalized draft texts of parts I and II of the IMO Dispersant Guidelines and instructed the Secretariat to carry out final editing and to prepare the respective parts for publishing through the IMO Publishing Service. 3.4 The Group recalled that at TG 14, it requested France and Canada to finalize part III of the Guidelines and to keep its work on part IV Sub-sea application of dispersants in abeyance, until more information becomes available on this subject The Group recalled further that at TG 15, having reviewed the draft of part III and the industry comments, it recommended some reorganization of the information within the Guidelines, and agreed to re-establish the correspondence group to be led by France and report at TG 16 with an update and a revised draft Guidelines (parts III and IV) Having considered document OPRC-HNS/TG 16/3/2 regarding the work of the intersessional correspondence group led by France on part III of the revised draft IMO Dispersant Guidelines and the tentative table of contents of part IV in detail, the Group recognized that more time would be needed to complete part III and to develop part IV of these Guidelines In this respect, the Group, agreed to invite PPR 1 to establish a correspondence group under the coordination of France 1 and a working/drafting group at PPR 2 to finalize the IMO Dispersant Guidelines part III with a view to approval at MEPC 68 for publication. The draft terms of reference for the correspondence group are provided in annex 1. International Offers of Assistance Guidelines 3.8 The Group recalled that MEPC 62, having considered a proposal by the United States (MEPC 62/20/1) to develop internationally accepted Guidelines for International Offers of Assistance in response to a marine oil pollution incident, approved its inclusion as a new unplanned output in the biennial agenda of the OPRC-HNS Technical Group with a target completion year of The Group also recalled that following a number of comments and suggestions raised at both TG 14 and TG 15 to assist in further developing the updated draft of the International Offers of Assistance Guidelines submitted by the United States, it re-established the correspondence group under the leadership of the United States to finalize the Guidelines intersessionally, with a view to submitting an updated draft to TG 16 for its consideration with the goal of submitting a final draft to TG Having made a comprehensive and detailed review of the draft International Offers of Assistance Guidelines presented in document OPRC-HNS/TG 16/3 (United States), the Group recognized that additional work remains to be carried out and agreed to invite PPR 1 to instruct the correspondence group to be established under paragraph 3.7 above, to finalize these Guidelines, and to report to PPR 2 with a view to approval at MEPC 68 for publication. The draft terms of reference for the correspondence group are provided in annex 1. 1 Mr. Francois Merlin Alternative contact US Research and Development Department Ms. Heather Parker CEDRE Response Advisory Team Tel: +33 (0) U.S. Coast Guard francois.merlin@cedre.fr Tel: heather.a.parker@uscg.mil I:\PPR\01\WP\7.doc

7 PPR 1/WP.7 Page 7 Guide on Oil Spill Response in Ice and Snow Conditions 3.11 The Group recalled that TG 13, having deliberated on the matter and having noted the multiple Arctic initiatives being undertaken through other bodies, notably under the work being undertaken through the DE Sub-Committee on the development of a mandatory Polar Code, the work of the Arctic Council Emergency Prevention, Preparedness and Response (EPPR) Working Group, the establishment of an Arctic agreement for oil pollution preparedness, response and cooperation, as well as the petroleum industry's Arctic work through its Joint Industry Project (JIP), agreed to revisit the matter at TG The Group also recalled that at TG 14, having considered the information submitted by the Secretariat on the current status of the Group's work on developing a Guide on Oil Spill Response in Ice and Snow Conditions and a way forward, agreed to a collective proposal put forward by the Arctic States to bring the matter to the EPPR Working Group and make a proposal for initiating such work in that forum The Group noted that MEPC 65 concurred with the Group's proposal to refer the Guide on oil spill response in ice and snow conditions to the EPPR Working Group for further development Having considered document OPRC-HNS/TG 16/3/1 (Norway), the Group noted that in its meeting of June 2013 in Oulu, Finland, the EPPR Working Group agreed with TG 14's proposal and during its subsequent meeting of November 2013 in Tromsø, Norway, prepared a plan, timetable and table of contents for the development of the Guide Following consideration of the recommendations made by the EPPR Working Group, the Technical Group noted the information about the timeline of the development of the Guide on oil spill response in ice and snow conditions and approved the revised table of contents of the Guide as contained in annex Having noted also the information about contracting an external consultant to prepare the first draft of the Guide for review by the EPPR Working Group in June 2014 in Canada, and its subsequent meeting in November 2014, the Group extended its appreciation to Canada for its kind offer to fund such a consultant The Group concurred with the intention of Norway to endeavour to submit a finalized draft version of the document as reviewed by the EPPR Working Group to PPR 2 for consideration. Draft Guidance on the Safe Operation of Oil Pollution Combating Equipment 3.18 The Group recalled that TG 12 agreed that the content of the Guidance on the Safe Operation of oil Pollution Combating Equipment submitted by the Islamic Republic of Iran should be refocused to address best practices for the safe operation of oil pollution combating equipment based on the types of hazards during oil spill response The Group further recalled that TG 15, having considered a number of possibilities for finalizing the work, invited the Islamic Republic of Iran to delete chapter 5 and to submit a more advanced draft to the Secretariat intersessionally, to be referred to IPIECA for review and comment by its Oil Spill Working Group (OSWG) In considering the revised draft Guidance on the Safe Operation of Oil Pollution Combating Equipment presented in document OPRC-HNS/TG 16/3/3 introduced by the Islamic Republic of Iran and having noted the absence of comments from IPIECA, the Group I:\PPR\01\WP\7.doc

8 PPR 1/WP.7 Page 8 agreed to incorporate the comments made by a number of delegations and finalized the draft Guidance to be submitted to PPR 1 for consideration and forwarding to MEPC 67 for approval for publication The delegation of the United States indicated that safety of spill response operations is a paramount concern to them, and substantial experience and supporting information relative to this topic is available. However, the United States renewed the question of the TG's remit to address worker safety and indicated that the TG had anticipated a broader external review of the OPRC-HNS/TG 16/3/3 document as agreed at TG 15. The lack of notice that the agreed review would not be forthcoming at this meeting precluded thorough consideration and formulation of information and input and because the broader external review did not occur, recognizing that in the same time, this is the last planned intersessional meeting of the OPRC-HNS TG before becoming subject to the procedures and working arrangements of PPR, reasonable opportunity for further information or comment on the question of remit, as well as on the technical issues, should be provided at future meetings of PPR During the final revision, in the process of approval of the report, the delegation of the Islamic Republic of Iran made the following statement for the record: "In process of approval of the final report, the delegation of the Islamic Republic of Iran recalled the Technical Group that the remit of the subject had been addressed in previous sessions of the TG and with support of many delegations, the draft Guidance of the Safe Operation of Oil Pollution Combating Equipment have been modified according to various points of views of the delegations and therefore finalized the text of the Guidance at the present session." Revision of Section II of the Manual on Oil Pollution Contingency Planning 3.23 The Group recalled that MEPC 61, having considered a document submitted by Sweden (MEPC 61/8/4) setting out the key requirements for the establishment of a response system for oil and HNS, concluded by referring the document to the OPRC-HNS Technical Group and instructing it to assess and prioritize the information needed and to submit the results of this analysis to MEPC 62 for further consideration The Group also recalled that at TG 12, TG 14 and TG 15, it assessed and refined the list of priority areas and agreed that in addition to the development of elements for HNS contingency planning, which was the highest priority item, the contingency planning for offshore units, sea ports and oil handling facilities is also a high priority. In this respect, the Group agreed that the revision of section II of the Manual on Oil Pollution to address contingency planning for offshore units, sea ports and oil handling facilities was a more suitable way forward, rather than establishing a new product The Group further recalled that MEPC 65 approved the revision of section II of the Manual on Oil Pollution Contingency Planning to include new information related to contingency planning for offshore units, sea ports and oil handling facilities The Group noted the information provided by RAC/REMPEITC-Caribe on the proposed updates on section II of the Manual on Oil Pollution for which a submission will be made at PPR The Group, having noted that in accordance with the work programme of PPR Sub-Committee for the biennium (document OPRC-HNS/TG 16/6), the revision of section II of the Manual on Oil Pollution Contingency Planning is scheduled in 2015, agreed to defer further consideration on the matter and invited interested delegations, including RAC/REMPEITC-Caribe, to submit comments on the draft manual to PPR 2. I:\PPR\01\WP\7.doc

9 PPR 1/WP.7 Page Having recognized that elements for HNS contingency planning were also of the highest priority, the delegate from Sweden informed the Group that a proposal for an unplanned output by his country on HNS contingency planning to MEPC 67 was not possible at this time due to logistics constraints Having agreed that elements for HNS contingency planning are still considered as the highest priority, the Group reiterated its invitation to interested delegations to put forward such a proposal to MEPC 67. Manual on Chemical Pollution to address legal and administrative aspects of HNS incidents 3.30 During the introduction of document OPRC-HNS/TG 16/6, the Group recalled that MEPC 55 concurred with its proposal for the development of guidance materials to address the legal and administrative aspects of HNS incidents and had correspondingly added this item as an unplanned output to the work of the Group (paragraph 8.4, MEPC 65/22) The Group noted that MEPC 65, having considered the finalized draft text of the Manual on Chemical Pollution to address legal and administrative aspects of HNS incidents submitted by the Secretariat (document MEPC 65/8) took note of the fact that several delegations supported the need for a more in-depth review of the document and agreed to defer a decision on the matter inviting interested delegations to submit any comments on the draft manual to MEPC 66, accordingly The Group noted that a comprehensive review of the Manual has been submitted to MEPC 66 by the United States under the symbol MEPC 66/8. 4 TRAINING 4.1 The Group recalled that having concurred with the need for a revision of the OPRC Model Training Courses at its twelfth session, it agreed at TG 13 to draft the terms of reference for the first phase of the revision, that is, the redevelopment of the level 3 Course, and endorsed the Secretariat's proposal to engage a consultant(s) to undertake the work. 4.2 The Group also recalled that at TG 14, having noted the delay in issuing the consultancy contract, it agreed on a revised timetable and instructed the Secretariat to submit the draft level 3 Course materials with relevant updates at TG The Group further recalled that at TG 15, it carried out a detailed review of the process and of the level 3 Course materials and that the Secretariat finalized the level 3 Course materials based on the comments and recommendations of the detailed review. 4.4 Having considered document OPRC-HNS/TG 16/4 (Secretariat), providing information on the status of the revision of the OPRC Model Training Courses, based on the work undertaken in the intersessional period, the Group agreed to put the publication of the level 3 Course materials in abeyance until the completion of levels 1 and 2 Course materials to ensure editorial consistency amongst all the course materials across levels. 4.5 The Group noted that revision of level 2 Training Courses will be contracted in 2014 under the Global Programme of the Integrated Technical Cooperation Programme (ITCP) with a view to a submission of a first draft by the Secretariat at PPR 2. The Group noted also that revision of level 1 and level 0 is expected to commence in 2015 subject to availability of funds. I:\PPR\01\WP\7.doc

10 PPR 1/WP.7 Page The Group also noted that the Secretariat will submit the draft level 2 Training Courses for consideration by PPR 2 with the view to approval by MEPC 68 for publication. 5 INFORMATION SERVICES AND EXCHANGE 5.1 The Group had for its consideration under this agenda item the following documents and topics: OPRC-HNS/TG 16/5 (Secretariat); OPRC-HNS/TG 16/INF.3 (ISCO); OPRC-HNS/TG 16/INF.4 (ITOPF); OPRC-HNS/TG 16/INF.5 (OGP); OPRC-HNS/TG 16/INF.6 (RAC/REMPEITC-Caribe); IMO support to the Triennial Oil Spill Conferences; and Review of web content and inventory of information on oil and HNS preparedness and response. Summary of incidents involving HNS and lessons learnt 5.2 The Group considered document OPRC-HNS/TG 16/5 (Secretariat), providing a list of maritime incidents involving HNS reported until July Having noted the value of the statistical data provided, the delegation of Norway recommended that future reports on incidents involving HNS should contain more information on the lessons learned from such incidents. 5.4 Following considerations of the incident data and resulting analysis, the Group noted the statistical information provided and acknowledged the value of the incident information. Consequently, the Group instructed the Secretariat to continue to collect such data and to submit its analyses to future sessions of the PPR Sub-Committee and urged delegates to provide the Secretariat with relevant information regarding the lessons learned from HNS incidents. Knowledge-based response planning for marine incidents 5.5 The Group recalled that TG 13 noted the document submitted by ISCO providing information on ISCO's progress towards contingency and incident-specific action planning for response to oil/hns incidents and that relevant NGOs had been invited by ISCO to contribute to the finalization of its work. 5.6 The Group recalled that TG 14 noted the information provided by ISCO on the status of development of its new knowledge-based contingency and incident-specific action plans and intention to transmit its invitation to NGOs to provide additional input to its initiative. 5.7 The Group also recalled TG 15 noted the update on ISCO's progress on contingency and incident-specific action planning for response to oil/hns incidents and its efforts to solicit inputs to the current work through both the OPRC-HNS Technical Group and the MEPC. 5.8 The Group noted the information contained in document OPRC-HNS/TG 16/INF.2, (ISCO), providing information on ISCO's progress towards contingency and incident-specific action planning for response to oil/hns incidents on the basis of belief-rejection and knowledge-acceptance. 5.9 The Group thanked ISCO for its efforts and contribution and advised them that future submissions should be made to PPR Sub-Committee and MEPC. I:\PPR\01\WP\7.doc

11 PPR 1/WP.7 Page 11 Summary of incidents attended by the International Tanker Owners Pollution Federation (ITOPF) and lessons learnt 5.10 The Group considered document OPRC-HNS/TG 16/INF.4 and noted the information on ITOPF's involvement in ship-source spills globally from May 2013 to December The Oil and Gas Industry's Commitment to Safe Arctic Operations: The Arctic Oil Spill Response Technology Joint Industry Programme (JIP) 5.11 The Group noted the information contained in document OPRC-HNS/TG 16/INF.5 (International Association of Oil and Gas Producers (OGP)), presented by IPIECA on behalf of OGP, providing an update on the activities of the Arctic Oil Spill Response Technology Joint Industry Programme (JIP), and agreed to include the outcome of the JIP programme in the inventory of information resources on the IMO website The Group noted the need to cross-reference the work of the EPPR Working Group and JIP on the Polar region with the view to harmonize their activities and ensure complementarity. Geographical Information System (GIS) based database for the Maritime Traffic of the Wider Caribbean Region 5.13 Having considered document OPRC-HNS/TG 16/INF.6 on the GIS-based database for the Maritime Traffic of the Wider Caribbean Region developed by the RAC/REMPEITC-Caribe, the Group noted that it is available online ( but access is limited to government entities, NGOs and academics whose research response to the objectives proclaimed by the Cartagena Convention The Group thanked RAC/REMPEITC-Caribe for the introduction provided and had an in-depth discussion on the database. IMO support to the Triennial Oil Spill Conferences 5.15 The Group recalled that at TG 14, it provided input and guidance with respect to the possible topic areas for paper submission for the International Oil Spill Conference (IOSC) and invited delegations to monitor the developments with regard to conference preparations, call for papers and submission deadlines, through the conference website at The Group further recalled that the forthcoming conference in the series will be the 2014 International Oil Spill Conference, to be held from 5 to 8 May 2014 in Savannah, Georgia, USA The Group noted further that IOSC has recently launched a website, providing the full knowledge base of IOSC proceedings since 1969 free of charge The Group also noted that IMO will continue to support the Triennial Oil Spill Conferences and for the biennium under the Global Programme of the Integrated Technical Cooperation Programme, the Organization has allocated funding support for this activity. I:\PPR\01\WP\7.doc

12 PPR 1/WP.7 Page 12 Review of web content and inventory of information on oil and HNS preparedness and response 5.19 The Group recalled that TG 15 agreed to include the list of OPRC/HNS-related information resources set out in the annex to document OPRC-HNS/TG 15/5/2 (Secretariat) to the web inventory and had invited delegations to provide contributions on OPRC/HNS-related information for the development and further expansion of the inventory of information resources such as any information on best practices and R&D on HNS preparedness and response The Group, having noted that the Secretariat has included the agreed list of information resources to the web inventory at and that ITOPF provided the ITOPF technical papers in Russian language to the web inventory, thanked the Secretariat and ITOPF for their efforts and contributions and urged the delegations to increase their efforts to provide contributions on OPRC/HNS related information to the web inventory. 6 ANY OTHER BUSINESS 6.1 Having recalled that the first document under this agenda item has been dealt with under agenda item 2, the Group considered document OPRC-HNS/TG 16/INF.2 submitted by Norway and noted the establishment of a binding agreement between the Arctic States to strengthen cooperation, coordination and mutual assistance on oil pollution preparedness and response in the Arctic region, which was signed in May 2013 at the Eighth Meeting of the Arctic Council in Kiruna, Sweden with a planned exercise in 2014 in Canada and thanked Norway for its submission. 6.2 The Group expressed its thanks to several delegations for their presentations made during the course of the meeting as shown in annex 6. 7 ACTION REQUESTED OF THE SUB-COMMITTEE 7.1 The Sub-Committee is invited to:.1 agree on the Group's proposal to establish a correspondence group under the overall coordination of France to:.1 complete the draft part III of the IMO Dispersant Guidelines and develop a draft part IV of these Guidelines for consideration by PPR 2 (paragraph 3.7 and annex 1);.2 finalize the draft Guidelines on International Offers of Assistance (paragraph 3.10 and annex 1); in accordance with the terms of reference shown in annex 1..2 note the plan and timetable for the development of the Guide on oil spill response in ice and snow conditions, and concur with the revised table of contents of the Guide as contained in annex 5 (paragraph 3.15 and annex 5);.3 consider the finalized draft Guidance on the safe operation of oil pollution combating equipment for approval by MEPC 67 for publication (paragraph 3.20); I:\PPR\01\WP\7.doc

13 PPR 1/WP.7 Page 13.4 note the progress on the revision of the IMO OPRC Model Training Courses (paragraphs 4.4 to 4.6);.5 endorse the Secretariat's ongoing support to the Triennial Oil Spill Conference series (paragraphs 5.18);.6 urge delegations to submit information to further expand the inventory of information resources on OPRC/HNS-related matters at (paragraphs 5.19 to 5.20);.7 extend thanks and appreciation to the Sub-Committee to the Chairman, Mr. Suh Woo-Rack (Republic of Korea) and Vice-Chairman Mr. Christophe Rousseau (France) for their leadership and support of the OPRC-HNS Technical Group;.8 extend thanks and appreciation to the OPRC-HNS Technical Group for having developed a wide array of useful tools, manuals, training courses and other type of guidance that have been distributed and utilized worldwide to assist in the implementation of the OPRC Convention and the OPRC-HNS Protocol carried out for the past 16 sessions; and.9 approve the report in general. *** I:\PPR\01\WP\7.doc

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15 PPR 1/WP.7 Annex 1, page 1 ANNEX 1 DRAFT TERMS OF REFERENCE FOR THE CORRESPONDENCE GROUP ON THE GUIDELINES ON INTERNATIONAL OFFERS OF ASSISTANCE AND THE IMO DISPERSANT GUIDELINES Taking into consideration the comments and decisions made at OPRC-HNS TG 16 on documents OPRC-HNS/TG 16/3, OPRC-HNS/TG 16/3/2 and OPRC/HNS TG/16/WP.1, the correspondence group under the overall coordination by France is instructed to:.1 finalize the draft part III of the IMO Dispersant Guidelines based on the document contained in annex 4, with the view to approval for publication by MEPC 68 and develop a draft part IV of these Guidelines;.2 finalize the draft Guidelines on International Offers of Assistance based on the document contained in annex 3, under the leadership of the United States, with the view to approval for publication by MEPC 68; and.3 submit a written report to PPR 2. *** I:\PPR\01\WP\7.doc

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17 PPR 1/WP.7 Annex 2, page 1 ANNEX 2 DRAFT GUIDANCE ON THE SAFE OPERATION OF OIL POLLUTION COMBATING EQUIPMENT Preface 1 Article 6.2(a) of the OPRC Convention requires that each Party shall establish a minimum level of pre-positioned oil pollution combating equipment commensurate with the risk involved. In addition, article 8.4 of the Convention calls for the development of standards for compatible oil pollution combating techniques and equipment through the Organization or other competent international organizations. 2 The Marine Environment Protection Committee, at its sixtieth session, having considered the proposal by the Islamic Republic of Iran to develop guidelines addressing the safe performance of oil pollution combating equipment, approved the inclusion of a new item in the work program and the agenda of the OPRC-HNS Technical Group on "Development of guidance on the safe operation and performance standards of oil pollution combating equipment". The OPRC Technical Group, having discussed this issue for several sessions, invited the Islamic Republic of Iran to further develop the "Guidance on the Safe Operation of Oil Pollution Combating Equipment". This guidance provides information on the identification, assessment and mitigation of the risks to the responders in transporting and operating oil pollution combating equipment, taking into account the lessons learnt by government and industry from the oil spill response operations over the past years. The guidance also provides best practices for the operation of equipment and reduction of injury to responders in oil spill response operations. I:\PPR\01\WP\7.doc

18 PPR 1/WP.7 Annex 2, page 2 Table of Contents Chapter 1 Introduction Chapter 2 Definitions Chapter 3 Scope of Guidance Chapter 4 Technical guidance and best practices for response personnel 4.1 Hazard factors Direct primary risk factors Combating equipment and materials Equipment classification Oil pollution combating materials Indirect secondary risk factors Location of response operation Type of oil spilled Oil spill response options Level of knowledge and experience of response personnel Hazard association with collision and Boom/Wire under tension 4.2 Hazard identification 4.3 Risk assessment Hazard identification (HAZOP) method Frequency assessment method Consequence assessment method 4.4 Risk evaluation Risk prioritization Risk categorization 4.5 Risk mitigation Additional safety control 4.6 Risk assessment for oil pollution combating equipment 4.7 Best practices General requirements Personnel responsibilities Personal protective clothing and equipment Chapter 5 Documentation and reporting References Appendix 1 Appendix 2 Appendix 3 Appendix 4 Appendix 5 Risk assessment form Additional safety control Best practices for Oil Pollution Combating Equipment Reporting form for injuries from Oil Pollution Combating Equipment Safety checklist for oil pollution combating equipment I:\PPR\01\WP\7.doc

19 PPR 1/WP.7 Annex 2, page 3 Chapter 1 Introduction This guidance is aimed to provide technical guidance for the safe operation of oil spill combating equipment and materials to minimize risks encountered by the personnel involved in oil pollution response operations. Responding to oil spills is an activity that may be conducted in different locations and environments, and involves many different processes. Such operations make use of a combination of human resources, equipment and materials. The safety of responders is of the most importance when conducting an effective oil spill response. Ensuring that procedures and response equipment as well as materials are safe is crucial. Currently there is no guidance available for the safe operation of oil spill response equipment. Analytical information from the National Institute for Occupational Safety and Health (NIOSH) for the Deepwater Horizon cleanup operations, indicated that 459 cases of injury occurred in 7 weeks during the operation, which included 14 shoulder injuries, 17 eye injuries, 21 neck injuries, 29 head/face injuries, 46 ankle/foot injuries, 54 knee/leg injuries, 59 back injuries, 76 arm/elbow injuries, 126 hand/finger injuries and 17 other cases (23 April to 20 June 2010). Moreover, the oil pollution combating operation for Erika (1999) led to 439 cases of backache, 317 cases of headache, 230 cases of skin irritation, 126 cases of eye irritation, 98 cases of breathing difficulty, and 91 cases of nausea and vomiting among the personnel involved in the operation (figures 1 and 2). Figure 1: Injuries Resulting from Oil Pollution (Gulf of Mexico, 2010) Figure 2: Injuries Resulting from M/T Erika Oil Pollution (France, 1999) I:\PPR\01\WP\7.doc

20 PPR 1/WP.7 Annex 2, page 4 Responder injuries bear significant financial costs to the administrators/operators. Some of the costs are obvious, such as sick pay for injured employees, whereas other costs are harder to identify. Nevertheless, this does not include some of the less obvious but more serious costs, such as the increase in insurance premiums, lost production, lost customer and even loss of reputation. In addition, some risk reduction measures can actually increase the efficiency of oil pollution combating operations. Apart from using personal protective equipment, adequate knowledge of the possible hazards resulting from the operation of oil spill response equipment and materials and the way responders may encounter these hazards will enable responders to minimize the possible risks resulting from the mentioned factors to their health and safety in an oil spill combating operation. Identifying these hazards and consequent risks and taking them into consideration not only protect the personnel from possible physical or psychological harm, but also increase the efficiency of response operations. I:\PPR\01\WP\7.doc

21 PPR 1/WP.7 Annex 2, page 5 Chapter 2 Definitions Hazards or threats Hazards or threats are existing conditions which may potentially lead to an undesirable event. Event An event is an occurrence that has an associated outcome. Risk Risk is defined as the product of the frequency with which an event is anticipated to occur and the consequence of the event's outcome. Risk level is a qualitative or quantitative assessment of the risk. Risk = Frequency X Consequence Controls Controls are the measures taken to prevent hazards from causing undesirable events. Controls can be physical (safety shutdowns, redundant controls, conservative designs, etc.), procedural (written operating procedures), and can address human factors (employee selection, training, supervision). Frequency The frequency of a potential undesirable event is expressed as events per unit time. The frequency should be determined from historical data if a significant number of events have occurred in the past. Consequence Consequence can be expressed as the number of people affected (injured or killed). Likelihood A generic term covering either frequency or probability, depending on the analysis used. Risk mitigation Mitigating the risk of injury from the operation of oil pollution combating equipment. Limitations Using an oil pollution combating equipment involves environmental and operational limitations. The limitations may be divided into different categories. Environmental limits and operational limits are the most common categories known so far. Understanding equipment limits by the response personnel will lead them to safer operation. Environmental limits The environmental limits are those connected to the environment, e.g. temperature, sea state, inclines, space, time, life, noise and other limits. I:\PPR\01\WP\7.doc

22 PPR 1/WP.7 Annex 2, page 6 Operational limits The operational limits are those connected to the operation, e.g. the intended use of the equipment; the maximum breaking load of the chains or ropes to be used during operation, the capacity, pressure, loads, range of fluids, substances, resistance, weight, etc. that might be involved; and the maximum noise allowance for the responders. Emotion A physiological state of agitation or disturbance which can affect an individual's normal ability to perform required tasks. Personal problem A problem that pre-occupies the emotion and reduces the ability to perform required tasks. Examples include physical disabilities, death or illness. Injury Physical damage to the body, which causes a decrease in mental or physical abilities. Mental illness Psychotic or erratic behavior, depression, hallucination, unexplainable, or other forms of abnormal behavior. Fatigue A reduction in physical and/or mental capability as the result of physical, mental or emotional exertion which may impair nearly all physical abilities, including strength, speed, reaction time, coordination, decision-making or balance. I:\PPR\01\WP\7.doc

23 PPR 1/WP.7 Annex 2, page 7 Chapter 3 Scope of Guidance This document provides technical guidance and best practices for the personnel involved in oil spill response operations with a view to minimizing the risk associated with the operation of oil pollution combating equipment. This guidance also provides a uniform risk management approach for the identification, assessment, evaluation and control of the risk involved in the operation of oil pollution combating equipment. In this guidance, the risk originating from different types of oil pollution response operations on shorelines and at sea, is identified and best practices for the safe operation of oil pollution combating equipment are provided accordingly. I:\PPR\01\WP\7.doc

24 PPR 1/WP.7 Annex 2, page 8 Chapter 4 Technical guidance and best practices for response personnel 4.1 Hazard factors The operation of oil pollution combating equipment can potentially pose health threats to those involved in the operation. These threats may result from direct factors (i.e. equipment) or indirect factors (i.e. location of operation, type of oil, option used for oil spill combating or insufficient knowledge and experience of the personnel). The type or intensity of these threats depends on the type of the equipment used for the operation. However, the intensity of these threats will be determined by a combination of factors such as the above-mentioned direct factors and indirect factors, during and after the operation. The definition and types of factors are set out below: Direct primary risks factors Combating equipment and materials Containment and recovery of oil at sea and onshore requires different equipment and materials, due to the various morphological, oceanographic and environmental conditions. These differences relate to the design, form, size, type and weight of the materials used in producing the oil spill response equipment. The existence of such differences complicates the range of risks from and hazards associated with the equipment used for combating oil spill. Although oil spill clean-up in certain conditions, such as on shorelines or in rivers or shallow waters, can be done with techniques, equipment and materials available at the scene, the equipment and materials normally used are those which are known to have wider performance and effectiveness in responding to different types of oil spills in differing conditions Equipment classification.1 Containment devices: Booms are the most commonly used oil containment devices. There are many different types of boom to suit a variety of different needs and conditions. Even though all boom types are designed on the same principle, they are made of a variety of materials, and have differing features, dimensions and physical characteristics;.2 Recovery devices: Skimmers are the most popular oil recovery devices. A diverse range of skimmers are available to recover floating oil from the water surface. They have been developed to work under a variety of operating conditions. Generally, they are designed to work on a suction or adhesion basis. They follow different physical characteristics based on manufacturer design and its component materials;.3 Vessels and specialized vessels: Vessels play an important role in oil spill response operations. Vessels are used for storing and caring equipment and, in some cases they are also used for storing recovered oil at sea. Supply boats, tugs and buoy tender vessels are generally used in a response operation. There are also specialized vessels I:\PPR\01\WP\7.doc

25 PPR 1/WP.7 Annex 2, page 9 for oil recovery that are equipped with the necessary devices on board, in order to be able to collect and store oil on board in small quantities;.4 Temporary storage and handling facilities: The provision of safe and suitable temporary storage and handling facilities is crucial for the success of an oil spill response operation. There is a variety of temporary storage facilities that can be used to support recovery operation at sea or on shorelines. Vessel tanks, barges, towable floating tanks, drums and terrestrial fast tanks are the most recognized types of temporary storage facilities. Handling facilities consist mainly of oil lightering device, fixed, floating and submerged pumps;.5 Ignition devices: To conduct in situ burning of oil on water, ignition devices must be used;.6 Shoreline clean-up devices and accessories: There are different types of equipment that can be used for shoreline clean-up but are not especially designed for this purpose. Rakes, shovels, scrapers, dustbins, vacuum trucks and tanks, graders, bulldozers, tractors, high and low pressure cleaners, steam generators and electric generators are the most common types of shoreline clean-up devices;.7 Dispersants spraying devices: Dispersants can be applied from aircraft, helicopter, ships or individual small handheld pumps;.8 Communications devices; and.9 Pumps: Pumps are used for the transfer of oil from storage devices to the shore Oil pollution combating materials Dispersants and sorbents are the most important materials used in oil spill clean-up operations. Dispersants are chemical agents that alter the physical behaviour of oil on the sea surface. Dispersants are usually applied directly to the spilled oil by spraying from aircrafts, helicopters, ships or individual small handheld pumps. Sorbents are materials used for either absorption or adsorption of oil at sea. Although they have similar functions, they are made from different materials and in different shapes. I:\PPR\01\WP\7.doc

26 PPR 1/WP.7 Annex 2, page Indirect secondary risk factors Location of response operations The location for conducting oil spill clean-up operations is one of the important factors in determining other parameters, e.g. type of equipment and number and level of trained personnel needed for the operation. The conditions and the specific characteristics of each geographical location will define the type of equipment to be used while conducting the clean-up, as well as any possible relevant hazards. The location conditions will also influence the required personnel's capacity and relative success of the operation. Oil spills may occur in different environmental conditions and extend beyond these. Also clean-up operations may be conducted in different places, such as:.1 rivers;.2 estuaries;.3 creeks;.4 ports and harbors areas;.5 areas adjacent to oil handling facilities;.6 shoreline;.7 shallow waters; and.8 deep sea/open water. The physical characteristics of the equipment needed change with the various environments they serve, namely, type, form, size and weight of such equipment are among the important characteristics that influence the choice and adequacy of equipment for each location and environment Type of oil spilled Both the OPRC Convention and MARPOL define oil as petroleum in any form, including crude oil, fuel oil, oil refuse and refined products. Initiating a proper response to an oil spill is partly dependent on identifying the type of oil spilled and thus determines the suitable equipment and materials required for clean-up. Therefore, the possible hazards that might be posed to those personnel involved in the operation will be determined by the type of the oil spilt at sea as well as the decisions made as to the type of equipment and extent of application Oil spill response options With the exception of the "no action other than monitoring and evaluating the oil" option, the result of choosing each of the oil spill response options will expose response personnel to some level of risks from equipment or materials. Decisions on the best option for responding to pollution and determination of the types of equipment to be used during the operation would therefore define the extent and scope of the hidden risks to the personnel. I:\PPR\01\WP\7.doc

27 PPR 1/WP.7 Annex 2, page 11 Considering recent technological developments, there are a number of oil spill response options available. The possible response options are as follows:.1 no action other than monitoring and evaluating;.2 containment and recovery of the oil at sea or/in other water bodies (rivers, harbors, etc.);.3 chemical dispersion of the oil at sea;.4 burning the floating oil at sea; and.5 shoreline clean-up Level of knowledge and experience of response personnel The level of knowledge and experience of personnel involved in the response operation can be considered as an indirect factor that defines an important proportion of risks associated with equipment. Oil spill combating operations make use of a combination of human resources, equipment, materials and vessels. Not every responder needs the same level of knowledge and experience. While onshore clean-up activities traditionally involves a large number of personnel mostly with basic skills, except a few managers and officers, and fairly simple equipment, operations conducted at sea require experienced personnel and specified equipment operated in a satisfactory manner. Safety must be taken into account right from the design stage and must be kept in mind at all stages in the life cycle of the equipment: design, manufacture, installation, adjustment, operation, maintenance and eventual scrapping. Personnel involved in response operations shall be fully familiar with the areas in which they may suffer harm from equipment. The most recognized sources of hazard are as follows:.1 materials;.2 handling;.3 ergonomic;.4 operating position;.5 control system;.6 moving parts;.7 errors of fitting;.8 extreme temperatures;.9 fire;.10 explosion;.11 noise;.12 vibrations;.13 emission of hazardous materials and substances;.14 trapped with equipment/in machine; and.15 cleaning of equipment. I:\PPR\01\WP\7.doc

28 PPR 1/WP.7 Annex 2, page Hazard Association with Collision and Boom/Wire under Tension In order to prevent the collision of other ships with units involved in the pollution combating operation and/or booms and wires under tension, it is necessary to identify the high-risk area during the operation and prevent unrelated people and units from entering. The hazardous areas related to towing of barges/storage tanks or booms in order to move the oil slick are portrayed in figures. Figure 3: Hazardous area of wires under tension Figure 4: Hazardous area in J configuration I:\PPR\01\WP\7.doc

29 PPR 1/WP.7 Annex 2, page 13 Figure 5: Hazardous area in U configuration 4.2 Hazard identification Figure 6: Hazardous area in V configuration Before beginning any task, it is necessary that all the associated hazards and risks are thoroughly identified and evaluated. For oil spill combating, this is an important task due to the wide variation of potential activities and challenges to control the work sites. You must ask several questions:.1 where will the work be performed, in marshes, on the beach, inland waters, offshore, at docks or in work staging areas?.2 what type of oil pollution will the combating equipment be used for?.3 will the work be accomplished from vessels (small or large) or barges?.4 what part of the clean-up will your workers be involved in?.5 will they be monitoring the activities of others or will they be involved in actual clean-up activities?.6 what can go wrong? What are the possible consequences? I:\PPR\01\WP\7.doc

30 PPR 1/WP.7 Annex 2, page 14.7 what types of protective clothing, P.P.E. and equipment will be required?.8 what hazards could occur and how likely would they occur?.9 who might be harmed by the identified hazards, and when?.10 what parts of the machine might cause harm to a person? And.11 who operates the machine, when, and why? Again remember foreseeable misuse including the possibility of using a machine by untrained persons, and persons who might be present in the workplace; not only machine operators, but also cleaners, security staff, visitors, and members of the public. In general, hazards can arise from the spilled product itself and the chemicals involved in the response operations. This guidance aims to identify the hazards of operating oil pollution combating equipment during: No. Hazard 1 Transportation 2 Deployment at the oil recovery boom 3 Blowing up the oil recovery boom by air blower pump I:\PPR\01\WP\7.doc

31 PPR 1/WP.7 Annex 2, page 15 4 Towing the oil recovery boom 5 Operating power pack 6 Equipment noise 7 Operating the skimmer 8 Pumping the recovered oil I:\PPR\01\WP\7.doc

32 PPR 1/WP.7 Annex 2, page 16 9 Operating high pressure cleaners 10 Maneuvering aircraft 11 Igniting and burning of oil at sea 12 Splashing and blowback of oil spill dispersant to personnel 13 Towing barges/floating tanks I:\PPR\01\WP\7.doc

33 PPR 1/WP.7 Annex 2, page Using absorbent materials 15 Working on trucks and with shoreline cleanup vehicles/equipment 16 Working on shore at temporary storage facilities Consideration should be given to the possibility of entanglement, crushing, cutting from tools, sharp edges on the machine, stability of the machine, noise, vibration, chemicals, and emission of substances being processed. Other factors such as radiation also need to be considered, as well as burns from hot surfaces, or friction due to high speeds. In the methods suggested for the safe operation of oil pollution combating equipment, the risks of working with the combating equipment in different locations. The different equipment utilized and several steps of combating are identified. The typical steps for offshore combating when mechanical methods have been chosen are as follows:.1 loading of equipment on to the trucks in stockpiles;.2 transportation of equipment to the shore or loading berth/jetty;.3 loading of equipment on a vessel/barge or boat;.4 transportation of equipment from loading point to the combating area;.5 deployment of the oil recovery boom including the blowing of inflatable type of boom;.6 towing of booms; I:\PPR\01\WP\7.doc

34 PPR 1/WP.7 Annex 2, page 18.7 recovery of oil by skimmers;.8 collection of skimmers;.9 recovery of booms;.10 returning of equipment to the unloading point;.11 washing of equipment; and.12 returning of equipment to the stockpiles. 4.3 Risk assessment methods When the hazards of a system or process have been identified, the next step in conducting a risk assessment is to estimate the frequency at which the hazardous events may occur. There are many different analysis techniques and models that have been developed to assist in conducting risk assessments. A key to any successful risk analysis is choosing the right method (or combination of methods) for the situation at hand. It should be noted that some of these methods (or slight variations) can be used for more than one step in the risk assessment process. The common risk assessment methods are listed as below: Hazard identification (HAZID) method.1 Hazard Identification (HAZID) technique;.2 Checklist analysis;.3 Hazard and Operability (HAZOP) analysis;.4 Failure Modes and Effects Analysis (FMEA); and.5 Contribution of "human factors" issues Frequency assessment method.1 Analysis of historical data;.2 Event Tree analysis (ETA);.3 Fault Tree analysis (FTA);.4 Common Cause Failure analysis (CCFA); and.5 Human reliability analysis Consequence assessment method To use a systematic method to determine risk levels, the Risk Assessment Process is applied. This process consists of three basic steps:.1 Hazard identification;.2 Risk analysis which includes frequency assessment and consequence assessment; and.3 Risk evaluation. I:\PPR\01\WP\7.doc

35 PPR 1/WP.7 Annex 2, page 19 The level of information needed to make a decision varies widely. In some cases, after identifying the hazards, qualitative methods of assessing the frequency and consequence are satisfactory to enable the risk evaluation. In other cases, a more detailed quantitative analysis is required. Once the likelihood (frequency/probability) and severity of risks have been considered, the precautions available should then be examined to determine their effectiveness. The level of risk can be calculated utilizing a two-dimensional matrix combining likelihood and consequence. 4.4 Risk evaluation Risk = Likelihood (Frequency) X Consequence Once the hazards and potential risks or events have been identified, and the frequencies and consequences associated with these events have been estimated, the relative risks associated with the events can be evaluated. There are a variety of qualitative and quantitative techniques used to do risk evaluation. The common methods are: Risk prioritization In this technique, the analysis team identifies potential scenarios using structured hazard analysis techniques (e.g., HAZOP, FMEA). The analysis team subjectively assigns each scenario with a priority category based on the perceived level of risk. Priority categories can be: low, medium, high, very high Risk categorization In categorizing, the analyst must define the likelihood and consequence categories to be used in the evaluation and also define the level of risk associated with likelihood/consequence category combination. Frequency and consequence categories can be developed in a qualitative or quantitative manner. In this method, one can also categorize the level of risk for further decisions. 4.5 Risk mitigation The most effective way of managing risk is to eliminate it; however, this is not always possible and other options need to be considered. The least effective way of managing risk is to use personal protective equipment as a control method and this is an indication that the hazard is still present to some degree. When applying risk controls, the timescale that you apply may vary. The aim is therefore to control the highest rated risks first. Yet, it may be necessary to apply low level risk controls before high risk controls depending on the operating conditions of equipment and the weather conditions. Attention to the manufactures' recommendations and the use of precautionary measures before any action is taken is the primary objective of risk mitigation. In this guidance, control measures are suggested for each task in the steps for oil pollution combating Additional safety control When the level of risk is high and reducing it is impractical by current or normal measures, then one should be prepared for the hierarchy of safety actions to eliminate or reduce the risk. The main safety actions to control high risk tasks are as follows: I:\PPR\01\WP\7.doc

36 PPR 1/WP.7 Annex 2, page 20.1 Elimination: When possible, the best method of dealing with a hazard is to eliminate it. Once the hazard has been eliminated, the potential for harm has been removed;.2 Replacement: Can the hazard source be replaced with less hazardous combating equipment? For example, aircraft can be replaced with a boat for spraying oil spill dispersant in foggy weather conditions;.3 Engineering controls: Installation of additional wheels for easier sliding of oil recovery booms during deployment;.4 Administrative: This can include training, installation of warning labels, safe work procedures, and site safety inspections/audits; and.5 Personal Protective Equipment: This can include lifejackets, safety harnesses, safety glasses/goggles, safety helmets, safety boots and gloves. The typical additional safety control is illustrated in appendix 2. In case the risk level is above 60 (identified as high-risk situations), additional safety control measures would be used, as mentioned in appendix Risk Assessment for oil pollution combating equipment The method of Risk Assessment for oil pollution combating equipment introduced in this guidance is a combination of frequency, consequence and FMEA methods. Furthermore, in this method, hazard or risk and consequences effects to personnel from working on oil pollution combating equipment such as oil booms, skimmers, pumps, high pressure machines, floating tanks, etc., are identified. The Risk Assessment Process for working with oil pollution combating equipment is summarized in appendix 1. Hazard identification depends on the amount of oil spilled at sea or on shorelines and the equipment needed, which may vary greatly. The combination of consequence (severity) and frequency collectively define the risk. At the next step, risk value or the Risk Priority Number (RPN) should be categorized as Risk Assessment. The advantages of this method are:.1 All steps of risk assessment can be viewed alongside each other;.2 It combines of qualitative and quantitative approaches, which can give the score for each level of frequency and severity; and.3 Depending on the location, type and amount of the oil spill, the response method used, and the equipment and facilities available, the hazard type and the level of risk can be different. Therefore, the table provided for risk assessment does not mention the score of each separate task and consequences to personnel. The safety officer or risk assessment analyst can choose any score from table 1 or table 2 to calculate the degree of severity or probability. I:\PPR\01\WP\7.doc

37 PPR 1/WP.7 Annex 2, page 21 In this method, the risk priority value is calculated by multiplying the consequence or severity by the frequency or probability, which would be between 1 and 100, as follows:.1 1 x < 30: risks that are permitted to exist and can be controlled to prevent incidents from occurring. They are identified as Low Risk (LR);.2 30 x < 60: risks that are under control, but need to be reconsidered and lowered to permissible levels. They are identified as Moderate Risk (MR); and.3 60 x 100: risks that need to be eliminated or lowered to permissible levels. They are identified as High Risk (HR). The method for measuring the severity or consequence, which enables prioritization during risk assessment, is elaborated in the table below: Score Consequence Effect to the personnel 10 Danger without warning Death 9 Danger with warning Disablement 8 Very high Loss of the body parts, restricted duty, occupational illness 7 High Level 3 burns 6 Medium 5 Low Break or sprain, strain or injuries of muscles (which can be treated similar to level 2 burns) Contusions, level 1 burns, redness of skin, medical aid needed 4 Very low Very low effect to body, interim surgery, first aid needed 3 Negligible Abrasion, scrape of hand 2 Very negligible Small cuts 1 No effect No injuries or damage Table 1 Severity/Consequence Index Score Frequency risk/hazard Frequency per time 10 Danger without warning Regularly 9 Danger with warning Once a week 8 Very high Every 2 weeks 7 High Monthly 6 Medium Seasonally 5 Low Less than one year 4 Very low Annually 3 Negligible Every 1-5 years 2 Very negligible Every 5-15 years, accidental 1 No effect Rarely Table 2 Frequency/Probability of Risk After the risk assessment, it is necessary to make a judgment on whether the risk is acceptable or not. Where a risk is assessed as low, the risk of operation may be accepted. If the level of the risk is high, the risk must be eliminated or lowered and new options must be put in place with the aim of reducing the level of risk. The monitoring and review of risk assessments is a growing process which requires continuous improvement. I:\PPR\01\WP\7.doc

38 PPR 1/WP.7 Annex 2, page Best practices After the risk assessment has been completed and the action techniques have been determined for operational teams, the response team, especially the response equipment operators, need to pay sufficient attention to the health and safety considerations specified in contingency plans and also defined by equipment manufacturers. The best practices are therefore defined considering the response procedures and the equipment used in each oil spill response operation. As mentioned in section 4.1. Hazard factors, the main response methods are mechanical methods, spraying dispersants, in situ burning and beach clean-up. The mechanical method usually includes the use of mechanical equipment such as booms to contain the oil slick, as well as skimmers and pumps to recover and transfer the spilled oil from water surface. The best practices for this method need to be considered fully before, during and after using such equipment. Moreover, there are technical guidelines provided by equipment manufacturers, as well as checklists for their safe and optimal use by operational teams in order to prevent any danger and damage to the personnel and equipment involved. The proposed checklists include the safe operation methods for most oil spill response equipment available, and are intended to complement the items mentioned in the operation booklets provided for each separately. The importance of personal protective equipment and clothing is also recognized and some recommendations in that regard are provided in this section as well. Based on the requirements for the safe operation of oil spill combating equipment, the following safety issues are recommended: General requirements:.1 Assess, manage and reduce the risks to responders which may arise from combating operations as low as reasonably practicable, so as to prevent everyone from coming to harm, to maintain a safe and healthy environment, and to reach minimum incident;.2 Enhance safety culture and share safety values with involved parties in the operation;.3 Report any incident, and take remedial actions to prevent their recurrence;.4 Provide adequate medical treatment for all personnel involved in the combating operations, and establish efficient hazard evacuation system at work areas;.5 Establish safety procedures and practices in all operations to work towards an incident free work place;.6 Ensure Risk Assessment has been completed before initiating operational activities;.7 Ensure all personnel working on the plant have received adequate facilities, equipment (including Personal Protective Equipment) and instructions which enable them to undertake their work in a safe manner; and.8 Ensure that the operational facilities and working areas have been established in a safe manner..9 Make sure that measurement equipment for safe working (e.g. gas detection and flashpoint) are available and in operation. I:\PPR\01\WP\7.doc

39 PPR 1/WP.7 Annex 2, page 23 Before commencing a combating operation, it is necessary to ensure that all equipment and personnel are fully prepared in every respect. For this purpose, a checklist has been provided in Appendix 5 to this document Personnel responsibilities It is necessary to select the "best man" who is trained, motivated and "fit to function" for the job, and ensure adequate additional training is given to all concerned personnel. Safety officer To facilitate the control of safety aspects in oil pollution combating operations, it is recommended that a proper person should be appointed as the safety officer. The safety officer is responsible for conducting safety procedures, risk controlling and accident or injuries reporting in all phases of the response operations. On-scene coordinator/commander The on-scene coordinator/commander is also responsible for implementing this safety Guidance. Contractors/volunteers The implementation of safe operation matters should be reflected in the contracts of the contractors/volunteers, as a line of responsibility at all times. The application of safe operation policy is the direct responsibility of the on-scene coordinator and all employees and contractors/volunteers involved in its day-to-day application. For this purpose, the following are recommended:.1 Promote safety consciousness amongst employees, contractors/volunteers, and sub-contractors to prevent accidents and injuries;.2 Provide the best possible care in operation of combating equipment and facilities;.3 Continue to take a pro-active stance towards Health & Safety matters;.4 Make arrangements for elimination and mitigation of risk to health in connection with all operational activities;.5 Implement innovative measures to continuously improve safety practices;.6 Conduct effective safety training; and.7 To brief all personnel, in particular the new and inexperienced volunteers, of the subject of safety issues. This could be conducted by a short introductory course that includes safe working and the possible hazards associated with the oil spill response. Master of the oil pollution combating vessel/barge/boat The master is actually the safety operation representative on board the ship and is required to fulfill specific instructions and guidelines. In other words, the master holds the ultimate responsibility on board for matters affecting the safety of the operation, health and safety of crew and personnel. I:\PPR\01\WP\7.doc

40 PPR 1/WP.7 Annex 2, page 24 All personnel Every person has a statutory duty to take reasonable care for the health and safety of themselves and also others who may be affected due to working on oil pollution combating equipment. With regard to the statutory duties imposed on their employer, they must cooperate with their employer to enable him/her to comply with the relevant statutory requirements, like the following:.1 No person shall intentionally or recklessly interfere with or misuse anything provided for the safe operation under the relevant statutory provisions;.2 All personnel shall wear or use appropriate safety equipment or clothing and use appropriate safety devices; and.3 All personnel shall report any injuries, accidents and damage to the equipment to their supervisor, irrespective of whether persons are injured or not Personal protective clothing and equipment Personal protective clothing and equipment are not substitutes for effective engineering control, safe working condition or sound work practices, but are provided to play an essential part in the protection of the workers. Their usage does not eliminate the hazards, but is an aid to controlling individuals' exposure to prevent/minimize injuries and adverse health effects. Personal protective equipment All Personal Protective Equipment (PPE) should be provided to direct employees on need basis and the company is responsible to provide necessary PPE to all its personnel. It is the responsibility of all individuals to take care of their PPE from damage. All damaged PPE must be forthwith reported to the concerned immediate supervisor. All PPE must be of approved types and no modification is allowed to be made to the equipment. I:\PPR\01\WP\7.doc

41 PPR 1/WP.7 Annex 2, page 25 Types of PPE and its Application Head Protection Safety helmets must be worn in operational worksite at all times for protection against head injuries. Eye & Face Protection Approved eye or face protective equipment such as goggles and face shield must be worn when carrying out the tasks that might harm the eyes and face such as operation with high pressure machine. Body Protection Overalls or long trousers or shirts must be worn with rubber aprons for protection against acid & chemical splashes. Leather aprons must be worn when handling molten metal or shielding against a heat source. Overalls should be worn at all time. Loose clothing should not be permitted at worksite. Hearing Protection There are basically two types of ear protective equipment - earmuffs and earplugs. These have to be worn when working in areas where there is excessive noise (above 85 db) for long term such as operation with power pack or air craft. Foot & Leg Protection Employees must wear safety shoes when working if there is danger of sparks or molten metal falling into the shoes. Respiratory Protection Appropriate respirators should be worn when in contaminated atmosphere of gas, fumes or vapors. Such operation may occur when volatile oil spilled in hot weather in tropical zone. Approved type of air supply respirator must be worn when toxic gases are found. When airline mask is used and air is supplied from a compressor, measure shall be taken to ensure that oil, carbon dioxide, carbon monoxide and other contaminants are within the permissible limit. Self-supplied respirator must be used if the atmosphere is contaminated with highly toxic vapor or oxygen deficiency. Safety Gloves Leather gloves are to be used for handling heavy equipment; rough material, loading and unloading pipe work, handling wire lines, slings and cables and also for welding. Cloth gloves afford adequate protection when handling pipe or other relatively smooth surface material. Chemical resistant rubber gloves are to be used when handling acids, alkalis or other corrosive chemicals. Personnel flotation devices Lifejackets or personal flotation devices (PFDs) must be worn if the depth of water is more than [. ] meters. The risks, causes and remedies for different cases are illustrated in details in appendix 3 of this Guidance. The persons involving in combating operation should pay attention to perform the recommendation of this Appendix in all steps of oil pollution combating operation. I:\PPR\01\WP\7.doc

42 PPR 1/WP.7 Annex 2, page 26 Chapter 5 Documentation and reporting Documentation and reporting is an important issue with regard to the implementation and promotion of this Guidance. The on-scene commander/coordinator or safety officer must make the required arrangements for documenting and reporting the hazards resulting from the oil spill response equipment during response operations. All parties involved in the oil pollution combating must be informed of the existence of such arrangements and be duly able to use them. Operational personnel should be encouraged to report any risks, near-misses, injuries and illnesses resulting from the operation of oil pollution combating equipment or materials. These reports should be analysed to assess the working conditions with equipment or chemicals, so that actions can be taken by the safety officer to prevent similar risks, while considering the lessons to be learned from previous experience. The findings of the assessments and the results of the analyses will therefore be provided as beneficial feedback to the equipment manufacturers. The collected forms showing the types and severity of injuries, as well as the connection between incident cause and equipment types are considered and analysed and the findings are employed as lessons to be learnt for future operations. Hazards of the operation of equipment or exposure to chemicals, dispersants, commonly include, but are not limited to, the following: Hazard form equipment skin injuries electricity back and joint pains poisoning bone fractures hand and fingers eye, nose and throat irritation foot and leg headache burn A typical hazard Exposure Reporting form is illustrated in appendix 4 to this Guidance. I:\PPR\01\WP\7.doc

43 PPR 1/WP.7 Annex 2, page 27 Bibliography 1. IMO (2000), Marine Accident and Incident Investigation-Training Manual, IMO, London, U.K. 2. ABS (2000), Guidance Notes On Risk Assessment Applications for the Marine and Offshore Oil and Gas Industries, ABS, New York, USA. 3. IPIECA (2002), Oil Spill Responder Safety Guide, Volume 11, IPIECA, London, U.K. 4. IMO (2005), Manual on Oil Pollution, Section IV Combating Oil Spills, Edition 2005, IMO, London, U.K. 5. OHSAS (2007), Occupational Health and safety, 18001:2007 TUVNORD, OHSAS. 6. IMO (2000), Marine Accident and Incident Investigation-Training Manual, IMO, London, U.K. 7. Keivan Rod, N. (2009), Reducing Human Risks and Increasing Efficiency of Oil Spill Response Operation at Sea, Interspill 2009, Marseille, France. 8. NIOSH (2010), Report of BP Injury and Illness Data, Centers for Disease Control and Prevention, National Institute for Occupational Safety and Health, NIOSH. 9. NIOSH (2010), Reducing Occupational Exposures while Working with Dispersants during the Deepwater Horizon Response, Interim Information, update 07/02/2010, NIOSH. 10. IMO (2010), Manual on Oil Spill Risk Evaluation and Assessment of Response Preparedness, 2010 Edition, IMO, London, U.K. 11. OSHA (2010), Safety and Health Awareness for Oil Spill Clean-up Workers, Oil Spill Cleanup Initiative, Worker Education and Training Program, OSHA (6742). 12. OSHA (2001), Oil Spill Response: Training Marine Oil Spill Response Workers under OSHA's Hazardous Waste Operations and Emergency Response Standard, U.S. Department of Labor, OSHA AMSA (2011), Oil Spill Response Occupational Health and Safety Manual, AMSA, Canberra, Australia. 14. PMO (2012), Bandar Abbas Port Risk Assessment Booklet 2012, Ports and Maritime Organization, Shahid Rajaee Port, Iran. 15. NIOC (2012), National Iran Oil Company Risk Assessment for SBM in Qeshm Island, National Iran Oil Company, Iran. 16. Nerland, J. (2001), Norwegian Oil Spill Contingency and Risk Based Governmental Contingency Planning, Norwegian Pollution Control Authority (SFT), Horten, Norway. I:\PPR\01\WP\7.doc

44 PPR 1/WP.7 Annex 2, page IMO (2005), Oil Pollution, Preparedness and Co-operation (OPRC), Level 3, Model Course, IMO, London, U.K. 18. ITOPF (2010), Use of Skimmers in Oil Pollution Response, Technical Information Paper, Canterbury, U.K. 19. The American Club, Shipboard Safety, Shipowners Claims Bureau Inc., American Steamship Owners Mutual Protection and Indemnity Association Inc. 20. Fingas, M. (2001), The Basics of Oil Spill Cleanup, Second Edition, Levis Publisher. 21. Cedre (2005), Using Dispersant to Treat Oil Slicks at Sea, Airborne and Ship borne Treatment, Response Manual, Cedre. 22. Cedre (2004), Oil Spill Waste Management, Operational Guide, Cedre I:\PPR\01\WP\7.doc

45 PPR 1/WP.7 Annex 2, page 29 Appendix 1 Risk Assessment Form Risk Assessment Risk Evaluation Task Title Hazard Identified Cause of hazard Effect of hazard on the person Probability Consequences RPN LR MR HR Risk Mitigation Equipment falling on the person Incompetent person for lifting equipment Loss of body part Using competent crane operators Strain of body part Considering SWL of lifting system Using Personal Protection Tool (PPT) Transport of equipment (stockpile to/from) loading point Loading and lashing of equipment on Boat Equipment striking the person Incompetent person for lifting equipment by crane Damaged wires Loss of body part Using competent crane operators Strain of body part Considering SWL of lifting system Using PPT Standing away when loading and discharging Checking the wire before operation Using PPT Man overboard Improper securing of equipment Death 3 10 Using life jackets Proper securing of equipment Transportation by boat/vessel Equipment striking the person Improper securing of equipment Rough sea Injury to the person Using proper boats for transportation I:\PPR\01\WP\7.doc

46 PPR 1/WP.7 Annex 2, page 30 Risk Assessment Form Risk Assessment Risk Evaluation Task Title Hazard Identified Cause of hazard Effect of hazard on the person Probability Consequences RPN LR MR HR Risk Mitigation Shoreline temporary oil storage Pumping oil from temporary storage to shore tank Shoreline manual cleaning/high pressure cleaner Vacuum lorry upsetting plastic lined pits Vehicle accident Person falling into the pits Heavy plastic bags falling Not considering accessibility for vehicle Not using safety marks Incompetent drivers Bags fragmenting during lift Damaged wire Very low effect on the body Eye injury Occupational illness Strain or sprain Face and eye injury Considering accessibility for vehicle Using safety mark Using competent drivers Using pits not deeper than 1.5 meters Using PPT Using approved bags Using PPT Using proper wires Electric shock Unapproved pumps Death Using approved pumps Level 3 of skin burns Using safety placards Using PPT Pipe/hose suddenly Improper coupling and Eye injury Using PPT uncoupling hydraulic pipe/hose Face injury Heat exhaustion Falling into water Insect bites Eye injury Skin injury Face injury Vehicle striking personnel Fatigue Long-term exposure to sunlight Not using PPT Fatigue Not using safety marks Loss of body part Using PPT Using enough water Conducting fatigue and stress recovery Following Threshold Limit Value (TLV) procedures Using safety marks Conducting fatigue and stress recovery Shoreline cleaning by vehicles I:\PPR\01\WP\7.doc

47 PPR 1/WP.7 Annex 2, page 31 Risk Assessment Form Risk Assessment Risk Evaluation Task Title Hazard Identified Cause of hazard Effect of hazard on the person Probability Consequenc es RPN LR MR HR Risk Mitigation Treating injured personnel Operation of power pack De plo yment and blowing of boom Injured personnel not treated appropriately Noise pollution Hydraulic pipe suddenly uncoupling Body parts caught in lines or cables during deployment Boom chamber breaking Blower pipe uncoupling Injuries not surveyed and treated appropriately Patient not transported safely to treatment facility Standing closer than allowable TLV Improper coupling and hydraulic pipe Poor seamanship Hydraulic failure Over-blowing or damage by sharp items Failure of coupling or pipe Increased injury to person being treated due to mistreatment and transport to health care provider Damage to hearing system Eye injury Face injury Level 1 burns Injury to personnel; Partial and/or permanent disability Very low effect to body Sprain, strain or muscular injuries Delivering first aid & treatment for injured personnel only by qualified personnel Taking all due care in the transport of patient en route and reporting to supervisor at final destination Following TLV manual Using PPT Using PPT Training personnel involved Following safety checklists Following safety manual and checklist Using PPT Not using back-handling blower pump when the higher blowing point is less than 50 cm from ground or boat deck Keeping the boom clear from sharp items Monitoring chamber pressure when blowing Checking connection before blowing I:\PPR\01\WP\7.doc

48 PPR 1/WP.7 Annex 2, page 32 Risk Assessment Form Risk Assessment Risk Evaluation Task Title Hazard Identified Cause of hazard Effect of hazard on the person Probability Consequences RPN LR MR HR Risk Mitigation Skimmer falling on the person Damaged wires Incompetent crane operators Strains and sprain Body part breaking Using competent operator Keeping clear of crane operation area Using PPT Skimmer deployment Oil recovery Oil recovery and pumping Hydraulic pipe suddenly uncoupling Oil recovery pipe bursting Falling into barge hatch Fire Hydraulic pipe bursting Improper coupling and hydraulic pipe Damaged hoses Hose damaged by sharp items Safety placard uninstalling Not using safety clothes Oil contamination on barge Rough sea Smoking Unapproved equipment Damaged hoses Improper connections Skin injury Eye injury Eye injury Body part breaking Disablement Face injury Death Level 3 burns Body part breaking Level 1 burns Strain Checking coupling before operation Using PPT Checking the hose before operation Keeping clear of the hose Using PPT Installing safety placards Keeping clear of any oil on barge deck Following operation checklist for offshore response Considering safe sea condition for response Using PPT Observing smoking regulations Using approved equipment Keeping firefighting equipment available Keeping first aid available Avoiding keeping hydraulic pipes in sunlight for long Checking hydraulic pipe before operation I:\PPR\01\WP\7.doc

49 PPR 1/WP.7 Annex 2, page 33 Risk Assessment Form Risk Assessment Risk Evaluation Task Title Hazard Identified Cause of hazard Effect of hazard on the person Probability Consequences RPN LR MR HR Risk Mitigation Skimmer collection Collection of oil recovery boom Oil leaking Incomplete drainage Skin injury Draining the hose before Eye injury collection Standing clear of crane operation area Skimmer falling Damaged wires Body part breaking Standing clear of crane operation Disablement area Using competent crane operator Incompetent crane Checking wire and lifting as crane operators SWL Body parts caught in lines or cables during the collection Hydraulic pipe suddenly uncoupling Oil splash on the person Body parts caught in lines or cables during Hydraulic pipe suddenly uncoupling Insufficient coordination between operator & other personnel Incompetent operators Hydraulic system malfunctioning Improper connection Damage Connection Not observing safety issues Body part breaking Strain Strain Skin injury Eye injury Keeping clear of boom reel Placing boom reel in proper position Not pulling boom by hand Using only necessary personnel Using PPT Checking coupling before operation Using PPT Considering wind direction Using PPT I:\PPR\01\WP\7.doc

50 PPR 1/WP.7 Annex 2, page 34 Risk Assessment Form Risk Assessment Risk Evaluation Task Title Hazard Identified Cause of hazard Effect of hazard on the person Probability Consequences RPN LR MR HR Risk Mitigation Dispersion of OSD in working place No attention to safety precautions or wind direction Very low effect on body Using PPE Considering wind direction Spraying of OSD by boat Spraying of OSD by helicopter Spraying of OSD by airplane Crash OSD tank falling Crash Pilot's error Helicopter malfunctioning Improper securing Unapproved wires Pilot's error Airplane malfunctioning Death Injury Injury Death Injury Following safety and operational PM for airplanes Using competent pilots Providing training for pilots Using PPE Assessing rest cycle by supervisor Using PPE Using proper wire & securing Following safety and operational PM for airplanes Using competent pilots Providing training for pilots Using PPE Assessing rest cycle by supervisor *** I:\PPR\01\WP\7.doc

51 PPR 1/WP.7 Annex 2, page 35 Appendix 2 Additional Safety Control Task Elimination Replacement Engineering Control Administrative Personnel Protection Equipment I:\PPR\01\WP\7.doc

52 PPR 1/WP.7 Annex 2, page 36 Appendix 3 Best Practice for Oil Pollution Combating Equipment A. Mechanical Oil Pollution Combating 1. Shore Transportation Item Hazard Cause Remedy 1 o Corroded wires o Loading higher than permissible weight o Loading by cranes or forklifts o Incompetent operator o Insufficient equipment lashing o Controlling wires before use o Considering permissible weight o Staying away from loading cranes or forklifts o Ensuring operator's skills o Controlling equipment lashing o Using PPE 2 Items falling from heights o Insufficient lashing o Controlling lashing 3 Items falling from trucks, etc. o Insufficient truck control o Ensuring driver's skills Items falling from trucks, etc. I:\PPR\01\WP\7.doc

53 PPR 1/WP.7 Annex 2, page Loading onto Vessel or Barge Item Hazard Cause Remedy 1 o Insufficient equipment lashing o Items hitting personnel o People present near working cranes o Loading higher than permissible weight o Using PPE o Staying away from working cranes o Controlling cranes before use o Locating crane in proper position Chain snapping and items falling during loading 3. Transfer to the Scene & Back Item Hazard Cause Remedy 1 o Unfavourable weather/sea conditions o PPE, such as lifejackets not used o Personnel's fatigue o Considering weather forecasts o Considering wave and wind conditions on scene o Using PPE, such as lifejackets o Considering working hours Man overboard 2 o Sailing in shallow waters o Considering safety depth for sailing 3 Grounding o Lengthy exposure to direct sunlight o Avoiding exposure to direct sunlight o Providing drinking water and first aid o Using PPE, such as sunglasses 4 Sun and heatstroke o Insufficient equipment lashing o Controlling equipment lashing Equipment striking personnel I:\PPR\01\WP\7.doc

54 PPR 1/WP.7 Annex 2, page Inflating and Deploying Booms Item Hazard Cause Remedy 1 o Ignoring safety requirements o Rough sea conditions & personnel's lack of balance o Heatstroke and dizziness o Observing safety requirements o Avoiding boom operation in rough sea conditions o Ensuring sufficient rest for personnel 2 Man overboard o Using portable back-pack blowers o Avoiding portable back-pack blowers in cases where the air inlet is lower than 50 cm from ground or deck Gasoline spilling on personnel during inflation 3 o Insufficient equipment lashing o Controlling equipment lashing Equipment falling overboard 4 o Slippery materials on the surface o Keeping deck surface dry & clean 5 Sliding o Ignoring safety distance o Operator's inability to control boom o Observing safety distance Boom hitting personnel 6 o Ignoring safety requirements o Using hands instead of necessary tools o Observing safety requirements Chain getting entangled to personnel's hands I:\PPR\01\WP\7.doc

55 PPR 1/WP.7 Annex 2, page 39 Item Hazard Cause Remedy 7 o Naked fires, smoking or sparks o Avoiding naked fires, smoking or sparks 8 Explosion o Operator's inability to control boom o Ensuring suitable lashing of boom end o Using skilful operators o Keeping a few meters of boom on board with auxiliary tools Boom getting loose 9 o Inability to control boom on towing boat o Insufficient radio communication o Ensuring operator's skills o Maintaining sufficient radio communication & one channel as back-up Boom stretching and swaying too much 10 o Air leakage from boom inlet covers o Ensuring suitable coverage of boom inlets Air escaping boom chambers 5. Boom Operations and Oil Slick Transfer Item Hazard Cause Remedy 1 Man overboard during equipment handling o Insufficient attention to safety requirements o Insufficient attention to turbulence caused by helicopter while hovering above the scene o Personnel's fatigue o Observing safety requirements o Considering turbulence caused by helicopter o Using stanchions on board deploying ship o Using PPE, such as lifejackets o Ensuring sufficient rest for personnel I:\PPR\01\WP\7.doc

56 PPR 1/WP.7 Annex 2, page 40 Item Hazard Cause Remedy 2 Ropes snapping & equipment falling overboard o Insufficient equipment lashing o Master's insufficient skill on towing boats o Insufficient radio communications o Insufficient attention to boat engine power o Insufficient attention to wind and current speed and direction o Insufficient coordination among involved units o Insufficient attention to boom location o Controlling equipment lashing o Ensuring master's skills o Ensuring sufficient radio communications o Considering boat engine power o Considering wind and current speed and direction o Ensuring sufficient coordination among involved units o Considering boom location 3 o Insufficient attention to boom pulley location during deployment o Using ropes longer than required o Fixing boom pulley in a suitable place o Using sufficient length of ropes Booms ropes getting entangled to propellers 4 o Lengthy exposure to direct sunlight o Avoiding exposure to direct sunlight o Providing drinking water and first aid o Using PPE, such as sunglasses Sun and heatstroke 5 o Sharp objects hitting boom o Other vessel hitting boom o Keeping sharp objects away from boom o Keeping safe distance among vessels and booms Boom chambers rupturing 6. Oil Spill Recovery Item Hazard Cause Remedy 1 o Insufficient attention to safety requirements o Observing safety requirements o Using PPE, such as lifejackets Man overboard during equipment handling I:\PPR\01\WP\7.doc

57 PPR 1/WP.7 Annex 2, page 41 Item Hazard Cause Remedy 2 o Insufficient equipment lashing o Controlling equipment lashing 3 Equipment falling overboard o Slippery materials on the surface o Keeping deck surface dry & clean 4 Sliding o Personnel's fatigue o Ensuring sufficient rest for personnel o Using PPE, such as lifejackets Man overboard 5 o Naked fires, smoking or sparks o Avoiding naked fires, smoking or sparks Fire 6 o Insufficient attention to safety requirements o Observing safety requirements o Using PPE Personnel's skin contact with oily materials 7 o Insufficient attention to safety requirements o Observing safety requirements o Using PPE Personnel's eye contact with oily materials I:\PPR\01\WP\7.doc

58 PPR 1/WP.7 Annex 2, page 42 Item Hazard Cause Remedy 8 o Insufficient attention to safety requirements o Observing safety requirements o Using PPE 9 Inhaling oily fumes o Barge storage tanks left open o Absence of warning signals o Keeping barge storage tanks closed o Providing sufficient warning signals Personnel falling into barge storage tanks 7. Boom Recovery and Returning Equipment to Stockpile Item Hazard Cause Remedy 1 o Insufficient attention to safety requirements o Observing safety requirements 2 Man overboard during equipment handling o Insufficient equipment lashing o Controlling equipment lashing 3 Equipment falling overboard o Slippery materials on the surface o Keeping deck surface dry & clean Sliding I:\PPR\01\WP\7.doc

59 PPR 1/WP.7 Annex 2, page 43 4 o Personnel's fatigue o Ensuring sufficient rest for personnel o Using PPE, such as lifejackets 5 Man overboard o Naked fires, smoking or sparks o Avoiding naked fires, smoking or sparks Fire 6 o Insufficient attention to safety requirements o Observing safety requirements o Using PPE Personnel's skin contact with oily materials 7 o Insufficient attention to safety requirements o Observing safety requirements o Using PPE 8 Personnel's eye contact with oily materials o Insufficient attention to safety requirements o Observing safety requirements o Using PPE 9 Inhaling oily fumes o o -Operator's inability to control boom o -Insufficient attention to safety requirements o -Ensuring sufficient training on boom operation and safety distance o -Observing safety o requirements Boom getting loose I:\PPR\01\WP\7.doc

60 PPR 1/WP.7 Annex 2, page chains getting entangled to arms/legs o -Insufficient knowledge about boom operation o -Presence of too many people near boom recovery area o -Using hands for reeling back the boom o -Observing safety requirements o -Using experienced personnel o -Using sufficient number of personnel o -Using auxiliary tools 8. Equipment Washing, Repair & Maintenance Item Hazard Cause Remedy o Slippery materials on the surface o Keeping deck surface dry & 1 clean 2 Sliding o Naked fires, smoking or sparks o Using hot water for washing o Avoiding naked fires, smoking or sparks o Keeping fire-fighting equipment available 3 Fire o Insufficient attention to safety requirements o Observing safety requirements o Using PPE 4 Personnel's skin contact with oily materials o Insufficient attention to safety requirements o Observing safety requirements o Using PPE 5 Personnel's eye contact with oily materials o Insufficient attention to safety requirements o Observing safety requirements o Using PPE Inhaling oily fumes I:\PPR\01\WP\7.doc

61 PPR 1/WP.7 Annex 2, page 45 6 o Operator's inability to control boom o Insufficient attention to safety requirements o Ensuring sufficient training on boom operation and safety distance o Observing safety requirements 7 Boom getting loose o Insufficient knowledge about boom operation o Presence of too many people near boom recovery area o Using hands for reeling back the boom o Observing safety requirements o Using experienced personnel o Using sufficient number of personnel o Using auxiliary tools 8 Chains getting entangled to arms/legs o -Insufficient equipment lashing o -Controlling equipment lashing 9 Equipment falling Burns from hot water or steam o -Insufficient attention to safety requirements of equipment washing o -Misconnection of hot water hose o -Corrosion of hot water hose o -Using PPE, such as safety goggles o -Using proper hoses o -Controlling hot water hose connections o -Keeping first aid equipment available I:\PPR\01\WP\7.doc

62 PPR 1/WP.7 Annex 2, page 46 B. Chemical Oil Pollution Combating 1. Dispersant Spraying from Aircraft or Helicopter Item Hazard Cause Remedy 1 Main or rear rotor striking personnel o Insufficient attention to safety requirements o Approaching helicopter when signaled by helicopter crew o Maintaining safety distance with helicopter o Passing the helicopter from the front o Bending over when passing near the helicopter o Keeping first aid equipment o available o Discharging static charge before landing o Observing flight safety requirements o Fire fighting team standing by on scene o Using PPE o Earth cable connection while refueling o Observing flight safety requirements o Ensuring sufficient radio communication o Continuous training on aerial maneuver o Using flight PPE o Observing permissible flight hours for crew o Flight in favorable conditions o Keeping first aid/fire-fighting equipment available 2 Fire o Static charge when landing o Refueling with engines running o Earth cable not connected while refueling 3 Aircraft or helicopter crashing o Insufficient radio communication o Flight crew's fatigue o Flight in unfavorable conditions and low visibility o Low flight without autopilot o Insufficient coordination between flight crew and pilots 4 o Using improper wires or connections o Inefficient lashing o Using proper wires or connections o Controlling wires and connections o Avoiding operation in crowded areas Dispersant tank falling 5 Dispersant spilling on personnel o Dispersant tank leakage o Operation in crowded areas o Insufficient attention to wind direction o Insufficient radio communications o Ensuring sufficient radio communication o Controlling tank before flight o Ensuring safety distance from crowded areas o Considering wind direction o Using PPE I:\PPR\01\WP\7.doc

63 PPR 1/WP.7 Annex 2, page 47 Item Hazard Cause Remedy 6 o Low flight in crowded areas o Insufficient radio communications o Ensuring sufficient radio communication o Ensuring safety distance from crowded areas o Using PPE, such as lifejackets Personnel falling into the water 2. Dispersant Spraying from Vessels Item Hazard Cause Remedy 1 o Non-standard hoses and connections used in dispersant spraying equipment and system o Using standard hoses and connections in dispersant spraying equipment and system, with sufficient resistance against pressure o Continuous inspection Hose rupturing or connections breaking 2 o Non-standard or corroded hoses and connections used in dispersant spraying equipment and system o Wind blowing on scene o Vessel swaying during operation o Ensuring proper place for dispersant nozzles o Considering wind direction o Using PPE Dispersant spilling on personnel, due to wind blowing, hose rupturing or connections breaking C. In Situ Burning Item Hazard Cause Remedy 1 o Insufficient attention to wind direction o Insufficient attention to safety requirements o Using PPE o Considering wind direction o Observing safety requirements Fire starting materials spilling on personnel I:\PPR\01\WP\7.doc

64 PPR 1/WP.7 Annex 2, page 48 2 o Insufficient attention to wind direction o Insufficient attention to safety requirements o Using PPE o Considering wind direction o Observing safety requirements o Keeping fire-fighting equipment available 3 Fire, involving personnel o Incomplete burning of hydrocarbons o Staying at a reasonable distance upwind o Considering wind direction Inhaling thick smoke 4 o Extensive heat o Using PPE Fire resistant boom bursting 5 o Working under extensive heat conditions o Using PPE o Providing drinking water and first aid o Observing permissible working hours Sun and heatstroke D. Shoreline Clean-up Item Hazard Cause Remedy 1 o Rocky shore clean-up o Using PPE, such as safety straps 2 Personnel falling from height o Working under extensive heat conditions or direct sunlight o Personnel's fatigue o Using PPE o Providing drinking water and first aid o Observing permissible working hours Sun and heatstroke I:\PPR\01\WP\7.doc

65 PPR 1/WP.7 Annex 2, page 49 3 o o -Driver/operator's insufficient skills o -Operating in crowded areas o -Personnel's fatigue o -Providing warning signals in the operation area o -Using skillful personnel o -Observing permissible working hours 4 5 Clean-up equipment hitting personnel Burns from hot water or steam o Insufficient attention to safety requirements of equipment washing o Misconnection of hot water hose o Corrosion of hot water hose o Insufficient attention to safety requirements o Using PPE, such as safety goggles o Using proper hoses o Controlling hot water hose connections o Keeping first aid equipment available o Considering items mentioned on MSDS2 o Using PPE o Keeping first aid equipment available 6 Dispersant spilling on personnel o Insufficient attention to safety requirements for working with hands o Considering health recommendations o Using PPE o Keeping first aid equipment available Animals biting personnel E. Temporary Storage on Shoreline Item Hazard Cause Remedy 1 o Insufficient warning signals and lighting (for night operation) o Providing warning signals and lighting o Making pits maximum 1.5 meter deep Personnel falling into storage pits 2 o Insufficient warning signals and lighting (for night operation) o Driver's insufficient skill o Providing warning signals and lighting o Using skillful drivers Equipment falling into storage pits 2 MSDS: Material Safety Data Sheet I:\PPR\01\WP\7.doc

66 PPR 1/WP.7 Annex 2, page 50 3 o Corroded wire or plastic bags o Loading higher than permissible weight o Non-skillful operator o Controlling wires before use o Observing permissible weight o Ensuring operator's skills o Using PPE 4 Plastic bags containing recovered oil falling o Using electric pumps o Using PPE o Avoiding electric pumps Electric shock from pumps 5 o Using electric pumps o Using PPE, fire fighting and first aid available o Avoiding electric pumps Fire 6 o Insufficient attention to safety requirements for temporary storage o Considering health recommendations Hand cuts I:\PPR\01\WP\7.doc

67 PPR 1/WP.7 Annex 2, page 51 Appendix 4 Reporting Form for Injuries from Oil Pollution Combating Equipment 1. Source of pollution: 2. Type of oil: 3. Date and time: Reporting Form for Injuries from Oil Pollution Combating Equipment 4. Position of response operation: 5. Weather condition: 6. Hazard origin (if the origin is combating equipment, record the name of equipment and manufacturer): 7. Cause of hazard: 8. Type of injury: 9. Action taken: 10. Medical treatment or first aid availability: 11. Name of person injured: 12. Duty of the person injured: 13. Age of the person injured: 14. Occupational experiences of the person injured: Reporter's Name & Signature: *** I:\PPR\01\WP\7.doc

68 PPR 1/WP.7 Annex 2, page 52 Appendix 5 Safety Checklist for Oil Pollution Combating Equipment The following checklist needs to be filled before moving or operating oil pollution combating equipment by officers in charge. The safety operation requires all questions be answered affirmatively, and if not possible, a reason should be provided and appropriate precautions be taken. (The following questions are provided as examples. The list is not exhaustive and therefore can be added to or deleted as appropriate.) Control Considerations Yes No Remarks 1. Are cranes/forklifts in good conditions & proportionate to equipment types? 2. Are moving wires in good conditions & proportionate to equipment weight (SWL)? 3. Are hooks in good conditions & proportionate to equipment weight (SWL)? 4. Are hydraulic connections of the equipment in good conditions? 5. Are pressure gauges of the equipment hydraulic oil in good conditions? 6. Is there any leakage from fuel pipes? 7. Is appropriate fuel chosen according to equipment user manuals? 8. Are operators chosen appropriate for equipment types? 9. Are operators using appropriate PPE? 10. Is the route for moving the equipment safe? 11. Are the equipment properly secured on trucks? 12. Are cranes for moving equipment to vessels in good conditions & proportionate to that operation? 13. Are the places designated on the deck appropriate for the equipment? 14. Are the equipment properly secured on board the vessel? 15. Are dangerous areas for working with the equipment on board the vessel identified and marked properly? 16. Is there sufficient water and fuel available on board the vessel(s) considering the distance to the operation area? 17. Has the weather forecast for operation area been considered? 18. Are operational personnel using appropriate PPE? I:\PPR\01\WP\7.doc

69 PPR 1/WP.7 Annex 2, page 53 Control Considerations Yes No Remarks 19. Are dangerous areas including ropes and wires under tension identified and marked properly for the personnel? 20. Has the grounding risk in the operational area been considered using nautical charts? 21. Is there sufficient fire-fighting and medical first aid equipment available on board? 22. Are there sufficient life-saving appliances for the operational personnel available on board? 23. Is appropriate communication equipment available and operational on board? 24. Has the combating method been decided? 25. Are duties of the operational personnel designated and informed to them? 26. Has accommodations been designated for the personnel? 27. Has the operational area been zoned and assessed for risks? 28. Are the forces affecting the boom(s), such as current and wind, calculated? 29. Are ropes chosen for mooring the boom(s) appropriate to the forces affecting it? 30. Are appropriate equipment used for deploying the boom(s)? 31. Is the boom located in an appropriate angle for deployment? 32. Are unnecessary equipment and tools removed from boom deployment area? 33. Has necessary measures been taken to prevent accidental release of the boom(s), esp. at their end(s)? 34. Are hydraulic hoses connecting skimmer head reel(s) and power pack(s) securely coupled? 35. Is there any gasoline leakage from blower(s)? 36. Are the cogs and belts of the power pack(s) provided with appropriate protective covers? 37. Is there appropriate equipment for deploying skimmer head(s) available on board the vessel? 38. Are skimmer heads provided with protective covers to prevent damage to operators' hands? 39. Are auxiliary ropes provided for appropriate deployment of skimmer(s)? 40. Are storage tanks and barges properly secured? I:\PPR\01\WP\7.doc

70 PPR 1/WP.7 Annex 2, page 54 Control Considerations Yes No Remarks 41. Are appropriate measures taken to maintain the balance of storage tanks and prevent their overflowing? 42. Are pipes transferring oily materials securely coupled and located properly? 43. In chemical combating, are the operational personnel informed of the MSDS of the dispersant(s) used? 44. Are the flight crew familiar with their tasks in regard with dispersant spraying? 45. Are the tanks holding dispersants to be sprayed properly secured on board helicopters? 46. Are appropriate communication tools provided on board aerial and surface operational units? 47. Has wind direction been considered in deciding the manoeuvre method of dispersant spraying vessel(s)? 48. Are pipes and connections for hot water beach clean-up equipment securely coupled? 49. Are drivers and operators for clean-up equipment familiar with their tasks? 50. Are appropriate notices and markings provided for beach clean-up operations? 51. Are appropriate notices and markings provided for beach temporary storage tanks? 52. Are resting and logistics camps, equipped with food, water, clothes, fire-fighting equipment and medical first aid provided for the personnel involved in beach clean-up operations? 53. Are safe pyrotechnics used for igniting fire? 54. Are measures taken to prevent excessive spread of fire during in situ burning operation at sea? 55. Has wind direction been considered for planning in situ burning operation at sea? 56. Are sufficient fire-fighting and personal protective equipment provided for in situ burning operation at sea? 57. Are fire-resistant booms and chains used for in situ burning operation at sea? *** I:\PPR\01\WP\7.doc

71 ANNEX 3 INTERNATIONAL OFFERS OF ASSISTANCE GUIDELINES E OPRC-HNS TECHNICAL GROUP OF THE PPR 16th session Agenda item 3 OPRC-HNS/TG 16/3 18 December 2013 ENGLISH ONLY MANUALS AND GUIDANCE DOCUMENTS International Offers of Assistance Guidelines Submitted by the United States Executive summary: Strategic direction: 7.1 High-level action: Planned output: Action to be taken: Paragraph 8 SUMMARY This document presents annexes to the draft guidelines for the management of International Offers of Assistance, as developed by the correspondence group established by the OPRC-HNS Technical Group at its thirteenth session. The purpose of the guide is to provide advice, strategies and considerations to any nation confronted with response to large or complex oil spill incidents as a tool to assist in managing both requesting spill response resources from other countries and in managing offers of assistance coming from other countries. These annexes to the overall document serve to propose a common lexicon of equipment terminology and proposals for common terminology to be utilized in existing international equipment inventories to facilitate international offers of response equipment. Related documents: MEPC 62/20/1; OPRC-HNS/TG 13/3/6; OPRC-HNS/TG 14/3/1 and OPRC-HNS/TG 15/3/2 Introduction 1 The Guidelines on International Offers of Assistance (IOA) are designed for use by any nation confronted with the response to large or complex oil spill incidents as a tool to assist in managing requests of spill response resources and offers of assistance from other countries and organizations. These guidelines could be utilized during large or complex oil spills within inland areas as well as marine or coastal environments. The guidelines are not prescriptive, rather they are meant as a tool to assist as needed. They are designed to be a living document and will be updated as needed. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

72 OPRC-HNS/TG 16/3 Page 2 Background 2 The Deepwater Horizon (DWH) Mobile Offshore Drilling Unit (MODU) spill incident highlighted the importance of international stakeholder planning and coordination to ensure maximum 1 resource availability and utilization during a catastrophic oil spill or hazardous substance event. Several nations stepped forward to assist the United States during the DWH incident. These offers included equipment, technical expertise and general assistance. The generosity of support from the international partners of the United States cannot be overstated; however, the procedures for requesting and receiving emergency assistance during the DWH incident were cumbersome and inefficient. Given today's robust worldwide oil exploration initiatives and transportation patterns, the international community must be prepared to address the challenges faced by responders under myriad conditions and locations around the world. Another lesson gained from the DWH incident was the need for a common lexicon of equipment terminology and an international equipment inventory. 3 At its sixty-second session, the MEPC considered a proposal by the United States (MEPC 62/20/1) to develop internationally accepted Guidelines for International Offers of Assistance in response to a marine oil pollution incident and approved its inclusion as a new unplanned output in the agenda for the OPRC-HNS Technical Group. 4 At its thirteenth session, the OPRC-HNS Technical Group considered document OPRC-HNS/TG 13/3/6, which elaborated on the original proposal and reported on progress since consideration at MEPC At its fourteenth session, the OPRC-HNS Technical Group considered document OPRC-HNS/TG 14/3/1 and provided recommendations on content and format of the document. 6 At its fifteenth session, the OPRC-HNS Technical Group considered document OPRC-HNS/TG 15/3/2 and continued to provide recommendations on content and format of the document. 7 Having provided a number of comments to assist in further developing the Guidelines, the Group agreed to re-establish the correspondence group under the coordination of the United States to finalize the Guidelines intersessionally and to submit an updated draft to TG 16. Action requested of the Technical Group 8 The Technical Group is invited to:.1 consider and provide comments on the structure, format and content of the draft annexes to the Guidelines and template, as set out in annexes 1, 2 and their respective appendices; and.2 provide general direction and guidance on the next steps in further developing the Guidelines. *** I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

73 Page: 2 Number: 1 Author: IMAT Subject: Sticky Note Date: 31/01/ :59:26 - ISCO recommends making note of IMO's efforts during the Desert Storm oil spills. - A group discussion ensue which identified the need to clarify whether these guidelines would be applicable for oil spills caused by Acts of War and/or Natural Disasters. H:\PPR\1\WPs\WP.7 - Annex3

74 OPRC-HNS/TG 16/3 Annex, page 1 ANNEX INTERNATIONAL OFFERS OF ASSISTANCE GUIDELINES EXECUTIVE SUMMARY 1 The OPRC-HNS TG (of the IMO MEPC) 1 Guidelines on international offers of assistance (IOA) are designed for use by any nation, particularly signatories to the OPRC, confronted with the response to large or complex oil spill incidents as a tool to assist in managing requests of spill response resources and offers of assistance from other countries and organizations. These guidelines, while developed by a TG of the IMO, could be utilized during large or complex oil spills within inland areas as well as marine or coastal environments. While one of the key requirements to implementing the OPRC convention, these guidelines are not prescriptive, and are meant as a tool to assist as needed. Designed to be a living document, these guidelines will be updated as needed. FOCUS 2 These Guidelines are focused on: GOALS.1 Catastrophic Spill Event, beyond Local or Regional Capabilities (typically beyond a Tier 3);.2 To help create an incident specific, comprehensive IOA system within the Requesting Nation's response structure, which effectively coordinate and manage requests and/or offers of assistance beyond processes already covered by existing national, regional, bilateral, multilateral and other mutual aid agreements, while building upon and linking them;.3 To acknowledge significant funding challenges may be problematic to the polluter pays presumption for incidents which are not covered by existing conventions and protocols; and.4 To address needs of developing nations as well as those with robust response systems and regimes when managing and coordinating IOA. 3 These Guidelines are intended to:.1 Build on existing guidelines in place in various regions, including Bilateral, Multilateral and Mutual Aid Agreements; 2. Address roles of Requesting Nation and Assisting Nation's Foreign Affairs/State Department or similar agency in supporting government and industry response personnel (i.e. Operators) to obtain the appropriate tools and resources for operational needs, through the establishment of a proposed two-tier IOA system which manages all aspects of IOAs during a particular incident; 1 Oil Pollution Preparedness, Response and Cooperation Hazardous and Noxious Substances Technical Group of the International Maritime Organization Marine Environmental Pollution Committee I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

75 OPRC-HNS/TG 16/3 Annex, page 2 FORMAT.3 Address relationship between Spiller (and/or his representatives and clean-up contractors) and government response personnel (including the Response Authority as well as the Foreign Ministry and other involved agencies) of the Requesting Nation in the context of the proposed two tier system who initiates, who funds, who directs the solicitation, coordination and management of response resources needed and accepted?.4 Outline steps to identify the role of Requesting Nation's government in resolving customs and trade issues involved in appropriately expediting the receipt of response resources from other nations, including the Response Authority (typically a Coast Guard) and the Foreign Ministry (or other similar agency), as well as other national agencies involved with Customs and Immigration;.5 Address the concern over the Assisting Nation's role and responsibility in overseeing/authorizing release of government owned and private sector equipment and personnel;.6 Address options available if the Requesting Nation is unable to fund or reimburse costs associated with the receipt of resources from an Assisting Nation or Assisting Organization;.7 Address how best to evaluate offers provided from Assisting Nations or Assisting Organizations to assure they meet the operational needs of the response;.8 Address several types of offers or IOA scenarios: Government to Government offers; Government to Regional Coordinating Bodies; Private to Government offers; Private to Private offers;.9 These guidelines are not designed for disaster relief efforts or situations which call for humanitarian aid. Guidelines for providing assistance in such events are addressed by other organizations, such as the United Nations Environment Programme (UNEP) and Office for the Coordination of Humanitarian Affairs (OCHA); and.10 These guidelines are developed for incidents that exceed a nation's capacity for oil spill response, and go beyond existing bilateral and multilateral agreements for support. 4 These Guidelines consist of two annexes: Annex 1 Coordination and management of requests and offers; and Annex 2 Equipment coordination and best practices. *** I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

76 OPRC-HNS/TG 16/3 Annex, page 3 ANNEX 1 COORDINATION AND MANAGEMENT OF REQUESTS AND OFFERS TABLE OF CONTENTS I. BACKGROUND II. GUIDELINES OVERVIEW III. IDENTIFICATION AND ANALYSIS OF THE ISSUES INVOLVED IV. IMPLEMENTATION OF THE OPRC CONVENTION V. ROLES AND RESPONSIBILITIES OF PARTIES INVOLVED IN IOA VI. IOA COORDINATION SYSTEM VII. COMMUNICATIONS BETWEEN REQUESTING AND ASSISTING NATIONS DURING IOA VIII. RECOMMENDATIONS FOR OFFER RECEIPT AND PROCESSING PROCEDURES IX. RECOMMENDATIONS FOR OFFER EVALUATION PROCEDURES X. CUSTOMS, LEGAL AND FINANCIAL ISSUES XI. FACILIATION OF SITUATIONAL AWARENESS AND COMMON OPERATING PICTURE XII. ADVANCED PLANNING FOR IOAs XIII. REFERENCES/BIBLIOGRAPHY APPENDIX A. APPENDIX B. APPENDIX C. APPENDIX D. APPENDIX E. APPENDIX F. EXAMPLE NOTIFICATION AND REQUEST FOR ASSISTANCE REPORT SAMPLE OFFER COMMUNICATION (FROM ASSISTING PARTY TO REQUESTING NATION) SAMPLE RECEIPT COMMUNICATION (FROM REQUESTING NATION TOASSISTING PARTY) SAMPLE ACCEPTANCE COMMUNICATION (FROM REQUESTING NATION TO ASSISTING PARTY) ADDITIONAL INFORMATION TO CONSIDER INCLUDING IN REQUESTS AND ACCEPTANCE OF REQUEST REGIONAL COORDINATION CENTERS I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

77 OPRC-HNS/TG 16/3 Annex, page 4 1 BACKGROUND 1.1 Countries facing a major pollution emergency may require external resources to augment national capacity for large scale oil spill incidents. In such cases, the Requesting country may wish to issue a request for international assistance. This can be done bilaterally, multilaterally, or possibly through a regional mechanism, where these exist. Correspondingly, major oil spills generally elicit spontaneous offers of assistance from governments and international organizations, usually in the form of equipment, technical experts, vessels, etc. Regional and international organizations may also assist in facilitating and coordinating assistance in support of national level efforts. 1.2 These Guidelines for International Offers of Assistance (IOA) for use during large oil spills are designed to cover this broad range of contingencies. These IOA Guidelines include a series of key components which help establish a comprehensive system of mechanisms and procedures to manage such matters as communication between governments and with regional and international bodies/organizations; overall coordination of offers and requests for assistance; evaluation of offers; and management of the receipt of offers, once accepted. 1.3 A number of organizations have available some previously developed guidelines for international offers of assistance: IMO under OPRC, European Commission (EC) under their Emergency Response Coordination Centre (ERCC), UNEP/OCHA, REMPEC 2, etc. Each of these organizations have procedures and processes which provide some helpful instruction during a complex response, and, in some cases, include tools for managing international offers of assistance; however none of these organizations and their procedures are comprehensive enough in scope or scale to cover the broad range of issues needed to be addressed in guidelines focused on large complex oil spill responses which exceed bilateral, multilateral and regional agreements. For example, the UNEP/OCHA Guidelines are primarily focused on managing offers of assistance for disaster relief and humanitarian aid, rather than addressing those unique aspects of managing offers of assistance during large oil spill responses. Additionally, ERCC facilitates communication and delivery of assistance to any disaster-stricken country worldwide mainly from the Participating States' 3 government agencies and the European Maritime Safety Agency (EMSA). The ERCC does not receive offers directly from the private market, although these can be channelled indirectly through Participating States' authorities. 1.4 The Deepwater Horizon (DWH) well blowout in the Gulf of Mexico (April 2010) required a massive response that far exceeded the response resources available within the United States. This complex response highlighted some significant gaps in managing offers of assistance from international partners within the U.S. response regimes, as well as gaps in existing guidelines. 1.5 These gaps include:.1 How best to request and search for the resources specifically needed? Who best to contact?.2 How to sort through the many generous, unsolicited offers and choose only those which meet operational needs? 2 3 Regional Marine Pollution Emergency Response Centre for the Mediterranean Sea. EU 28 + Norway, Iceland, Lichenstein and fyrom. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

78 OPRC-HNS/TG 16/3 Annex, page 5.3 How to manage the logistics once an offer is accepted how to transfer the equipment, how to fund, how to manage the customs and coastal trading laws, etc.? 2 GUIDELINES OVERVIEW 2.1 These guidelines are written primarily to fit within a nation's governmental system and response regime, rather than being targeted towards private entities, such as existing spill Response Organizations or cooperatives, and manufacturers of response equipment. It would be beneficial, however, for these private entities to be familiar with these guidelines when offering to assist a nation in need during a large, complex response which exceeds its capabilities. Also, since these guidelines were developed under the IMO's OPRC-HNS TG and with the 1990 OPRC as a basis for their formation, it is assumed that the primary users of these guidelines are Member States under the OPRC. 2.2 The IOA Guidelines aim to provide guidance for nations in one of two conditions:.1 States seeking assistance from other States or organizations following a major oil spill, in framing requests, and evaluating and responding to offers; and.2 States that may wish to offer assistance. 2.3 The IOA Guidelines address different categories with regard to the communication and management of offers of assistance, including recommendations for the development of a comprehensive IOA management system which would include:.1 The establishment of coordination mechanisms within the levels of the Requesting nation's agencies, on regional/local levels and national (headquarters) levels;.2 Communications between response agencies and Ministries of Foreign Affairs;.3 Offer evaluation procedures;.4 Offer receipt and processing procedures; and.5 Transaction details for an accepted offer, such a terms and conditions of its use, compensation, transportation specifics, insurance requirements, port of entry and customs issues, etc. 3 IDENTIFICATION AND ANALYSIS OF THE ISSUES INVOLVED 3.1 International offers of assistance may generally be grouped into five general categories or mechanisms:.1 Government to Government;.2 Private sector to private sector;.3 Private sector to Government;.4 Private sector-through-government to Government; and.5 Offers coordinated by Regional Organizations on behalf of governments. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

79 OPRC-HNS/TG 16/3 Annex, page Implementation procedures for any agreement to offer or accept assistance must address the appropriate process for each of the categories and identify a centralized response point of contact to coordinate logistics of deployment the accepted resources into the affected area. Issues such as customs clearances, legal impediments to the use of internationally owned equipment, and funding and reimbursement considerations must also be addressed. Further analysis of these and other issues, combined with a comprehensive review of the issues experienced during the DWH response, indicated the following key issues as priority considerations in the development of the IOA Guidelines: 3.3 Lessons learned from the DWH incident indicate the need for mutual understanding within the international community of the need to develop a robust system of processes for requesting, receiving, managing and acceptance of international offers of assistance from multiple sources (national governments, regional coordination centres, private entities, etc.); 3.4 These Guidelines aim to address the challenges of ensuring situational awareness of the incident among Member States (i.e. Requesting and Assisting Parties), while effectively supporting the response resource needs of a Member State; 3.5 These Guidelines aim to identify common terminology that assists the Requesting Nation in identifying resources needed, and the status and disposition of available resources, i.e. a Common Equipment Lexicon; 3.6 The Guidelines aim to address issues related to customs and trade, transport logistics, categories for offers of equipment and personnel, health and safety of personnel, mobilization and demobilization; 3.7 The Guidelines acknowledge the internal laws and regulations of Member States (i.e. Requesting and Assisting Parties); however, the Guidelines will not endeavour to present comprehensive procedures for each Member State; 3.8 The Guidelines aim to address issues regarding pricing, compensation and terms and conditions of the use of accepted equipment. 4 IMPLEMENTATION OF THE OPRC CONVENTION 4.1 In July 1989, a conference of leading industrial nations called upon IMO to develop further measures to prevent pollution from ships. This call was endorsed by the IMO Assembly in November of the same year and work began on a draft convention aimed at providing a global framework for international cooperation in combating major incidents or threats of marine pollution. The resulting OPRC convention was adopted in November 1990, and entered into force in May The OPRC convention was the first attempt to "internationalize" preparedness and response efforts for marine oil spills, and reflects the reality that not one single nation can effectively manage a large complex oil spill response on its own. Past efforts to organize international cooperation during spill response had previously been limited to regional arrangements and bi- or multi-lateral agreements (Holt, 1993). Such regional agreements cover assistance protocols among neighbouring developing and developed countries, aimed at collective planning and response, and are primarily limited to the resources and capabilities of the signatories, and often rely on only on the government-owned resources of the member states. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

80 OPRC-HNS/TG 16/3 Annex, page The framework of the OPRC Convention focuses on development of national systems of preparedness and response. It also outlines a platform for international cooperation and mutual assistance, however does not address compensation, which are covered by the CLC 4 and Funds Conventions as well as the Bunkers Convention. 4.4 To date, 106 states are now signatories of the OPRC 1990 Convention, which represents ~ 71% of the world's tonnage (source 0Status%20of%20Conventions.xls). 4.5 As with any treaty, the responsibility for its implementation and effectiveness lies with the signatory parties. In 1991, IMO's MEPC established the OPRC Working Group, to oversee its implementation (Edwards, 1995). One product this group developed is the Guidelines for Facilitation of Response to an Oil Pollution Incident Pursuant to Article 7 and Annex of the International Convention on Oil Pollution and Preparedness, Response and Cooperation, 1990, adopted on 27 November This was then later superseded by Resolution A.983 (24), Guidelines for Facilitation of Response to a Pollution Incident, was later adopted on 1 December Resolution A.983 (24), Guidelines for Facilitation of Response to a Pollution Incident, outlines the responsibilities and roles of each Party to the Convention, including in particular:.1 Each Party to the OPRC-HNS Protocol shall take the necessary legal or administrative measures to facilitate the arrival and departure as well as utilization in its territory of ships and other vehicles transporting response equipment or personnel;.2 The Annex to the OPRC Convention and the Annex to the OPRC-HNS Protocol make provision for the reimbursement of costs of assistance; and.3 Recognition of the critical importance of developing administrative procedures to facilitate rapid provision of assistance and deployment of response equipment and personnel. 4.7 Resolution A.983 (24), Guidelines for Facilitation of Response to a Pollution Incident, also includes an Annex, which provides the backbone upon which these more comprehensive IOA Guidelines are formed: GUIDELINES FOR FACILIATION OF RESPONSE TO A POLLUTION INCIDENT 1. If a State needs assistance, it may ask for assistance from other states, indicating the scope and type of assistance needed. o o A State asked to provide assistance should promptly decide and inform the requesting State whether it is in a position to offer requested assistance, and Indicate the scope and terms of assistance to be rendered. 4 International Convention on Civil Liability for Oil Pollution Damage. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

81 OPRC-HNS/TG 16/3 Annex, page 8 2. States concerned should cooperate to facilitate prompt assistance. States should follow the provisions of 1 any existing bilateral or multilateral agreements, but if these agreements do not exist, assistance should follow the remaining provisions in these guidelines. 3. Requesting state is responsible for overall supervision, control and coordination of the response to the incident and of any assistance supplied. Personnel sent by the Assisting Party are in charge of the immediate operational supervision of its personnel and equipment. o o Personnel sent by the Assisting Party should follow relevant laws of the Requesting Nation. The Requesting Nation should ensure that Assisting Party personnel are made aware of these laws. Appropriate authorities of the Requesting Nation and Assisting Party should cooperate closely on all relevant issues. 4. Requesting Nation should provide adequate local facilities and services for adequate administration and management of the Assisting Party's assets, including decontamination, and ensure the security, and protection of its personnel and equipment as well as their safe return. 5. Requesting Nation should endeavour to afford the Assisting Party and its representatives the privileges, immunities, or facilities necessary to expedite their ability to perform their assistance. The Requesting Nation should not be required to apply this provision to its own nationals or permanent residents, or to afford them the privileges and immunities referred to above. 6. A third party State or Nation should, at the request of the Requesting or Assisting Party, facilitate the transit through its territory of duly notified personnel and equipment and property involved in the assistance, to and from the Requesting Nation. 7. Requesting Nation should facilitate the entry into, stay in and departure from its national territory of duly notified personnel and/or equipment. 8. Requesting Nation should reimburse the Assisting Party for any loss or damage to equipment or other property belonging to the Assisting Party. o Requesting Nation should reimburse the Assisting Party for expense involved in the assistance, and for loss of life or property incurred during the assistance. 9. Nations should cooperate closely to facilitate the settlement of legal proceedings and claims which could result from any assistance activities. 10. Requesting Nation may at any time request the termination of assistance received. o Once a termination request is made, Nations concerned should consult each other to make arrangements for proper termination of assistance. 11. To avoid delays in implementing assistance from other nations from existing laws, as part of preparedness for responses, Nations should adopt necessary legislation to facilitate an incident which will require assistance from other nations. 12. Nations which will receive personnel and equipment provided on behalf of a ship-owner, cargo owner or other relevant entities should also utilize similar facilitation. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

82 Page: 10 Number: 1 Author: IMAT Subject: Sticky Note Date: 31/01/ :50:25 - Norway asked that this concept be clarified, about whether the IOA Guidelines should be used when a bilateral or multilateral agreement does not exist. H:\PPR\1\WPs\WP.7 - Annex3

83 OPRC-HNS/TG 16/3 Annex, page In some cases, a ship owner, cargo owner or other relevant entity may be best placed to call upon dedicated equipment and personnel to assist a pollution response. o o Requesting Nations should facilitate the entry, clearance and return of personnel and equipment provided. Public authorities of the Requesting Nation should, as possible, temporarily waive customs and excise duties and other taxes on any equipment and materials provided to assist in the pollution response. 5 ROLES AND RESPONSIBILITIES OF PARTIES INVOLVED IN IOA 5.1 In the course of a large complex oil spill response incident, when a nation finds it necessary to initiate a comprehensive IOA system, there are a minimum set of provisions which each of the nations or entities involved in offering and requesting assistance should assume and adhere to. 5.2 Such roles and responsibilities include (adapted from REMPEC "Checklist of principal institutional provisions aimed at facilitating mutual assistance in case of a major marine pollution accident which should be included in National Contingency Plans"): 5.3 Within each nation's National Contingency Plan, special institutional arrangements should be adopted and administrative and financial arrangements should be established, such as:.1 Designation of the competent national authority which, once the situation has been assessed, will determine the extent of the required assistance;.2 Designation of a national authority entitled to act on behalf of the State to request assistance or to decide to provide the requested assistance, as well as to deal with the legal and financial aspects of mutual assistance, and arrangements which would enable this authority to be contacted rapidly in case of an urgent request for assistance;.3 Financial modalities applicable to mutual assistance;.4 Roles and obligations of the Party requesting assistance concerning: the receipt of equipment; costs of board and lodging, possible medical expenses and repatriation of assisting personnel; and arrangements, in particular concerning customs and immigration, for facilitating the movement of personnel, vessels, aircraft and equipment. 5.4 Whenever assistance is requested, the Requesting Party will be in full charge of response operations. If response teams are put at the disposal of the Requesting Party it will issue instructions to response team leaders who will then be in charge of looking after the details of the operation. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

84 OPRC-HNS/TG 16/3 Annex, page The Requesting Party will:.1 make its request in a clear and precise manner (quantity, type etc.) by indicating for which purposes equipment, products and response personnel will be used;.2 appoint an authority to receive the equipment, products and/or personnel and to ensure control of operations from the moment equipment, products and personnel arrive in the country and while these are conveyed to and from the scene of operations;.3 make arrangements for the rapid entry of equipment, products and personnel prior to their arrival and ensure that customs formalities are facilitated to the maximum extent. Equipment should be admitted on a temporary basis and products should be admitted free of excise and duties;.4 supply all that is needed for the correct operation and maintenance of equipment and provide accommodation and food for response teams;.5 ensure that, should ships and aircraft be provided, ships are granted all necessary authorizations and aircraft cleared to fly in the national air space. A flight plan or a flight notification will be filed and accepted as an authorization for aircraft to take off, land ashore or at sea outside regular customs airfields;.6 return, once response operations are over, all unused products and ensure that returned equipment is in the best possible working order;.7 send a report on the effectiveness of equipment, products and personnel provided, to the appropriate Authorities of the Assisting Party. 5.6 The Assisting Party will provide:.1 a detailed statement and complete list of all equipment, products and personnel within those listed by the Requesting Party it can provide as well as instructions for use of equipment and products;.2 equipment that is in good working order and suitable for the requirements of the Requesting Party;.3 only products approved for use in its own territory; and.4 competent specialized personnel, if possible equipped with own kit needed for their action. Non specialized personnel should not normally be sent out except perhaps in case of particularly massive oil pollution. 5.7 In the absence of bilateral or multilateral agreements, the financial conditions for the operation will be agreed between the Assisting and the Requesting Parties. 5.8 For regional cooperation to work effectively and rapidly in case of emergency, each Party will update annually the information provided in their National Contingency Plan and any other relevant information including: I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

85 OPRC-HNS/TG 16/3 Annex, page 11.1 the national organization and the competent national authorities in charge of combating marine pollution;.2 specific national regulations aimed at preventing accidents likely to cause marine pollution;.3 national regulations regarding the use of products and combating techniques;.4 bilateral or multilateral agreements on marine pollution signed with other Parties;.5 research programs, experiments and major exercises on the various aspects of marine pollution response; and.6 purchase of major items of equipment. 5.9 In order to strengthen the national capabilities to combat pollution, a national program of training of personnel will be developed and maintained at a proper level, which should include at a minimum:.1 At a regional level: General training covering all the aspects of marine pollution control. Practical advanced training designed to deal with one single and important aspect of pollution control..2 At a national level: Pollution combating training adapted to the specific requirements of a Party, on its request. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

86 OPRC-HNS/TG 16/3 Annex, page 12 6 IOA COORDINATION SYSTEM 6.1 These IOA Guidelines are targeted towards large spill response incidents that reach a level of complexity that goes beyond existing Regional and Bilateral/Multilateral agreements, whereby the affected nation will make a determination to activate the IOA process, and create an IOA Program. At this point, it is anticipated that the affected nation would then utilize these IOA Guidelines, and will likely employ one or more of the 5 basic mechanisms (Figure 1):.1 Government to Government;.2 Private sector to private sector;.3 Private sector to Government;.4 Private sector-through-government to Government; and.5 Offers coordinated by Regional Organizations on behalf of governments. 1 Figure 1. International Offers of Assistance 5 Mechanisms 6.2 Once an incident-specific IOA program or system is being implemented, it is recommended that a two tier or two level IOA Management Team be stood up to manage the requests, the offers, the status of each as well as the detailed negotiations required to deploy the needed equipment and resources from the offering nation to the affected nation, to the area of the spill: 3.1 Headquarters or Department Level: This "HQ IOA Unit" would likely be comprised of Headquarters or Department level representation from the Response Authority, and the Foreign Ministry Department, and possibly other Department level agencies as appropriate within the affected nation Field Command Centre Level: It is recommended that "International Offers Unit" be housed at the field Command Centre, and include I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

87 Page: 14 Number: 1 Author: IMAT Subject: Sticky Note Date: 31/01/ :46:10 - Brazil recommended that this diagram be moved to appear after the text in Section 6.2 in this document. - Brazil also recommended that the Lexicon tool be somehow included in Figure 1. - Brazil also noted that the term "IOA Unit" is missing from the line below the darker yellow center. - Brazil Number: 2 Author: IMAT Subject: Sticky Note Date: 31/01/ :47:20 - EC requested that the term "ERCC" be removed from the lowest green text box in the diagram in Figure 1. Number: 3 Author: IMAT Subject: Sticky Note Date: 31/01/ :52:49 - Norway commented that there should be a central point to manage all IOAs, to avoid duplication, etc. - Norway also commented that they are in the process of developing a Unified Command system with the Spiller during Catastrophic spill responses. Number: 4 Author: IMAT Subject: Sticky Note Date: 31/01/ :56:19 - Ireland noted that their government is also looking at a Unified Command structure during a catastrophic spill. - Ireland also noted that they also support/see the need to emphasize a national focal point within the affected nation to manage IOAs. - Ireland recommend we add a diagram/recommended description of where within a nation's response structure, the IOA units might be housed. For example either in Logistics or Planning? H:\PPR\1\WPs\WP.7 - Annex3

88 OPRC-HNS/TG 16/3 Annex, page 13 representatives from the Response Authority (ideally staff with technical expertise and oil spill experience); and representatives from the Spiller/Responsible Party who have technical expertise (this could include representatives from the company or from one of their spill response contractors). 6.3 This two level IOA management team are to stay in close communication and coordination, ideally through daily conference calls. REQUESTS FROM THE AFFECTED (or REQUESTING) NATION 6.4 The requests for equipment, response resources and technical specialists will be generated at the Field Command Centre level, from within the "International Offers Unit"..1 The specialists in this International Offers Unit will work closely with the response manager and those running the response operations in the Field to help identify resource constraints and limited supplies for specifically needed equipment and other response resources, for the duration of the response. These teams should establish a once daily communication to determine any changing needs, and provide updates on the arrival status of offers accepted..2 The specialists in this IOU will then utilize the IOA Lexicon to write up the request forms for the specific items needed, using the common terminology developed within the Lexicon..3 The field IOU specialists will then communicate these resource and equipment needs to the Headquarters level "IOA Unit", through the forms, and through the daily conference calls..4 It is anticipated that each specific request will likely be handled by different mechanism (Table 1) some driven/led by the HQ level Unit, and some driven/led by the Field IO Unit..5 During these daily calls between the HQ and Field level IOA units, the members will coordinate which mechanism will be utilized to obtain which needed piece of equipment or resource, and which part of the process to move the equipment to the field site will be managed by the HQ unit and which by the Field level unit..6 For Example: if the technical specialists working in the Field IOU are able to negotiate directly with an equipment manufacturer in a foreign country and obtain the exact piece of equipment required, the Field IOU may manage the majority of this transaction, and will keep the HQ level IOA unit aware of the status and of any need for any higher level assistance with Customs or Immigration, etc..7 The specialists at the Field IOU will recommend which pieces of equipment they would like the HQ Level unit to solicit through diplomatic channels from other nations and from Regional Coordinating Bodies, and the Field level unit will also research possible sources of their specifically needed pieces of equipment and resources. They may know the best sources for their needed equipment, and they may reach out directly to these sources to negotiate obtaining their needed resource. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

89 OPRC-HNS/TG 16/3 Annex, page 14.8 The two level IOA Management team will also determine at which level each of the offers and requests will be logged, tracked for status, as well as the need for and status of any follow-up correspondence which may be appropriate..9 In most cases, it will be most appropriate for the HQ level IOA unit to manage communications with other foreign national governments, as well as Regional Coordinating Bodies. Once initial correspondence has occurred, and the offer and/ or request has been accepted, technical specialists from the offering nation or Regional Centre may then work directly with technical specialists at the Field IOU level to finalize details about deployment specifics..10 In such cases, however, it is still expected that the Field IOU will keep the HQ level IOA unit apprised of all interactions and developments with regard to their interactions with the offering nation or regional coordinating body, typically through the daily conference calls. OFFERS FROM ASSISTING NATIONS 6.5 Offers may come in, unsolicited, from other nations and Regional Coordinating Bodies, and other organizations, to provide equipment, resources, and technical personnel. 6.6 It is expected that these offers will be managed by the HQ level IOA Unit, even if they are received directly into the Field Command Centre. 6.7 The HQ Level IOA Unit will log each of these offers and track the status of when replies were sent, and the content of the reply. 6.8 The HQ Level IOA will also create a list of offered equipment and resources and share this regularly with the Field IOU, as a need may arise later in the response for some of the equipment and resources offered. 6.9 Some offers may need to be rejected outright, if the equipment or resources offered are clearly not needed or appropriate, and are not anticipated to be needed later in the response It is expected that the HQ Level IOA Unit, with direct involvement from the affected nation's Foreign Ministry department, will draft and deliver such correspondence in the appropriately diplomatic manner. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

90 OPRC-HNS/TG 16/3 Annex, page 15 FUNDING AND OTHER KEY TERMS AND CONDITIONS OF IOA TRANSACTIONS 6.11 Before an offer or request for a specific response resource can be completely accepted, and its mobilization to the affected area started, there must be a clear communication between the key members of the offering/assisting nation, Regional Coordinating Body, or other entity and the affected nation's involved government agencies as to what the specific terms and conditions of the transaction will be. These include:.1 Clear agreement and understanding of compensation expectations: whether the piece of equipment (or resource) will need to be paid for, or rented, or returned "in kind". Also, all parties involved must agree upon liability concerns, requirements for insurance, and conditions for the equipment's return (if applicable), etc It is recommended that these types of negotiations and discussions take place in most IOA transactions at the HQ IOA Unit level..1 There may however be cases, as stated earlier, when the specialists in the Field IOU are working directly with a vendor and all of these issues can be worked out at this level. In such a case, however, the Field IOU must still coordinate with and keep informed the HQ IOA Unit. PROPOSED TYPES OF MECHANISMS FOR IOA (see Figure 1) GOVERNMENT TO GOVERNMENT 6.13 This category or type of mechanism is inclusive of all interactions and transactions related to IOA between the government agencies of the affected nation's (in particular the 2-level IOA Management team comprised of the HQ Level IOA Unit and the Field IO Unit), and any other foreign government. In some cases, requests made by the Requesting Nation to an Assisting Nation may result in the Assisting Nation recommending contact with a private entity (such as oil spill contractors, equipment vendors and manufactures, as well as any oil company/facility which might have equipment to offer) within their country. GOVERNMENT TO PRIVATE 6.14 This category or type of mechanism is inclusive of all interactions and transactions related to IOA between the government agencies of the affected nation's (in particular the 2-level IOA Management team comprised of the HQ Level IOA Unit and the Field IO Unit), and any private entity such as oil spill contractors, equipment vendors and manufactures, as well as any oil company/facility which might have equipment to offer. GOVERNMENT TO REGIONAL COORDINATING BODY 6.15 This category or type of mechanism is inclusive of all interactions and transactions related to IOA between the government agencies of the affected nation's (in particular the 2-level IOA Management team comprised of the HQ Level IOA Unit and the Field IO Unit), and a Regional Coordinating Body, such as ERCC, or REMPEC. These Regional Coordinating bodies will help locate the requested equipment and resources from member governments and facilitate communication between the requesting state and those member governments which may be able to provide assets or indicate their availability on the private market. These Regional Coordinating bodies may also facilitate, finance and expedite transportation of equipment and expert teams, in some cases. These Regional Coordinating bodies do not, however, interact directly with private entities (spill contractors, equipment I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

91 OPRC-HNS/TG 16/3 Annex, page 16 manufacturers or other private companies with response equipment) within their member nations. PRIVATE TO PRIVATE 6.16 This category or type of mechanism is inclusive of interactions that the Spiller/RP (or their spill contractors) has directly with spill contractors, equipment manufacturers and vendors, and other private entities. While the transactions and negotiations which take place via this mechanism will be done primarily by the Spiller/RP (or one of their spill contractors), once the IOA process has been triggered, or initiated, the affected nations' IOA Management Team need to track these transactions, to maintain overall situational awareness of the specific types and amounts of resources that will be entering their borders, and the specifics of the transactions. PRIVATE TO GOVERNMENT 6.17 This category or type of mechanism is inclusive of interactions that the Spiller/RP (or their spill contractors) has directly with foreign government agencies or Regional Coordinating Bodies. There may be cases where an assisting nation or Regional Coordinating Body might be willing or able to negotiate directly with the Spiller/RP or their spill contractor to mobilize a specific piece of equipment or response resource. As with the other mechanisms, once the IOA process has been triggered, or initiated, the affected nations' IOA Management Team will need to track these transactions, to maintain overall situational awareness of the specific types and amounts of resources that will be entering their borders, and the specifics of the transactions. 7 COMMUNICATIONS BETWEEN REQUESTING AND ASSISTING NATIONS DURING IOA 7.1 In order to ensure that the correct equipment and assistance is requested as part of the IOA program, response agencies should specifically define and document their specific needs as the basis for requesting international assistance. Nations soliciting specific response resources from foreign governments or international organizations should consider providing detailed information in each request for assistance with respect to both equipment and personnel. Providing such detailed information will promote the generation of responsive offers of assistance that most closely match current and projected operational needs. These requirements should be communicated to the international community in a uniform manner. Requesting nations should update such detailed solicitations as operational needs change during the course of the response. 7.2 As soon as practical after response operations have commenced, and the IOA program has been initiated, foreign ministries and external affairs agencies within the affected nation should provide guidance to their Embassies and missions in foreign States on how to communicate information regarding assistance that the State requires based on current or projected operational needs and how to facilitate responses to offers of assistance from foreign governments or international organizations that may be submitted, in the first instance, to Embassies or missions. 7.3 It is recommended that a standard format for an ALERT or REQUEST REPORT be used by the Requesting Nation to provided standardized means of informing other nations and organizations of the specifics of the incident and the specific operational needs as part of specific resource requests. See annex I for a sample REQUEST REPORT. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

92 OPRC-HNS/TG 16/3 Annex, page 17 Nations soliciting specific response resources 7.4 With respect to nations soliciting specific response resources, requests may, include:.1 information on the preliminary responses to offers of assistance, including, if appropriate, descriptions of how the offer of assistance will be further evaluated within the framework of the government's emergency response system and related laws and regulations, and any applicable interagency evaluation process;.2 if appropriate, estimates for the length of time the evaluation of the offer is expected to take;.3 instructions for providing detailed information about each offer of assistance from a foreign government or international organization; and.4 instructions for how to forward and transmit any offers to that nation's nearest embassy or mission. The requesting nation should also provide instructions to its embassies and missions worldwide on how to deliver these offers to appropriate personnel with the lead response agency or other elements of the foreign ministry or external affairs agency (i.e. , facsimile and telephone contact information of specific points of contact that will require the information). Offers of equipment from other nations or international organizations that can be deployed or utilized in response operations 7.5 With respect to offers of equipment from foreign states or international organizations that can be deployed or utilized in response operations, offers to the affected nation include the following:.1 using the terminology in the Common Lexicon, the exact type and specification of the equipment offered including, to the fullest extent possible, detailed photographs of the equipment, identification of the manufacturer(s), model numbers, specification documents and, if practical, any information regarding the prior operational use of the offered equipment in related oil or hazardous material discharge/release events;.2 the current condition of the equipment and the possibility of degradation of the equipment during operational use;.3 the total amount of each specific type or category of equipment offered;.4 weight, dimensions and other physical characteristics of equipment offered;.5 when and for how long the equipment would be available;.6 whether the equipment is being offered on a reimbursable basis or without charge; summary of the terms and conditions of the offer if the equipment is being offered on a for-fee basis; I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

93 OPRC-HNS/TG 16/3 Annex, page 18.7 where the equipment is currently located;.8 whether the offering government will transport the equipment and the terms and conditions under which transportation is offered including any export or customs restrictions that may apply under the offering government's national laws;.9 any special logistical problems that may be encountered in transporting or deploying the equipment;.10 any specific conditions regarding use of the equipment by the offering government or entity;.11 the location of the international airport or seaport from which the equipment will be transported;.12 contact information for authorized points of contact who are knowledgeable about relevant technical details of the offered equipment and would be available to discuss additional technical or operational details with subject matter experts; and.13 estimates of the time required to make the equipment available for transfer. Offers of technical, advisory or expert assistance from other nations or international organizations 7.6 With respect to offers of technical, advisory or expert assistance from a foreign government or international organization, such detailed information for the Requesting Nation may, without limitation, include the following:.1 the credentials and/or a brief description of the experience of each individual that would provide assistance;.2 an assessment of the capability of each individual to speak and read in the official language of the State engaged in response operations and the availability of effective translation services if a language barrier is expected;.3 each individual's availability both in terms of how quickly the individual can be deployed to response operations, for how long the individual can be deployed, and any requirement for the individual to depart the operational theatre over the anticipated deployment period;.4 any costs the receiving government would be expected to defray (e.g. air fare, lodging, per diem);.5 whether the offering government would facilitate direct communications between the individuals offering to provide assistance and technical experts of the responding State to further evaluate the offer;.6 any special requirements of the offering government regarding the status of the individual during any deployment period (i.e. requirement that the individual have the status of Embassy technical staff, etc.); and I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

94 OPRC-HNS/TG 16/3 Annex, page 19.7 establishing means to ensure the personal safety and security of individual respondents while assisting in country, as well as ensuring their indemnity against any existing responder liability laws within that nation. 8 RECOMMENDATIONS FOR OFFER RECEIPT AND PROCESSING PROCEDURES 8.1 This chapter outlines some key proposed procedures for the establishment of mechanisms for review and consideration of and response to offers of assistance on the most expedited basis possible, consistent with operational requirements. BEST PRACTICES.1 Ensure operational elements of response organizations (i.e. the Response Authority such as Coast Guard) are heavily involved throughout the evaluation of offers to confirm that offers of assistance meet current or projected operational needs, and are empowered to accept or decline such offers, based on current or projected needs;.2 Facilitate and ensure any necessary legal reviews of offers of assistance from appropriate Requesting Nation authorities; and.3 Ensure adequate and comprehensive documentation of offers of assistance from foreign governments and international organizations, including: the responses to such offers; the financial arrangements agreed to such as the costs associated with the deployment of any equipment and/or personnel for the purpose of cost recovery; evidence collection or other post-event actions for which such information may be needed. 8.2 Once a nation and its appropriate authority determine the need for response resources beyond its existing capabilities, as well as those beyond which it can obtain through exiting bilateral and multilateral agreements, a Liaison Officer(s) to coordinate between the Response Authority agency and the agency which handles foreign affairs (e.g. the United States Coast Guard and the U.S. Department of State), should be established as well as possibly an Interagency Group (to ensure other agencies which should be involved in the IOA process are properly represented, such as Customs and Border Protection or similar agencies). 8.3 Upon receipt of an offer of assistant, pre-designated Liaison Officers and interagency working groups described earlier should lead efforts to define operational requirements being led by technical experts within the Response Authority agency and should ensure, to the extent practical that detailed information described in these guidelines is obtained for all offers of assistance. 8.4 Agencies engaged in response operations should ensure that units charged with the evaluation and deployment of response assets are appropriately and sufficiently staffed so that the need to evaluate and respond to offers of assistance does not interfere with the actual conduct of operations. 8.5 States should provide guidance to response personnel and any foreign ministry or external affairs personnel and personnel at Embassies and missions regarding documentation of offers of assistance from foreign government and international organizations, responses to such offers, and costs associated with the deployment of any equipment or personnel for the purpose of cost recovery, evidence collection or other post-event actions for which such information may be needed. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

95 OPRC-HNS/TG 16/3 Annex, page 20 PROCESSING AND MANAGEMENT OF AN OFFER 8.6 The following are some recommended steps to follow in order to adequately process an offer of assistance, upon receipt. These steps are not prescriptive, and they are not exhaustive. Each response situation is unique and those involved must be flexible to adapt these to their unique circumstances as appropriate. DOCUMENT RECEIPT OF THE OFFER 8.7 Once the Requesting Nation has submitted an ALERT or REQUEST REPORT (annex I), and offers of assistance start to arrive (preferably using the sample OFFER COMMUNICATION (annex II), the already established Liaison Officers (between the Response Authority and Foreign Ministry) as well as the operational technical experts from the Response Authority agency, and the Interagency group (if formed) will document receipt of the offer, ensuring that the following information is captured at a minimum:.1 Date and Time of Receipt of Offer;.2 Method Offer was Transmitted;.3 Who submitted the offer (Nation, Agency, Organization, Company, etc.); and.4 Specific Details of what was offered (as much as have been provided). 8.8 An internal spreadsheet, database, Offer log, or some other electronic means to track offers which have been received by the Requesting Nation must be established, and the agency responsible for tracking and responding to received offers must be determined and agreed upon. RESPONSES TO OFFERING NATIONS 8.9 As described below, a timeline must be established for all steps involved with managing international offers, one of the first of which must be an initial communication to the Assisting Party that their offer has been received and is under review. This initial receipt communication should also provide a time estimate of when an acceptance/decline communication will be sent. An example of a RECEIPT COMMUNICATION can be found in Appendix C. DETERMINE TIMELINES AND EVALUATION TEAM COMPOSTION 8.10 A determination must be made, between the Requesting Nation's Response Authority and Foreign Ministry, of the frequency with which offers will be reviewed and evaluated, as well as the composition of the evaluation team. During prolonged and complex responses, it is possible for International Offers of Assistance to be provided over weeks of time. In such cases, those charged with receipt and evaluation of those offers as well as for acceptance, must establish a frequency of evaluation as well as a timeline for providing a response to the Assisting Party. For example, the Evaluation Team could include representatives from the Coast Guard (including technical experts as well as decision makers) and the Department of State, and they may meet daily at a set time in person or via teleconference to evaluate and provide an acceptance recommendation on offers received. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

96 OPRC-HNS/TG 16/3 Annex, page 21 TECHNICAL INPUT 8.11 Ensuring that evaluation teams include a technical expert(s) who is closely involved in the response and is intimately aware of specific response needs, in detail such as the type and kind of skimmer, boom, or other equipment is critical to the success of utilizing offers of assistance. One of the primary objectives of a successful International Offers of Assistance program is to ensure that the offers aid and support the response, with only those tools needed, and not bog down the response with unnecessary, unwanted or outdated equipment. ACCEPTANCE DECISION: 8.12 Once the Evaluation Team has made a determination whether to accept or decline the offer, this decision must be documented appropriately. A range of specific information should be included in the Acceptance Decision documentation, including rationale and/or criteria for accepting or declining an offer. For example: 1 OFFER STATUS: ACCEPTED / DECLINED RATIONALE: OFFER WAS FOR AN EQUIPMENT TYPE NOT NEEDED FOR THE OPERATIONS OF THIS RESPONSE. An example of an ACCEPTANCE COMMUNICATION can be found in Appendix D. KEYS TO SUCCESS 8.13 Critical to the successful management of an International Offers of Assistance program are to ensure that all parties involved have realistic expectations about how offers will be solicited, managed, processed, and responded to, as well as reasonable timeline estimates for each of these key steps Also critical to a successful IOA program, is consistent and thorough documentation of each step in the management and processing of offers, "cradle to grave". REMCOMMENDATIONS FOR INITIATING OFFERS AND OTHER CONSIDERATIONS REQUEST FOR ASSISTANCE 8.15 The requesting party's personnel and/or equipment are eclipsed by a Tier 3 event. Local assets need reinforcement. Requesting entity should determine which source would be able to supply resources expediently. In conversation with the technical expert at the resource cache, determine what resource is appropriate, available in a timely fashion and at what terms. Once information is gathered, the requesting party should make a request for assistance on the form provided the annexes. THE REQUESTING ENTITY SHALL 8.16 make its request in a clear and precise manner (quantity, type, etc.) by indicating for which purposes equipment, products and response personnel will be used; 8.17 appoint an authority to receive the equipment, products and/or personnel and to ensure control of operations from the moment equipment, products and personnel arrive in the country and while these are conveyed to and from the scene of operations; I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

97 Page: 23 Number: 1 Author: IMAT Subject: Sticky Note Date: 31/01/ :57:45 - Philippines recommended adding a line to the "Offer Status" such as "On Hold" or "Standby", in case an offer might be used later in a response. H:\PPR\1\WPs\WP.7 - Annex3

98 OPRC-HNS/TG 16/3 Annex, page make arrangements for the rapid entry of equipment, products and personnel prior to their arrival and ensure that customs formalities are facilitated to the maximum extent. Equipment should be admitted on a temporary basis and products should be admitted free of excise and duties; 8.19 supply all that is needed for the correct operation and maintenance of equipment and provide accommodation and food for response teams; 8.20 ensure that, should ships and aircraft be provided, ships are granted all necessary authorizations and aircraft cleared to fly in the national air space. A flight plan or a flight notification will be filed and accepted as an authorization for aircraft to take off, land ashore or at sea outside regular customs airfields; 8.21 return, once response operations are over, all unused products and ensure that returned equipment is in the best possible working order; 8.22 send a report on the effectiveness of equipment, products and personnel provided, to the appropriate Authorities of the Assisting Party. THE ASSISTING ENTITY SHALL PROVIDE: 8.23 a detailed statement and complete list of all equipment, products and personnel within those listed by the Requesting Party it can provide as well as instructions for use of equipment and products; 8.24 equipment that is in good working order and suitable for the requirements of the Requesting Party; 8.25 only products approved for use in its own territory; 8.26 competent specialized personnel, if possible equipped with own kit needed for their action. Non-specialized personnel should not normally be sent out except perhaps in case of particularly massive oil pollution. FINANCIAL CONSIDERATIONS 8.27 In the absence of bilateral or multilateral agreements, the financial conditions for the operation will be agreed between the Assisting and the Requesting Parties before the transfer of equipment or resources commences. EQUIPMENT CONSIDERATIONS 8.28 Sending, receiving and returning of equipment requested or offered creates a number of logistic, administrative and legal problems which should be resolved quickly, since a delay in the above chain of actions may considerably reduce the efficiency of the assistance. General arrangements in this regard should be adopted prior to any accident and could be usefully included in the National Contingency Plan. Thus only the details of application remain to be settled at the time of action Following the detailed evaluation of the situation, the Entity requesting assistance should specify, as precisely as possible, the type and quantity of equipment and products needed. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

99 OPRC-HNS/TG 16/3 Annex, page The Entity supplying assistance should, in its reply, attach a detailed list of equipment and products available, including necessary technical specifications (dimensions, weights, capacities), precise power requirement (type of fuel, consumption, etc.) and envisaged transport modalities. It should also indicate the equipment needed for handling such material in the port or airport of entry, the number of people required for off-loading operations and the necessary means of transportation of response material to the site of the accident In order to put such equipment in use as soon as possible, the requesting Entity will take the necessary measures for immediate customs clearance of all arriving material and, if needed, authorize their use (e.g. authorization to navigate), as well as for the immediate clearing of immigration formalities for personnel needed for operating the equipment The Requesting Entity undertakes to return the equipment as soon as the operations are terminated, if requested to do so by the supplier. TRAINING/CERTIFICATION 8.33 The Assisting Entity should determine minimum standards of training required to operate equipment sent to Requesting Party. SAFETY 8.34 The Assisting Entity should determine minimum standards of safety required to operate equipment sent to Requesting Party. MAINTENANCE 8.35 The Assisting Entity should determine minimum standards of maintenance required to operate equipment sent to Requesting Party. SECURITY 8.36 The Assisting Entity should determine minimum standards of security required to operate equipment sent to Requesting Party. 9 RECOMMENDATIONS FOR OFFER EVALUATION PROCEDURES 9.1 As described in the previous chapter on management and processing of offers of assistance, determining evaluation procedures for each incident as well as the composition of an evaluation team, and then sharing those procedures with all involved parties, along with reasonable timeline estimates is critical to a successful management of an IOA program during a large spill response. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

100 OPRC-HNS/TG 16/3 Annex, page 24 RECOMMENDED STEPS FOR OFFER EVALUATION ESTABLISH AN EVALUATION SYSTEM: Determine composition of Evaluation Team: Should include the Response Authority agency, including technical experts working in the operational aspects of the response, as well as representatives from the Foreign Ministry agency as well as any Liaison Officers between these agencies. Also, the final decision authority for which agency/representative has the final say in acceptance or decline of an offer must be clearly established at the onset of this process. o Technical Expert(s) involved in Offer Evaluation should be members or representatives from the Response Authority and closely involved in the response operations and its needs. o In certain nations, there is a response unit established as part of the response organization, called the Critical Resources Unit. The primary responsibility of this unit is to monitor and determine those response resources which are in high demand to maintain or conduct response operations, but are in very short supply or are not available. Members from this unit would be ideal candidates for the Evaluation Team for IOAs. Determine Evaluation process timeline: including frequency of when evaluation team will review an offer and make an acceptance/decline decision. EVALUTION STEPS: Review the Offer Communication form from the Assisting Party. Determine whether there is enough detail presented about the assets offered to make an immediate Acceptance/Decline decision. If not, request additional information. If so, compare offered assets with specific response needs this step must include participation from a technical expert involved in the response operations. Make determination if asset(s) can fill a response operations need, factoring in estimated transit time from Assisting Party to operating theater. Document Evaluation and Offer Acceptance decision. An example of an ACCEPTANCE COMMUNICATION can be found in Appendix D. ACCEPTANCE DECISION: 9.2 Once the Evaluation Team has made a determination whether to accept or decline the offer, this decision must be documented appropriately. A range of specific information should be included in the Acceptance Decision documentation, including rationale and/or criteria for accepting or declining an offer. For example:.1 OFFER STATUS: ACCEPTED / DECLINED.2 RATIONALE: OFFER WAS FOR AN EQUIPMENT TYPE NOT NEEDED FOR THE OPERATIONS OF THIS RESPONSE. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

101 OPRC-HNS/TG 16/3 Annex, page CUSTOMS, LEGAL AND FINANCIAL ISSUES 10.1 A Requesting Nation must decide that if the need for assistance from other nations exists, that Requesting Nation must determine how best it can facilitate the entry of the equipment, property or personnel from an Assisting Party into its own territory (if it is a national government entity or Regional Coordinating Body). To that end, the Requesting Nation should facilitate the arrival of international environmental emergency assistance, including expeditious processing or complete waiver of customs and visa requirements The Requesting Nation should also provide regular information to arriving experts or response teams with regard to entry points, customs and visa requirements and other arrival arrangements Many states have laws in place for customs duty and/or restriction exemptions with regard to certain types of goods imported and exported for humanitarian relief. It is also common for governments to have special emergency provisions in their customs legislation allowing for special arrangements being put in place for processing of incoming relief items following a major disaster. Requesting Nations should evaluate the applicability of such laws, if they exist within their nation, to assistance for pollution response, which may not fall under the same stipulations as disaster response If such laws exist within the Requesting Nation and can be applied to IOA for pollution response, the Requesting Nation needs to determine how these exemptions will be implemented for response equipment, property and personnel arriving in from the Assisting Parties. Likewise, the international responders from the Assisting Party should prepare and have ready detailed manifests of their equipment or property to facilitate expeditious customs processing If the Requesting Nation accepts the use of ATA Carnets ( for temporary admission of professional equipment, it may be advantageous to investigate whether the issuance of a Carnet is an option. A Carnet or ATA Carnet (pronounced kar-nay) is an international customs and export-import document. It is used to clear customs without paying duties and import taxes on merchandise that will be re-exported within 12 months. Obtaining a Carnet also includes obtaining a surety bond to secure the value of the goods shipped; insurance for the goods; and shippers export declaration. IMMIGRATION AND CUSTOMS ISSUES 10.6 Typically, immigration regulations regarding employment authorization require that consent be obtained for all foreign nationals to work within a country. For purposes of immigration and customs and excise rules, special emergency procedures should be legislated, or temporary easements allowed, that could be invoked by government authorities in the event of a spill in which a foreign response organization's services were needed. POINTS OF ENTRY 10.7 All participating Nations should pre-identify points of entry for incoming teams. Entry points can be any type of border crossing (roads, rivers, ports, railroads, airports). Participating Nations should develop a "catalog" of these pre-identified entry points, including their capacities. The Requesting Nation should make all necessary arrangements to receive the incoming teams and equipment at the points of entry. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

102 OPRC-HNS/TG 16/3 Annex, page 26 INSURANCE 10.8 The Requesting Nation should determine with the Assisting Party which party will assume the responsibility for equipment damage and loss. In either case, typically the polluter should obtain documented liability coverage and insurance. If suitable insurance cannot be obtained that defines the costs either party, then another means of guarantee should be requested. The most secure means of insuring the replacement of damaged or lost equipment is to request that a bond be placed with a financial institution in the value of the equipment and include it in their cost for the loaned equipment. LEGAL FRAMEWORK ISSUES 10.9 One of the greatest potential legal hurdles for acceptance and utilization of international assistance involves the potential liability and financial risks that could attach to a responder involved in response activities in a foreign country or foreign waters. Awareness of the applicable laws and responsibilities by the Assisting Party is key to avoid any possible liability issues (e.g.: fines for causing secondary pollution and property damage, dispute regarding the success and termination of a clean-up operations, waste disposal regulations, etc.) It is incumbent upon the Requesting Nation to ensure they have solid and systematic solutions ready to identify relevant legal issues that may constitute obstacles to the overall objective of facilitating the provision of international assistance, and if appropriate, modify their legislation. Participating Nations should consider the granting of legal exemptions, in particular:.1 exempting the requested/accepted equipment requested from all custom duties, taxes, tariffs, or any governmental fees, and exempt them from all export transit and import restrictions;.2 simplifying and minimizing documentation requirements for export, transit and import;.3 permitting the re-exportation of goods and equipment used, in the event that the Requesting Nation wishes to retain what it originally owned;.4 waiving or reducing inspection requirements (where this is difficult, consider using pre-clearance processes where possible to clear equipment more rapidly); and.5 arranging for inspection and release outside of business hours and/or at a place outside the customs office to avoid unnecessary delay The Requesting Nation should, when necessary and possible, exempt Assisting Nation, and possibly private sector assisting personnel from visa regulations and immigration inspection. Where visa regulations and immigration inspection cannot be waived, the Requesting Nation should expedite the necessary formalities at the appropriate point of entry. LIABILITY In questions of liability during IOA transactions, ideally one would first and foremost seek to find amicable settlements between the Requesting Nation and the Assisting Party. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

103 OPRC-HNS/TG 16/3 Annex, page 27 COMPENSATION In order to streamline and expedite this process of cooperation and to avoid any potential for later misunderstanding, the Requesting Nation and Assisting Party should agree on the principles for compensating the potential damage suffered by third parties as early as possible, ideally already during the process of requesting, offering and accepting the international assistance. Both, the Requesting Nation and Assisting Party should declare their willingness or non-willingness to cover damage suffered by third parties. FINANCIAL AND COST RECOVERY ISSUES Under the International Compensation Conventions, compensation is available for reasonable response measures. As a consequence, careful consideration should be given to the mobilization of resources to ensure they are reasonable if compensation is to be sought subsequently through one of these Conventions. The IOPC Fund 5 claims manual has further information on admissibility of claims and claims criteria ( Careful documentation of operational activities and their associated costs during a spill response can assist in resolving disputes over cost recovery and in the preparation of claims for compensation. In the event of loss or damage to the equipment, insurance claims will need to be substantiated by supporting documentation It is important to ensure careful documentation of operational activities and to designate and train personnel to carry out the task keeping a log of spill-related and their associated costs Daily records should be maintained documenting:.1 Equipment: date mobilized, duration of use, location, initial condition, condition assist in resolving at the time the damage occurred, operators on duty, consumables used and disputes over cost replacement cost..2 Personnel: date mobilized, number of workers on site, hours worked, compensation and attendance. PREPARING MANIFESTS The following are suggested elements to consider including in a manifest for equipment from the Assisting Party, from the OCHA/UNEP Guidelines for Environmental Emergencies. 5 International Oil Pollution Compensation Funds. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

104 OPRC-HNS/TG 16/3 Annex, page 28 Manifests A manifest should, as a minimum, contain the following information: Date Stating the date of the export/import; Reason for Import A short description stating that the equipment is for the oil spill response operation; Shipper/Owner Stating who owns and is responsible for the shipment during transport. Shipper and owner will in most cases be the same, unless equipment is sent as unaccompanied cargo; Consignee Name and contact details of the person responsible for the consignment once it has reached the country of destination. For equipment brought by relief teams, etc. this will usually be the same as shipper/owner; Terms of Delivery Refers to the international commercial term (incoterm) that applies to the shipment. They are normally used to divide transaction costs and responsibilities between buyer and seller in international commerce and stated on an invoice for customs purposes. For equipment imported by Assisting Party, it is recommended to use the code CIF, which indicates that Cost, Insurance, Freight is included in the invoiced value; Overview A table specifying the various items imported with description, quantity, weight/ volume, estimated value in international well-known currency (e.g. USD) and possibly serial numbers of the items. Above or underneath the table the total quantity, weight, volume and value should be indicated. However, it should be stated that the item is not imported for commercial purpose; Declaration At the end of the manifest a declaration is normally included stating that the equipment is intended to be used, disposed of, or re-exported. Furthermore, it is also declared what origin the equipment has, often referred to in customs-terms preferential status. A manifest may be structured as a pro forma invoice to further state that the equipment is not intended for commercial purposes, but only for the owner's professional use. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

105 OPRC-HNS/TG 16/3 Annex, page 29 (Source: OCHA/UNEP Guidelines for Environmental Emergencies) I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

106 OPRC-HNS/TG 16/3 Annex, page FACILIATION OF SITUATIONAL AWARENESS AND COMMON OPERATING PICTURE 11.1 During a large, complex spill response operation, particularly one in which the affected nation is instituting a comprehensive IOA program, the need for a common operating picture and accurate situational awareness is critical. The local level response managers must ensure that the Headquarters or Department level agencies and authorities are fully aware of the rapidly unfolding situation, in particular the shifting needs in limited or critical response resources States should consider, if practical, the establishment of Internet based information portals to facilitate the following:.1 Provide information to foreign governments, international organizations, regional coordinating bodies or others regarding current or projected operational needs that may be met through offers of assistance;.2 Provide information regarding the level of detail required for offers of assistance (equipment and personnel) to ensure the most meaningful and efficient review and evaluation;.3 Provide portals for the submission of offers of assistance that simplify the collection of information and streamline communications regarding the receipt and status of offers;.4 Provide information for the media and general public about the full scope of the response effort and to publicly acknowledge, as appropriate, all who are contributing toward the response; and.5 Provide points of contact for foreign government or international organizations to contact for additional information. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

107 OPRC-HNS/TG 16/3 Annex, page ADVANCED PLANNING FOR IOAs 12.1 In order to adequately prepare for and maintain a system capable of managing an International Offers of Assistance program during large, complex spill responses, there is a range of preparatory items each participating nation must accomplish and keep current Some of these preparatory elements include the following items described in REMPECs Guidelines: (Excerpts from REMPEC GUIDELINES FOR CO OPERATION IN COMBATING MARINE OIL POLLUTION IN THE MEDITERRANEAN): For regional cooperation to work effectively and rapidly in case of emergency, each nation should update annually the information regarding IOA procedures within their National Contingency Plan and any other relevant information including: o o o o o o combating marine pollution; specific national regulations aimed at preventing accidents likely to cause marine pollution; national regulations regarding the use of products and combating techniques; bilateral or multilateral agreements on marine pollution signed with other nations or parties; research programs, experiments and major exercises on the various aspects of marine pollution response; and purchase of major items of equipment. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

108 OPRC-HNS/TG 16/3 Annex, page REFERENCES/BIBLIOGRAPHY Arctic Council, Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic, 42 pp. http%3a%2f%2fwww.arctic-council.org%2feppr%2fwp- content%2fuploads%2f2013%2f01%2fncr v1- OPERATIONAL_GUIDELINES_RE-WORK_DEC_6- DOC.docx&ei=9YaGUv_rMavNsQSYv4GoDg&usg=AFQjCNHwjN5wrIB0wGw7k0MR6ozu7p RTTQ&sig2=R9tR4HnPoYko4kVfjZL1Lw ARPEL, "Effective Trans- boundary Movement of Equipment and Personnel during Oil Spill Response". Edwards, David T "Status of Implementation of the OPRC Convention and Resolution Adopted by the OPRC Conference". Proceedings, International Oil Spill Conference, pp API, Washington, D.C. Edwards, David T " IMO's Strategy for the Implementation of the OPRC Convention". Proceedings, International Oil Spill Conference, pp API, Washington, D.C. EU Host Nation Support Guidelines (2012), European Commission. HELCOM HELCOM Response Manual, Volume I, Chapter 4: Requesting and Providing Assistance. 4pp. ls%20and%20guidelines/response%20manual%20vol%201.pdf Holt, W.F "Implementing the OPRC Translating Diplomatic Concepts into Reality". Proceedings, International Oil Spill Conference, pp API, Washington, D.C. IMO, International Convention on Oil Pollution Preparedness, Response and Cooperation. Convention-on-Oil-Pollution-Preparedness,-Response-and-Co-operation-(OPRC).aspx International Oil Pollution Compensation Funds, IOPC Funds Claim Manual, 44pp. IPIECA/ITOPF (1999). "The Use of International Oil Industry Spill Response Resources: Tier 3 Centres", 32 pp. http%3a%2f%2fwww.ipieca.org%2fsystem%2ffiles%2fpublications%2ftieredresponse. pdf&ei=6yeguquvdrws4ao3xigqcg&usg=afqjcnglg1xweyafdpfvsviogx8tf4xd_q&si g2=vrdrpeyyljkzon4p9-5foq OCHA/UNEP, Guidelines for Environmental Emergencies, 34 pp. ies%20version%201.pdf OGP (International Association of Oil and Gas Producers), "Mutual Aid in Large-Scale Offshore Incidents a Framework for the Offshore Oil and Gas Industry". OGP Report No. 487, 20 pp. REMPEC Protocol concerning Cooperation in Preventing Pollution from Ships, and in Cases of Emergency, Combating Pollution of the Mediterranean Sea. 84pp. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

109 OPRC-HNS/TG 16/3 Annex, page 33 REMPEC, Guidelines for Cooperation in Combating Marine Oil Pollution in the Mediterranean, 138 pp. D-1.pdf U.S. Department of Homeland Security, International Assistance System, Concept of Operations. 27pp. U.S. Department of State, "Guidelines for Evaluation of and Response to International Offers of Assistance following the Discharge or Release of Oil or Hazardous Substances Affecting the Marine Environment". *** I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

110 OPRC-HNS/TG 16/3 Annex, page 34 APPENDIX A EXAMPLE NOTIFICATION AND REQUEST FOR ASSISTANCE REPORT *** I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

111 APPENDIX B SAMPLE OFFER COMMUNICATION (FROM ASSISTING PARTY TO REQUESTING NATION) OPRC-HNS/TG 16/3 Annex, page 35 *** I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

112 OPRC-HNS/TG 16/3 Annex, page 36 APPENDIX C SAMPLE RECEIPT COMMUNICATION (FROM REQUESTING NATION TO ASSISTING PARTY) *** I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

113 APPENDIX D SAMPLE ACCEPTANCE COMMUNICATION (FROM REQUESTING NATION TO ASSISTING PARTY) OPRC-HNS/TG 16/3 Annex, page 37 *** I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

114 OPRC-HNS/TG 16/3 Annex, page 38 APPENDIX E ADDITIONAL INFORMATION TO CONSIDER INCLUDING IN REQUESTS AND ACCEPTANCE OF REQUEST TO BE COMPLETED BY THE REQUESTING ENTITY Date: Contact Person of Personnel/Equipment Source: Incident Name Requiring Assistance: Time of the Request in Hours: Authorized Requesting Representative: Host Entity requesting authority and contact details: General description of requested assistance: Type and number/ amount of requested assistance: Technical parameters of the requested assistance, e.g.: voltage, frequency, (pumping) capacity, couplings, plugging, etc.: specify as much as possible if applicable. Other specific requirements, e.g.: labelling, packing, expiry dates, language of manuals, etc.: If not donated, what is the estimated duration of the use/ need? Name and location of delivery points - if already identified: Land transport: Air transport: Maritime transport In-country warehousing provided by the requestor: yes / no Distribution provided by the requestor: yes / no Consignee contact details: The requesting entity will be responsible for all the in-kind assistance/goods from all customs duties, taxes, tariffs, fees, and from all export and import restrictions: Reference No.: Authorized Official's Name: Authorized Official's Signature: Title: Entity: TO BE COMPLETED BY THE ASSISTING ENTITY Sending Entity offering authority and contact details: General description of offered assistance: Type and number/ amount of offered assistance: Technical parameters of the offered assistance, e.g.: voltage, frequency, (pumping) capacity, couplings, plugging, etc., specify as much as possible: Other specific information, e.g.: labelling, packing, expiry dates, language of manuals, etc., specify as much as possible: Dimension, weight, volume, etc. of the offered assistance: Donation: yes / no Means of transport: Land transport: Air transport: Maritime transport Name and location of delivery points: I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

115 Further logistic requirements (warehousing, transport, etc.): OPRC-HNS/TG 16/3 Annex, page 39 The Assisting Entity offers its assistance free of charge. If no, state in details what cost is to be reimbursed: Approx. Total cost of this deployment for which reimbursement will be requested: U.S./EURO/Other $: Total Costs from Home Base to Staging Area: U.S./EURO/Other $: Additional requirements: Authorized Official's Name: Title: Authorized Official's Signature: Entity: Dated: Time of Requesting Entity's Signature in Hours: REQUESTING ENTITY'S APPROVAL ELEMENTS TO INCLUDE IN A FORM Authorized Official's Name: Title: Authorized Official's Signature: Entity: Dated: Time of Approving Official's Signature: Hours: Additional Information: *** I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

116 OPRC-HNS/TG 16/3 Annex, page 40 APPENDIX F REGIONAL COORDINATION CENTERS NAME LOCATION COUNTRIES SERVED Emergency Response Coordination Centre (ERCC)/European Maritime Safety Agency (EMSA) The Marine Environmental Emergency Preparedness and Response Regional Activity Centre of NOWPAP (NOWPAP MERRAC) NOWPAP: - The Special Monitoring and Coastal Environment Assessment RAC (CEARAC) NOWPAP: - The Data and Information Network RAC (DINRAC) Brussels, Belgium/ Lisbon, Portugal Korea - European Union - Norway - Iceland - Lichtenstein - fyrom (Former Yugoslav Republic of Macedonia) - People's Republic of China - Japan - Republic of Korea - Far Eastern Russia NOWPAP: - The Pollution Monitoring RAC (POMRAC) The Regional Marine Pollution Emergency Information and Training Centre for the Wider Caribbean (REMPEITC-Caribe) Marine Emergency Mutual Aid Centre of ROPME (ROPME MEMAC) Bahrain Antigua and Barbuda, Bahamas, Barbados, Belize, Colombia, Costa Rica, Cuba, Dominica, Dominican Republic, El Salvador, France, Grenada, Guatemala, Guyana, Haiti, Honduras, Jamaica, Mexico, Kingdom of the Netherlands, Nicaragua, Panama, St. Kitts and Nevis, Saint Lucia, St. Vincent and the Grenadines, Suriname, Trinidad and Tobago, United Kingdom, United States of America and Venezuela. K. BAHRAIN I.R. IRAN KUWAIT S. OMAN QATAR K. SAUDI ARABIA U.A.E. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

117 OPRC-HNS/TG 16/3 Annex, page 41 NAME LOCATION COUNTRIES SERVED The Regional Marine Pollution Emergency Response Centre for the Mediterranean Sea (REMPEC) Partnerships in Environmental Management for the Seas of East Asia (PEMSEA) The PERSGA Marine Emergency Mutual Aid Centre (PERSGA / MEMAC) - Red Sea and Gulf of Aden Indian Ocean Commission Malta Philippines Saudi Arabia Seychelles Albania Lebanon Algeria Libya Bosnia Herzegovina Malta Croatia Monaco Cyprus Montenegro Egypt Morocco European Union Slovenia France Spain Greece Syria Israel Tunisia Italy Turkey Cambodia China Indonesia Japan Laos North Korea Philippines South Korea Singapore Thailand Timor-Leste Vietnam Djibouti, Egypt, Jordan, Saudi Arabia, Somalia, Sudan, Yemen Union of the Comoros, France/Reunion Island, Madagascar, Mauritius and Seychelles *** I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

118 OPRC-HNS/TG 16/3 Annex, page 42 ANNEX 2 EQUIPMENT CONSIDERATIONS AND BEST PRACTICES TABLE OF CONTENTS 1. EQUIPMENT CONSIDERATIONS AND BEST PRACTICES DURING IOA UTILIZATION 2. COMMON LEXICON FOR SIGNIFICANT EQUIPMENT CATEGORIES 3. HIGH-CAPACITY SPILL RESPONSE EQUIPMENT CATEGORIES 4. A SELECTION OF WORLDWIDE RESOURCES FOR LOCATING EQUIPMENT 5. PROPOSED COMMON ELEMENTS (FIELDS) USEFUL IN RESPONSE EQUIPMENT DATABASES 6. APPENDICES I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

119 OPRC-HNS/TG 16/3 Annex, page 43 1 EQUIPMENT CONSIDERATIONS AND BEST PRACTICES DURING IOA UTILIZATION 1.1 In the midst of a catastrophic oil spill, having the appropriate response equipment at the exact time and location needed, throughout the duration of the response, is crucial. Facility in acquiring essential equipment from within the affected nation may not be enough to provide all the needed resources to manage an effective response. Obtaining critical response resources from international sources must be done in a coordinated manner, with a comprehensive process that allows for a number of key considerations. RESPONSE EQUIPMENT STOCKPILES AND SOURCES 1.2 When sourcing equipment for catastrophic, Tier 3 responses, once internal and regional sources have been exhausted or are expected to be exhausted, consideration should be given to the current range of dedicated oil spill response equipment sources, including a number of significant equipment caches located around the world. Each of these significant equipment caches typically has a manager well-versed in their equipment inventories. Though a dedicated equipment cache may initially appear to present a myriad of equipment choices, equipment managers should be readily able to match equipment they manage to the specific type of spill response equipment requested. Equipment managers also likely understand regulatory requirements governing the extent to which their inventory can be drawn down and still meet contractual and regulatory obligations. Moreover, equipment managers can ascertain costs, conditions and logistics of supplying equipment to a requestor, indicating that existing oil spill response caches are, in most cases, the best source to obtain needed critical spill resources when the use of the IOA process is necessary. 1.3 In addition to large caches of dedicated spill response resources, other equipment sources include equipment manufacturers, government agencies or facilities, and private parties (including oil company facilities and stockpiles). Though these entities may have the needed resources, they may not operate in an emergency response timeframe. When implementing the IOA Guidelines to obtain equipment from some of these sources, expectations may need to be appropriately adjusted that such sources may not be able to provide response assets immediately. There may be additional time required for these entities to determine exact quantities and types of equipment that could be released in order to remain compliant with contractual or regulatory obligations. Also, these entities may not have established mechanisms for issues such as compensation, transportation and other necessary aspects of transferring needed equipment to the affected nation. EQUIPMENT NEEDS ARE UNIQUE AND SPECIALIZED 1.4 Spill response equipment is, for the most part, very specialized. During a catastrophic oil spill when a nation needs to utilize the IOA process to obtain critical, limited response resources, the needs will, in most cases, be highly specific and likely limited to a small range of equipment types. For this reason, not all equipment offered will be useful, so not all pieces of equipment offered should be accepted. Acceptance of unsuitable equipment typically results in overwhelming the logistics supply chain as well as staff and responders working on equipment acquisition. In a Tier 3 spill, time to obtain these critical resources is heavily taxed. Those working to procure needed equipment are primarily looking to obtain the greatest return for the least investment of time. Initially, acquisition would likely be focused on moving large volumes of response equipment from known, dedicated, concentrated caches (or even from known manufactures) versus collecting small amounts of equipment from an array of sources. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

120 OPRC-HNS/TG 16/3 Annex, page 44 CHOOSING THE BEST SOURCE FOR EQUIPMENT 1.5 Multiple international offers from assisting nations and entities, while generous and in cases very helpful, each need to be evaluated for efficiency and amount of effort needed to accept and deploy the assets offered. 1.6 As an example, if 80,000 feet of oil spill boom is needed for the response, the costs, logistics, and timing issues can vary greatly according to the range of sources offering that equipment. In one case, this boom could be purchased from one international manufacturer and loaded onto a cargo plane for immediate delivery. In another case, this boom could be acquired from 16 separate international sources offering 5,000 feet of boom each, to achieve the necessary 80,000 feet. Those personnel tasked with acquiring this set of necessary equipment are faced with a challenge. On the whole, the simplest and most expeditious choice would be to order the entire lot from the manufacturer which would minimize the effort, logistics, and transportation challenges. The International Offers technical personnel need to have the discretion to accept and refuse offers as appropriate. 1.7 Regardless of the source selected, an important component of the overall IOA Guidelines is that an appropriate and timely acknowledgement to those international entities offering assistance should be completed in a manner that is consistent with maintaining good will. 1.8 These issues are discussed in more detail in Annex 1: Coordination and Management. TECHNICAL ASSISTANCE VS. HUMANITARIAN AID 1.9 The term International Offers of Assistance is often used in reference to humanitarian aid such as food, water and shelter. Typically, this type of relief is provided without charge because it is essential to the survival of populations hit by a disaster. Such relief is usually mobilized quickly and accepted readily by the impacted region. Despite logistics and supply chain challenges, prompt delivery of this type of aid is the overarching goal. When concern for the welfare of others takes the form of international cooperation and collaboration, the resulting aid goes a long way to alleviate the suffering of victims International Offers of Assistance with respect to oil spill responses are quite a different matter. Whereas offers of foreign humanitarian assistance are rarely declined, offers of oil spill response equipment in the wake of a catastrophic spill may actually be infrequently accepted. In the case of catastrophic oil spill response, which overwhelms the local and regional assets, those charged with acquiring critical and scarce resources are often working on a much finer set of needs and requests - matching select spill response equipment to the specific situation Moreover, spill response equipment is often offered with compensation requirements, resulting in complexities with payments and contracts, and potential hurdles with customs, immigration, and foreign trade and taxation laws in addition to potential costs incurring from depreciation of used equipment. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

121 OPRC-HNS/TG 16/3 Annex, page 45 EQUIPMENT DATABASES VS. COMMON TERMINOLOGY 1.12 Currently, a number of various oil spill equipment databases and inventories exist for a range of public and private entities around the world. Each of these databases is unique and created to facilitate use of and access to an organization's inventory or to support the organization's specific goals and missions. IOA Guidelines propose the use of a Common Lexicon, or a set of common terminology for response equipment, which is designed to expedite the search for and description of specific equipment pieces for all members involved in the IOA process from the highly experienced technicians and response managers to the non-technical foreign agency representatives. The Lexicon is intended to assist members of the IOA process with limited response-equipment experience in essentially "speaking the same language" as other more experienced technical representatives when working through the request and offer process. 2 COMMON LEXICON FOR SIGNIFICANT EQUIPMENT CATEGORIES 2.1 The Common Lexicon for use as part of an IOA program is designed to set out a set of equipment terminology to help users identify, with commonly used terms, those significant equipment categories typically expected to be offered or requested during larger, Tier 3 responses, from international sources, i.e., spraying aircraft and dedicated skimming vessels (see Appendix A). 2.2 The use of an agreed upon set of terms, or lexicon, when involved in an IOA process, underscores the importance of having a standardized, simple and repeatable language and process tool. The Common Lexicon is not intended as an attempt at developing a global equipment list, nor to drive the data fields that might be required to be used in some sort of global equipment list, should one be developed. The focus of the Lexicon is on finding a basic, common set of terms to use when negotiating IOAs, terms that make sense and can be used by non-technical persons, such as foreign-service representatives, who may be participants in the overall IOA process. In other words, the Lexicon is designed to afford those not conversant with oil spill response equipment an uncomplicated vocabulary to help them act as intermediaries between those offering equipment and those in need of specific equipment. 2.3 The IOA Common Lexicon is presented in a matrix or spreadsheet format, to facilitate and enhance its use (see Appendix A). As an example of how to use the Lexicon and the spreadsheet tool: For an incoming offer of equipment from a foreign nation or entity, items in columns A through G might be used by a foreign ministry agency representative to categorize the specific offer, which would then be passed on to the responders for an offer evaluation; for an outgoing request for equipment, items in columns A through D might be used by the responders to pass to the foreign ministry representatives who might then use that information on a request form to other foreign nations or organizations. 2.4 The Lexicon spreadsheet tool ideally serves to reduce confusion and the number of times clarification would be required to determine specific types of equipment being offered or requested. The level of detail, i.e., number of columns to include in the Lexicon spreadsheet, was intentionally limited to reduce misunderstanding, given that non-technical persons will in most all cases be involved in an International Offers of Assistance process. 2.5 In lieu of a "Function-based Broad Categories" category, a "Response Options" category was included in the Lexicon, which indicates response options such as mechanical recovery, dispersant recovery and in situ burn recovery. A non-technical person using this Lexicon as part of the IOA may use these categories to help identify the equipment needed to support a specific response function being used during the response. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

122 OPRC-HNS/TG 16/3 Annex, page The IOA Guidelines include the range of offer sources and requests, such as "Private to Private" offers or requests; "Government to Government" offers or requests; "Private to Government" offers or requests, etc. Within each "offer/request" pathway, there is assumed involvement of non-technical representatives from foreign-service agencies or governments. For that reason, the Lexicon is designed to be usable by experienced technical and non-experienced, non-technical individuals alike and allow a common set of terms to be used, thereby facilitating communication throughout the process. 3 HIGH-CAPACITY SPILL RESPONSE EQUIPMENT CATEGORIES 3.1 The world's supply of oil spill response equipment is finite. High-capacity response equipment such as oceangoing skimming vessels, long-range aerial dispersant aircraft, fire resistant boom, etc., is limited. In the case of a Tier 3 spill response that exhausts local and regional equipment, typically the high-capacity equipment types and competent personnel to operate them will be sought in order to supplement in-place, expended resources and exhausted workforce in the affected area. The ability to move equipment and personnel rapidly into the spill area exemplifies an aggressive response posture. Understanding the process required to move this equipment/personnel long distances should then establish and define the logistics pipeline to allow movement of additional lower-efficiency, yet still critical, equipment needs as the spill unfolds. 3.2 List of Equipment Categories (Types) for Tier 3 catastrophic spills chosen to develop Common Lexicon (see full Lexicon in Appendix A): Aircraft Vessels (skimming) Vessels (non-skimming) Temporary storage Boom In situ burn Pump Dispersant Oily water separator Beach Cleaners Sorbent Types Subsea Remote Sensing/Surveillance Tracking/Detection Communication Equipment Personnel Specialist Vehicles 4 WORLDWIDE RESOURCES FOR LOCATING EQUIPMENT 4.1 In the interest of expediency, equipment requestors should contact the actual owners of major stockpiles of oil spill response equipment around the world. It is those owners, understanding the regulatory regimes under which they operate, who can quickly ascertain what is available for mobilization and what is not. These owners understand regulations, regional agreements, logistics of movement, deployment, decontamination/servicing, return of equipment, and contracting arrangements for funding and reimbursement. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

123 OPRC-HNS/TG 16/3 Annex, page The complexity of compiling lists of the world's owners of equipment and keeping them updated would be a continual and time-consuming activity. The Little Black Book of Oil Spill Response Contractors is well known in to be a comprehensive directory dedicated to listing oil spill contractors worldwide. This reference can be located at: Some examples of owners of major equipment stockpiles are listed below: Global Response Network Members The Global Response Network is a coalition of major oil-spill response companies operating throughout the world. GRN members are distinguished from other commercial spill response organizations by the fact that they receive their funding from their members or customers through some type of cost-sharing formula and not separate contracts more directly associated with for-profit organizations. Members of the GRN provide their direct spill response services to their members/customers and the GRN is not a mechanism whereby a spiller can call on one GRN member and have direct access to the equipment and personnel of another GRN member. The mission of the GRN is to maximize the knowledge and expertise that each spill response organization has individually, and share such information with other GRN members for the purposes of enabling each organization to provide a better response to their respective members or customers. As noted above, the GRN does not, as a coalition, provide direct spill response resources (equipment or personnel) to a spilling entity. An individual GRN member may provide spill response resources under a separate contractual arrangement with a spilling entity. GRN members, may, at their own discretion develop bilateral agreements with other GRN members to share resources during a spill, according to individual needs. Alaska Clean Seas (ACS) is a non-profit-making, incorporated oil-spill response cooperative whose current membership includes oil and pipeline companies that engage in or intend to undertake oil and gas exploration, development, production and/or pipeline transport activities on the North Slope of Alaska. Originally formed in 1979 as ABSORB, ACS was restructured in 1990 from an equipment cooperative into a full response organization. ACS is now organized to respond, like a fire brigade, to an emergency with both trained people and equipment. ACS is active in streamlining approval processes and in fostering a common organizational structure for responding to and managing spills on the North Slope of Alaska. Contact Information: Alaska Clean Seas Prudhoe Bay Office Pouch Prudhoe Bay, Alaska General Manager Australian Marine Oil Spill Centre Nine participating oil companies and other subscriber companies finance the Centre. These companies carry out the vast majority of the oil and gas production, offshore pipeline, terminal operations and tanker movements around the Australian coast. AMOSC operates Australia's major oil-spill response equipment stockpile on 24-hour stand-by for rapid response anywhere around the Australian coast, and works formally with Oil-Spill Response through a resources and services partnership agreement. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

124 OPRC-HNS/TG 16/3 Annex, page 48 Contact Information: Australian Marine Oil Spill Centre PO Box 1497 Geelong, Victoria, 3220 Tel: (03) Fax: (03) hour emergency telephone number: ECRC (Eastern Canada Response Corporation) is the largest Transport Canada Certified Response Organization (RO) in Canada. ECRC has two roles: enable parties who require an arrangement with a certified RO as required by Canadian Law; and provide marine spill response services to its members when requested to do so. ECRC provides coverage in all Canadian waters east of the Rocky Mountains, except for the ports of Saint John, NB and Point Tupper NS. ECRC is headquartered in Ottawa and operates six response centers located in three regions: Great Lakes, Quebec and Atlantic Canada. ECRC owns specialized response equipment, has developed pre-planned strategies for protecting important sensitivities and maintains contracts with trained response contractors, consultants and response specialists. Contact Information: Ottawa's ECRC Office Slater St. Ottawa, Ontario K1P 5H9 Tel: (613) Fax: (613) contacts@ecrc.ca Marine Spill Response Corporation (MSRC), founded in 1990, is the largest, most comprehensive, dedicated emergency and oil spill response organization in the United States. It is a national not-for-profit response company which owns and operates a fleet of dedicated oil spill response vessels(osrv), ocean going barges, shallow water skimming systems, other response equipment and enhanced communications capabilities throughout the United States East, Gulf, and West Coasts, the U.S. Caribbean, the Hawaiian Islands and the Mid-continent region. MSRC is funded by the Marine Preservation Association (MPA), a member supported, non-profit organization created to assist the petroleum and energy related industries by addressing problems caused by oil spills on water. Contact Information: MSRC Judith Roos, GRN Coordinator roos@msrc.orgoos@msrc.org Tel: 00 1 (703) NOFO the Norwegian Clean Seas Association For Operating Companies develops and maintains oil spill preparedness on the Norwegian Continental Shelf in order to combat oil pollution on behalf of all 29 operating oil companies. This includes response in open seas as well as in coastal waters and along shorelines. NOFO is a dedicated, non-profit 24h/7d a week, oil spill response organization with 25 full-time employees, 50+ duty/reinforcement personnel from operating oil companies and 80+ operators/maintenance persons assigned to 5 bases. Associated to NOFO are a special team of 60 skilled advisors, on site commanders, team leaders and HSE advisors for Coast and Shoreline response, and a Beach Response Team of 40 skilled respondents and team leaders with a 36-hour response time. Assigned to NOFO are a fleet of 25 Oil Recovery vessels and 25 towing vessels for mechanical recovery and/or dispersion offshore, and a fleet of fishing vessels for coastal operations, all designed I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

125 OPRC-HNS/TG 16/3 Annex, page 49 for response and trained minimum twice annually. NOFO has a continuous focus on development of new response technology through sponsorship, technical advice and participation in selected industry projects, followed by field-testing and verification of promising concepts during annual oil-on-water exercises. NOFO is part of the well-established national emergency preparedness model in Norway, which combines public and private oil spill response resources. Contact Information: Norwegian Clean Seas Association For Operating Companies (NOFO) Tel: Fax: post@nofo.no Oil Spill Response Limited (OSRL) is an industry owned cooperative which exists to ensure effective response to oil spills wherever they occur. Membership is representative of the world's most environmentally responsible oil companies, accounting for over 60 percent of global oil production. With a distinguished track record achieved by attending nearly all the major oil-spill incidents for the past 25 years, OSRL is an industry leader in oil-spill preparedness and response services. Operating as a single business from the United Kingdom, Bahrain, Singapore and Florida and with permanent presence in Africa and Indonesia it is the largest international oil spill response cooperative and the only one with a global remit. Aviation services are key to business delivery, with dedicated aircraft strategically placed to provide aerial dispersant and surveillance operations and to deploy equipment rapidly anywhere in the world. Offering an accredited training service, OSRL delivers a program of published and client-tailored courses designed to address training needs from operational to management levels. In addition it provides a wide range of technical, management and consultancy services. Contact Information: Oil Spill Response Limited London (Head office) One Great Cumberland Place London W1H 7AL United Kingdom Tel: +44 (0) Fax: +44 (0) london@oilspillresponse.com Ship Escort Response Vessel System (SERVS) is managed by Alyeska Pipeline Service Company to provide tug escort of tank vessels calling at the Trans Alaska Pipeline System (TAPS) Valdez Marine Terminal. SERVS also provides response services for the operation of TAPS and related marine shipping in Prince William Sound. SERVS is funded by the TAPS Owners and Marine Shipping Companies. SERVS provides two specially equipped prevention and response escort tugs and tethered escorts for each laden tanker in PWS. SERVS response plans and capabilities include open water, nearshore, sensitive areas including 5 salmon hatcheries, wildlife, waste management, and shoreline cleanup. Pre-positioned response vessels and equipment are in operation 24/7 to support tanker operations, and response exercises and training are conducted regularly. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

126 OPRC-HNS/TG 16/3 Annex, page 50 Contact Information: Ship Escort Response Vessel System (SERVS) Alyeska Pipeline Service Company P.O. Box , MS 542 Anchorage, AK Tel: (907) Fax: (907) Western Canada Marine Response Corporation (WCMRC) is certified by Transport Canada under the Canada Shipping Act to respond to marine oil spills for western Canada's navigable waters. With over 2000 members, WCMRC's mandate is to ensure there is a state of preparedness in place to mitigate the impact if an oil spill occurs. This includes strategically placed vessels (25) and response equipment and pre-planned strategies/tactics for protecting economic, environmental & community sensitivities, as well as the safety of both the respondents and the public. WCMRC fulfills the 24-hour on-call role of field response/operations for the response organization. WCMRC also offers a range of preparedness training, exercising and third party response services. Western Canada Marine Response Corporation Vancouver Island Office 6476 A Norcross Road Duncan, B.C. V9L 5T3 Canada Tel: Fax: Independent Response Organizations European Maritime Safety Agency (EMSA) A key task for the Agency is to make available additional at-sea oil recovery resources to assist Member States responding to large scale incidents such as the Erika (1999, France) and Prestige (2002, Spain). Therefore, a Network of Stand-by Oil Spill Response Vessels has been built up in order to 'top-up' pollution response capacities of the EU Member States. The EMSA Stand-by Oil Spill Response Vessels are commercial vessels that can be rapidly converted to oil pollution response activities. The contracted vessels have large recovered oil storage capacities and a choice of oil recovery systems (sweeping arms or boom & skimmer system). In order to improve the efficiency of at-sea operations, each vessel is: Equipped with specialized oil spill response equipment that has been selected according to regional factors such as the weather conditions in the stand-by areas. All of the specialized oil spill response and associated equipment is containerized in order to facilitate rapid installation on board the vessels; Equipped with a local radar based oil slick detection system; Able to decant excess water so maximizing the utilization of the onboard storage capacity; Able to heat the recovered cargo and utilize high-capacity screw pumps in order to facilitate the discharging of heavy viscous oil. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

127 OPRC-HNS/TG 16/3 Annex, page 51 Contact Information: European Maritime Safety Agency Cais do Sodré LISBOA Portugal The Regional Marine Pollution Emergency Response Centre for the Mediterranean Sea (REMPEC) The objective of REMPEC is to contribute to preventing and reducing pollution from ships and combating pollution in case of emergency. In this respect, the mission of REMPEC is to assist the Contracting Parties in meeting their obligations under Articles 4(1), 6 and 9 of the Barcelona Convention; the 1976 Emergency Protocol; the 2002 Prevention and Emergency Protocol and implementing the Regional Strategy for Prevention of and Response to Marine Pollution from Ships, adopted by the Contracting Parties in 2005 which key objectives and targets are reflected in the Mediterranean Strategy for Sustainable Development (MSSD). The Centre will also assist the Contracting Parties which so request in mobilizing the regional and international assistance in case of an emergency under the Offshore Protocol which entered into force 24 March Contact Information: REMPEC Maritime House Lascaris Wharf Valletta VLT 1921 Malta Tel: /7/8 Fax: Emergency emergency@rempec.org Website: Associations and Organizations APICOM The Association of Petroleum Industry Cooperative Managers (APICOM) was founded in 1972 and is an association of unaffiliated petroleum industry oil spill cooperative managers. APICOM exists for the purpose of exchanging information related to the management of an oil spill response cooperative. It also serves as a forum for the exchange of ideas related to oil spill response technologies, operations, regulations and other issues of common interest to its members. ISCO International Spill Control Organization aims to raise worldwide preparedness and cooperation in response to oil and chemical spills, to promote technical development and professional competency, and to provide a focus for making the knowledge and experience of spill control professionals available to IMO, UNEP, EC and other organizations. Contact Information: Balbithan House Kintore, Inverurie Aberdeenshire United Kingdom AB51 0UQ Tel: +44 (0) I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

128 OPRC-HNS/TG 16/3 Annex, page 52 SCAA The Spill Control Association of America was organized in 1973 to actively promote the interests of all groups within the spill response community. Our organization represents spill response contractors, manufacturers, distributors, consultants, instructors, government and training institutions and corporations working in the industry. Contact Information: 103 Oronoco Street, Suite 200 Alexandria, VA USA Tel: COMMON ELEMENTS (FIELDS) USEFUL IN ALL EQUIPMENT DATABASES 5.1 While presently there is no all-encompassing world database specifically addressing broad categories of equipment, capabilities, owners, location and contact information, many databases do exist. Common elements which would prove useful in databases are listed below: Organization This is the abbreviation for an Assisting Entity that owns the equipment. ID Number This unique number is assigned automatically when creating records within a database program. Group ID This is used to identify if a piece of equipment is staged on another piece of equipment. For example, if you are entering information for boom, and the boom is staged on a vessel, you would enter the Group ID of the vessel in this location. Identification This is the equipment identifier. Examples include vessels' names and trailer numbers. If boom is stored on a vessel, the boom identification should be: Vessel Name, boom. Specifications Specification refers to the size, brand or model of the equipment listed. Where applicable, also indicate the age of the equipment and the type and size of the engine. Name Plate Capacity 6 the name plate capacity for skimmers and pumps Liquid Storage tonnes/bbls total storage capacity of resource Boom Length meters/feet total length of boom People Number of people needed to run that piece of equipment for a 12-hour shift Home Base town, city or place name where the equipment is staged State State/Province/Canton/Nation (abbreviation) where equipment is stored Owner Contact Name contact information for owner or person in charge of the equipment Contact Phone Number phone number of owner or person in charge of the equipment 6 American Society for Testing and Materials ASTM F Standard Test Method for Determining Nameplate Recovery Rate of Stationary Oil Skimmer Systems I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

129 Latitude (Decimal degree w/o N/S) latitude of storage location Ex: OPRC-HNS/TG 16/3 Annex, page 53 Longitude (Decimal degree w/o E/W) longitude of storage location Ex: Photo pictures of equipment, optional Links to select existing equipment databases: The Regional Marine Pollution Emergency Response Centre for the Mediterranean Sea (REMPEC), which assists the Mediterranean Coastal States in ratifying, transposing, implementing and enforcing international maritime conventions related to the prevention of and preparedness for response to marine pollution from ships. The European Maritime Safety Agency has been established to ensure a high, uniform and effective level of maritime safety and the prevention of pollution by ships within the European Community. In addition, the Agency shall provide Member States upon request with additional means for marine oil pollution response. In particular, the Agency offers a network of contracted oil pollution response vessels. Spread across the European coastline, these vessels can be called upon by Member States in case of a major oil spill at sea. EMSA Oil Spill Response Vessels: EU Member States Resources fall under the categories of Oil Spill Response Vessels, Dispersants and HNS as follows: Oil Spill Response Vessels: Dispersants: HNS: United States Coast Guard Response Resource Inventory System: The Western Response Resource List, an oil spill response equipment database maintained by regional equipment owners and hosted by Genwest Systems, Inc. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

130 OPRC-HNS/TG 16/3 Annex, page 54 6 APPENDICES APPENDIX A: COMMON LEXICON FOR SIGNIFICANT EQUIPMENT CATEGORIES APPENDIX B: List of Self Contained (Dedicated) Oil Recovery Vessel with a threshold of >500 cubic meters of total storage (Self Contained Oil Recovery Vessels have integral recovered oil tanks and may have multiple skimmers) APPENDIX C: Wildlife Category including a list of organizations such as the International Bird Rescue Research Center (IBRRC) *** I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

131 OPRC-HNS/TG 16/3 Annex 1, page 55 1 A APPENDIX 2 COMMON LEXICON FOR SIGNIFICANT 3 EQUIPMENT CATEGORIES I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3 6

132 Page: 57 Number: 1 Author: IMAT Subject: Sticky Note Date: 31/01/ :14:31 - Sweden asked if there could be a "skimmer only" category. - Poland reiterated interest in a skimmer only category; ensuring there is mention of skimmer as a complete system (powerpack, hoses, etc) - Poland also noted a typographic error: Rope Mob should be changed to Rope Mop". - France commented that there should be some category of Shoreline Cleaner that would encompass the type of High Pressure Washers they provided for the Exxon Valdez response. ITOPF responded that such equipment could be included in the Manual Washer category. Number: 2 Author: IMAT Subject: Sticky Note Date: 31/01/ :20:32 - Turkey asked if we considered lumping an entire system, say for skimmers, to include even Fishing Vessels. - Further discussion including points from ITOPF clarified that we sought to avoid making too many groups in this Lexicon, to allow maximum flexibility so that a user could just select what they needed for their specific scenario. Number: 3 Author: IMAT Subject: Sticky Note Date: 31/01/ :16:52 - Netherlands asked about what Category in this Lexicon the "Current Busters" would fall under. - ITOPF answered that these would likely fall under specialized boom, and we look to avoid the mention of "brand names" for equipment terminology in this Lexicon. - EMSA recommended we could create a new category called "Hybrid Boom". Number: 4 Author: IMAT Subject: Sticky Note Date: 31/01/ :22:01 - EC/EMSA suggested that instead of adding more fields for "Personnel", that we add a column to list any Qualifications or Certifications needed. Number: 5 Author: IMAT Subject: Sticky Note Date: 31/01/ :28:30 - USA mentioned that under Tracking/Monitoring equipment, there can be one platform with more than one of the subcategories on it. How work with that? - USA mentioned to make sure to clarify spill conditions which would alter/affect which types of equipment would be used/requested. E.g. add a column for "usability" in certian climates? Number: 6 Author: IMAT Subject: Sticky Note Date: 31/01/ :17:42 - ISCO mentioned that we might consider adding more detail in the category for "Personnel". Number: 7 Author: IMAT Subject: Sticky Note Date: 31/01/ :25:34 EMSA/EC: recommends that we are striving to not go into too much detail with the Lexicon. For example: when requesting "High Capacity" skimmers, we need to make sure we are adequately indicating pumping rate as a "request factor". H:\PPR\1\WPs\WP.7 - Annex3

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134 Page: 58 Number: 1 Author: IMAT Subject: Sticky Note Date: 31/01/ :33:29 - Norway asked about the "Shoreline Cleaners" category, how account for spreading equipment for sorbents? - Norway also asked if we should change the name of this tool from "Lexicon" to "Common Terminology for Significant Equipment Categories". - France responded that TG already had a long discussion on this title during TG-15 and already agreed to name this "Lexicon". - Number: 2 Author: IMAT Subject: Sticky Note Date: 31/01/ :42:19 - ISCO asked how to account for situations when equipment does not work or is used improperly? - Reply was that those issues are not accounted for in these guidelines, by design. Number: 3 Author: IMAT Subject: Sticky Note Date: 31/01/ :30:20 - Poland mentioned that the EC works on a "modular concept" under Civil Protection response and each module works independently. Number: 4 Author: IMAT Subject: Sticky Note Date: 31/01/ :34:59 - China asked what is meant by "Specialized Software" - ITOPF explained that this term refers to software that helps manage and interpret data from surveillance and tracking observation platforms. Number: 5 Author: IMAT Subject: Sticky Note Date: 31/01/ :38:11 - Turkey asked how, using this Lexicon, would a nation/affected state manage all offers, day to day in a prolonged response? Number: 6 Author: IMAT Subject: Sticky Note Date: 31/01/ :41:09 - Philippines asked about where/how in this Lexicon issues such as wear and tear are accounted for. - Reply was that these issues are not accounted for in the Lexicon, by design. They are accounted for in the Coordination and Management Annex. Number: 7 Author: IMAT Subject: Sticky Note Date: 31/01/ :39:05 - France commented that this Lexicon should only be used for major equipment categories. - and that it is best to limit this list. There was an effort in 1997 by the EC to develop a large, comprehensive list, however the result was too broad, so it's best often to not aim for too much detail. H:\PPR\1\WPs\WP.7 - Annex3

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141 OPRC-HNS/TG 16/3 Annex, page 63 *** I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

142 OPRC-HNS/TG 16/3 Annex, page 64 APPENDIX B LIST OF SELF CONTAINED (DEDICATED) OIL RECOVERY VESSEL WITH A THRESHOLD OF >500 CUBIC METERS OF TOTAL STORAGE (SELF CONTAINED OIL RECOVERY VESSELS HAVE INTEGRAL RECOVERED OIL TANKS AND MAY HAVE MULTIPLE SKIMMERS) I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

143 OPRC-HNS/TG 16/3 Annex, page 65 *** I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

144 OPRC-HNS/TG 16/3 Annex, page 66 APPENDIX C WILDLIFE CATEGORY INCLUDING A LIST OF ORGANIZATIONS SUCH AS THE INTERNATIONAL BIRD RESCUE RESEARCH CENTER (IBRRC) Aiuká The Aiuká Consulting Environmental Solutions was established in March 2010 by a team of experienced professionals. The company's goal is to continue and expand the experience in mitigating the human impact on birds, reptiles, mammals and other aquatic animals. Registered with the Regional Council of Veterinary Medicine of São Paulo and the Regional Council of Biology (1st Region), the Aiuká and their support structures have all environmental permits related to management, rehabilitation and disposal of fauna. Because of its human capital and knowledge accumulation, the Aiuká is the first and only Brazilian company with international experience in specialized rehabilitation service, carrying out contingency plans for unique wildlife, planning and training geared exclusively to the work of management and assistance fauna. Focus Wildlife Focus Wildlife was developed to fulfill a distinct and communicated need for oiled wildlife service provision in the Pacific Northwest. Due to a similar and pressing need in Canada, in 2007 Focus Wildlife Canada was incorporated. Since its inception, Focus Wildlife has provided contingency planning, training and consultation services to various industry, NGO and government entities in British Columbia, Alberta, Saskatchewan, Manitoba, Washington State, Oregon, Hawaii, Micronesia and Asia. Focus Wildlife has also responded to numerous oiled wildlife incidents in British Columbia, Alberta, Saskatchewan, Manitoba, Washington State, Oregon and California. Canada Office 4555 Stonehaven Ave North Vancouver, BC, V7G 1E7 Tel/Fax mailto:info@focuswildlife.org International Bird Rescue International Bird Rescue (Bird Rescue) set out to develop humane and scientifically-based oiled wildlife cleaning and rehabilitation techniques, while managing oiled wildlife response wherever needed. Today, Bird Rescue operates a year-round rescue program for oiled, orphaned, ill and injured aquatic birds from two key facilities in California's Oiled Wildlife Care Network (OWCN). Making a difference to the lives of over 5,000 birds a year, the large number and variety of species admitted for care allows Bird Rescue to develop new and better methods of animal husbandry and medical treatment. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

145 OPRC-HNS/TG 16/3 Annex, page 67 International Bird Rescue is a world leader in oiled wildlife emergency response, rehabilitation, research and education. Our team of more than 40 highly trained specialists has led rescue efforts in over 200 oil spills in 11 States, two U.S. territories, and 12 different countries. Main phone number: San Francisco Bay Centre 4369 Cordelia Road Fairfield, California Los Angeles Centre 3601 S. Gaffey Street, Box 3 San Pedro, California The Oiled Wildlife Care Network The Oiled Wildlife Care Network (OWCN) is a statewide collective of trained wildlife care providers, regulatory agencies, academic institutions and wildlife organizations working to rescue and rehabilitate oiled wildlife in California. The OWCN is recognized as a world leader in oil spill response, rescue, rehabilitation and research, and is an outstanding example of what's possible when diverse institutions and organizations work collaboratively toward a common goal. Oiled Wildlife Care Network Wildlife Health Centre School of Veterinary Medicine University of California, Davis One Shields Avenue Davis, CA USA (530) owcn@ucdavis.edu Pro Bird Project Blue Sea was founded in 2000 and registered as a charitable organization. Our team consists of volunteer-working, dedicated people whose passion it is to achieve something positive for the oceans and their inhabitants. Emergency mobile phone numbers: 0163/ or 0176 / 52,597,351 The Royal Society for the Prevention of Cruelty to Animals The Royal Society for the Prevention of Cruelty to Animals. We rescue, rehabilitate and rehome hundreds of thousands of animals each year in England and Wales. We offer advice on caring for all animals and campaign to change laws that will protect them, which we will enforce through prosecution. RSPCA Advice Team Wilberforce Way Southwater Horsham I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

146 OPRC-HNS/TG 16/3 Annex, page 68 West Sussex RH13 9RS T: SANCCOB SANCCOB is at the forefront of saving African penguins and other threatened seabirds. It never takes a day off and its rehabilitation team is on 24-hour call. SANCCOB deploys its specialist emergency response skills in Africa, the Indian Ocean region, Antarctica and Sub-Antarctic. Through its training academy it equips people to work in the environmental sector; and a passion to instill pride and knowledge about marine conservation drives its education programmes. SANCCOB is a leader in seabird disease research. WESTERN CAPE CENTRE 22 Pentz Drive Table View, Cape Town 7441 South Africa Tel: +27 (0) Fax: +27 (0) info@sanccob.co.za Tri-State Bird Rescue & Research The mission of Tri-State Bird Rescue & Research is to achieve excellence in the rehabilitation of injured, orphaned, and oiled native wild birds, with the goal of returning healthy birds to their natural environment. We do this through compassionate care, humane research, and education. Tri-State's oil spill team collaborates with oil companies, government agencies, colleagues and concerned citizens all over the world not only to respond to oil spills, but also to lessen the impact on natural resources through contingency planning and training prior to a spill. 110 Possum Hollow Road Newark, Delaware, Tel: (302) Fax: (302) Wildbase, Massey University Wildbase is New Zealand's only dedicated wildlife hospital, and is having a huge impact on the survival of some of New Zealand's most endangered birds and animals. Attached to Massey University's veterinary school, Wildbase offers four areas of wildlife health: hospital, oil response, research and pathology. Massey University Private Bag Palmerston North 4442 I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

147 OPRC-HNS/TG 16/3 Annex, page 69 New Zealand Phone: Wildlife Rescue Centre, Oostende VOC Oostende Nieuwpoortsesteenweg Oostende 059/ Sea Alarm Sea Alarm is an independent not-for-profit organization providing global management assistance for oiled wildlife response. Sea Alarm is specialized to act as an independent and impartial facilitator in the middle of multi-stakeholder interests, optimizing the effectiveness and professionalism of a wildlife response. The organization has 24/7 response preparedness procedures, is well connected to the oil spill response industry, global inter-governmental agencies, and to the leading oiled wildlife response groups that can provide global hands-on assistance. Sea Alarm Foundation Rue du Cypres 7 B Brussels T F M / E. secretariat@sea-alarm.org W. I:\MEPC\OPRC-HNS\TG\16\3.doc H:\PPR\1\WPs\WP.7 - Annex3

148

149 ANNEX 4 IMO DISPERSANTS GUIDELINES GUIDELINES FOR THE USE OF DISPERSANTS FOR COMBATING OIL POLLUTION AT SEA P A R T III OPERATIONAL AND TECHNICAL SHEETS for Surface Application of Dispersants 18 H:\PPR\1\WPs\WP.7 - Annex3

150 GUIDELINES FOR THE USE OF DISPERSANTS FOR COMBATING OIL POLLUTION AT SEA P A R T III Operational and Technical Sheets for Surface Application of Dispersants EXCUTIVE SUMMARY This document deals with the practical issues which are considered by the operators when applying dispersants, and is therefore devoted to the staff in charge of the aerial or shipborne dispersant application (e.g. coast guard). Information is given for managing the operation, conducting dispersant application, defining the dispersant dosage, running the equipment, and health and safety considerations and precautions monitoring effectiveness Practical advice is given to facilitate the work ( recommendations on nozzles, on safety procedures, etc.) The requisite items to run the operation are 19 listed. H:\PPR\1\WPs\WP.7 - Annex 4

151 In addition, recommendations are proposed to assess the efficiency of the treatment (pretest before spraying and during the application), and a set of photographs is included to help the reader identify, analyze and understand what he observes on site (e.g. dispersed oil plume formation). This information package is arranged as a practical handbook that can be readily consulted by the operators and responders. 20 H:\PPR\1\WPs\WP.7 - Annex 4

152 GUIDELINES FOR THE USE OF DISPERSANTS FOR COMBATING OIL POLLUTION AT SEA P A R T III Operational and Technical Sheets for Surface Application of Dispersants TABLE OF CONTENT 1- GENERALITY on DISPERSANT APPLICATION 1-1 GENERAL FEATURES Dispersant application rate Dispersant droplet size Dispersant application methods 1-2 APPLICATION VECTORS : PLANES; HELICOPTERS, BOATS Type of dispersant and application method Aircraft offers the following advantages and disadvantages Vessels offers the following advantages and disadvantages 1-3 SPRAYING EQUIPMENT - SPRAYING ASSEMBLY 2- AERIAL DISPERSANT APPLICATION HOW MUCH DISPERSANT IS TO BE USED WHEN SPRAYING FROM AN AIRCRAFT? Average quantities H:\PPR\1\WPs\WP.7 - Annex 4

153 2-1-2 Adjusting dispersant rate 2-2 HOW IS A SLICK TREATED? What to do Areas to treat Standard approach Special case 3- SHIPBORNE DISPERSANT APPLICATION 3-1 HOW TO APPLY DISPERSANT FROM A VESSEL? Dispersants have to be sprayed on the oil Dispersants have to come into physical contact with oil Wind can prevent dispersants from being sprayed evenly over the slick Dispersant can contract surface oil Excessive dilution can cause a dispersant to be ineffective 3-2 HOW MUCH DISPERSANT IS TO BE USED WHEN SPRAYING FROM A VESSEL? Average quantities Adjusting dispersant rate 3-4 HOW IS A SLICK TREATED? What to do Areas to treat 4- HOW SHOULD TREATMENT OF THE SLICK BE GUIDED? 4-1 PRIOR RECONNAISSANCE, GUIDANCE AND MARKING 4-2 USING SMOKE BOMBS AND BUOYS 4-3 AERIAL GUIDANCE PROCEDURE 5- TECHNICAL MATTERS REQUIRING ATTENTION PRIOR TO TREATMENT 5-1 TREATING SLICKS USING AIRCRAFT 5-2 SHIPBORNE TREATMENT HEALTH AND SAVETY AND PRECAUTIONARY MEASURES TO BE MOVED AS CHAPTER 1 H:\PPR\1\WPs\WP.7 - Annex 4

154 6-1 EQUIPMENT 6-2 IF A FIRE BREAKS OUT 7- MONITORING AND ASSESSMENT PROCEDURES 7-1HOW DO YOU ASSESS TREATMENT EFFICIENCY? Visual Observation Infrared Remote Sensing In Situ Monitoring Techniques 7-2 TESTING PRIOR LARGE SCALE SPRAYING 7.3 GOOD PRACTICES ANNEX 1 : SLICK CHARACTERISTICS COLOR CODE BIBLIOGRAPHY 23 H:\PPR\1\WPs\WP.7 - Annex 4

155 1. GENERALITY on DISPERSANT APPLICATION 1-1 GENERAL FEATURES For an effective treatment, the dispersant must be applied to the oil: in sufficient quantities, by means of a spray to obtain a uniform distribution of dispersant over the oil and good dispersant/oil contact. This can only be achieved by using specialised equipment which has been well routinely maintained Dispersant application rate: The common unit to quantify the effective dispersant application on the slick is the application rate is the volume of applied dispersant referred to the treated area, usually given in L/ha (or possibly in Gal/acre). The quantity of dispersant required is proportional to the amount of pollutant to be treated: the usual dispersant/oil ratio (DOR) for concentrate dispersant is about 1:20 to 1:10 (dispersant application rate often 50 to 100 L/ha), and 1:1 to 1:3 for hydrocarbonbased dispersants (corresponding to 1000 to 300 L/ha application rate). However, it is very difficult to determine the quantities of oil to be treated in a given area since oil spilled at sea can quickly come to occupy large areas over which there is considerate variation in thickness Dispersant droplet size: The fineness of the spray is an important parameter to obtain an even distribution and a maximum dispersant-oil contact. However there is a compromise as: 24 Dispersant droplets which are too large and which will go through the oil slick and be lost in the water beneath the slick, particularly in the case of dispersants which are denser than sea water or are the water-based ; Droplets which are too fine and will be deflected from the targeted oil by the wind. H:\PPR\1\WPs\WP.7 - Annex 4

156 In this respect drops with an average diameter of 400 to 700 m are usually recommended Dispersant application methods Conventional dispersant are always applied neat at high dosage. Concentrate dispersant can be applied neat or sometimes pre-diluted in sea water. However, neat application is strongly recommended as it is more efficient. 1-2 APPLICATION VECTORS : PLANES; HELICOPTERS, BOATS? Dispersants can be applied by planes (small to large), helicopters or ships, These all afford different operational options Type of dispersant and application method: Aircraft always use neat dispersant Vessels can use neat or prediluted concentrate dispersant according to the type of equipment they are fitted with: The old spraying units were originally designed to spray conventional dispersant at high application dosage up to 1000 L/ha. With such an equipment, to apply concentrate at much smaller application rate (50 to 100 L/ha) using the same praying assembly (i.e. nozzles), the dispersant is prediluted into sea water in order to obtain a large global sprayed volume (up to 1000 L/h of dispersant and water mixture). This dilution process can be achieved with the use of a educator system or with dedicated pumping units; The more recent equipment are designed for the concentrate dispersants neat and can spray at low application dosage (usually 50 to 100 L/ha). As possible, using 25 dispersant neat should be preferred to pre-dilution. H:\PPR\1\WPs\WP.7 - Annex 4

157 Note: sometimes, portable hand-sprayers have been used for applying dispersant on small slicks Aircraft offers the following advantages and disadvantages Advantages: Rapidity: they can get to the scene of operations very quickly and get the job done whilst the oil is still amenable to dispersion (not yet weathered). High areal coverage: they can spray large areas quickly. Versatile: they can spray even in bad weather. The need for aerial guidance may well be less: if the plane is flying too low over the sea to actually see the slick when spraying, it can, from time to time, climb higher and spot the slick in between passes. Disadvantage Uneven spraying (cf. figure above) and dispersant losses may well reach as high as 50%: as dispersant is sprayed at a height of anywhere between 10 and 30 metres above the sea surface, some dispersant will be lost and not reach the slick. Limited payload for the helicopters: the payload capacities drop very quickly when transit distances increase. 26 H:\PPR\1\WPs\WP.7 - Annex 4

158 The litres per hectare iso-spraying curve for a SOKAF Bucket dispersant spraying system (grid of the map is 5 metres for a spraying rate in litres per hectare) (source Cedre) Vessels offers the following advantages and disadvantages Slow response: unless you have to treat a slick in the immediate vicinity, a vessel is slow to reach the scene of operations which means that the chances of being able to spray the slick during the requisite window of opportunity during which the oil will be amenable to dispersion will be less. Low areal coverage rate (in hectares treated per hour) simply because vessels cannot manage more than 4 to 6 (rarely 8) knots. Sensitivity to sea state: as soon as the sea state becomes a little rough, vessel manoeuvrability decreases. Furthermore, as dispersants produce a herding effect, vessels must spray into the wind an unfavourable option especially when sea conditions are poor. 1-3 SPRAYING EQUIPMENT - SPRAYING ASSEMBLY Spraying equipment usually involve successively: A dispersant storage (tank, drums..) A pump, (for prediluted application, two pumps or a pump and an educator system respectively for the sea water and for the dispersant) 27 Nozzles can be fitted on a spray boom. Generally the nozzles produce flat jets. When, fitted on a spray boom, the nozzles must be placed at an angle of anywhere between 10 and 15 in relation to the spray boom in order to generate non-crossing parallel jets flat jet. H:\PPR\1\WPs\WP.7 - Annex 4

159 Schematic description of the arrangement of the nozzles oriented at in relation to the spray boom No drip - Check valves are often mounted on the spray system upstream of the nozzles and close when the system pressure in the spray boom drops. This will avoid leaks and keep the spray system under pressure and full of dispersant when the spraying operation stops. 28 H:\PPR\1\WPs\WP.7 - Annex 4

160 Examples of check-valves Filters, most often, filter(s) are set upstream the pump (pump protection) and upstream the nozzles (nozzles protection for clogging) o protect the pump. 29 H:\PPR\1\WPs\WP.7 - Annex 4

161 2-AERIAL DISPERSANT APPLICATION 2-1 HOW MUCH DISPERSANT IS TO BE USED WHEN SPRAYING FROM AN AIRCRAFT? Average quantities Average doses are of the order of 5 to 10% in relation to the amount of pollutant (DOR 1:20 to 1:10). In this case, treatment rates will depend on oil thickness. cf. Annex A1 - Slick characteristics-color-code. Viscosity (in cst at sea temperature) < > Amenability dispersion to usually easy usually possible sometimes possible usually impossible Conventional 2nd generation - type 1 Concentrate never sprayed by aircraft 3rd generation - type 2 used diluted 10% in seawater Concentrate 3rd generation - type 3 sprayed neat: % dispersant to oil 5% 5-10% 10% (possibly 15%) ineffective Note 1 : Fresh emulsion: it may be necessary to treat slicks by spraying dispersant twice at around one hour intervals. The first spraying operation will use low percentages of dispersant (1 to 2%) so as to break the emulsion and reduce viscosity. The subsequent spraying operation will effectively disperse the slick. 30 Except for special cases such as thick slicks (e.g. 250 litres/hectare for slicks that are 250 to 500 µm thick), the treatment rate can be adjusted by changing pump speeds or by changing the nozzles and to a lesser extent by changing aircraft ground speeds (for H:\PPR\1\WPs\WP.7 - Annex 4

162 helicopters). The treatment rate (litres/hectare) can be calculated using the following equation. Rate (10 3 / 3) x (D / L x V) D : dispersant flow rate (in litres/minute) V : aircraft groundspeed during treatment (in knots) L : width (in meters) effectively treated by the system; usually 1.2 to twice the length of the spray boom depending on the aircraft and height Literal equation : T (l/ha) = 10 4 x D / (L (m) x V (knots?) x 1852) / 60 In practice, slick thicknesses are unknown and the usual treatment rate is 50 to 100 litres / hectare meaning average slick thicknesses (50 to 200 µm, code 4). Important note: the effective treatment rate is always less than the equation because some of the dispersant will be blown away by the wind. Bearing this in mind, and especially in the event of a small, patchy slick, it may be advisable to increase dispersant quantities. For instance, step up quantities from 5 to 10%. Schematic representation of the pattern of the spray of dispersant issued from an airplane 31 H:\PPR\1\WPs\WP.7 - Annex 4

163 2-1-2 Adjusting dispersant rate ON THE GROUND IN FLIGHT Mainly by choosing other nozzles* Change the flying speed (helicopter) By changing pump speeds (rpm or by opening the «bypass»)* Some systems have several booms and the spray rates can be changed by feeding one of the booms ** Cf. 8 Technical matters requiring attention prior to treatment 32 H:\PPR\1\WPs\WP.7 - Annex 4

164 2-2. HOW IS A SLICK TREATED? What to do If you are flying low over the water, you will have difficulty identifying the outlines of a slick, not to mention slick thickness. You must be methodical. After the bulk of the oil has been treated, you can revisit undispersed, thick patches. DO DO NOT Begin treatment from the edges of a slick to the border of medium thickness areas. Treat the slick by parallel close passes (the only way to cover all the slick). Cut up and fragment a slick. By ploughing through it in all directions, as you will soon find it impossible to spot the slick and treat it all properly. Treat upwind or downwind so as to guarantee spraying conditions and an optimum dispersant-oil contact Areas to treat 33 H:\PPR\1\WPs\WP.7 - Annex 4

165 Average to thick slick patches are treated by adjusting the quantity of dispersant sprayed. Thin areas are not sprayed (color codes 1 and 2: sheen, rainbow- cf annex 1). Cf. 2.1 How much dispersant is to be used when spraying from an aircraft? Important note: After weathering for a few days, the oil will be patchy and thick, called chocolate mousse. By this stage, the oil will is so viscous as to render it impossible to disperse. During treatment operations, always fly upwind or downwind at the height recommended for the type of plane you are flying. 34 H:\PPR\1\WPs\WP.7 - Annex 4

166 2-2-3 Standard approach The preferred approach is either up or downwind. Important note: Smoke bombs can be very helpful for marking a slick and visualising wind direction. Cf Using smoke bombs and buoys Special case If the slick is a thin strip abeam the wind, the preferred treatment modality will be to fly several passes into the wind, 35 H:\PPR\1\WPs\WP.7 - Annex 4

167 or possibly, treat abeam the wind not forgetting that the dispersant will tend to drift sideways with the wind (d).(see Cross wind Lateral drift p 13) START AND STOP CUES The start and stop spraying cues have to include the folowing considerations: Equipment response times for spraying to start once the cue has been given usually requires a lead time of only a few seconds). Wind effect: as dispersant droplets fall onto the slick, the wind will blow them away. Droplet drift (d) in metres can be estimated as follows: 36 d = (v x h) (Where v: wind speed in knots; h: height at which aircraft is spraying). 12 H:\PPR\1\WPs\WP.7 - Annex 4

168 Flying into the wind, droplet drift will occur once the slick has passed. Flying downwind, it will occur as soon as the aircraft reaches the edge of the slick. Regardless of response time, always start spraying 60 metres before reaching the edge of the slick, even if wind speed is low. Spraying dispersant on the ground: spray downwind, spray upwind. Cross Wind lateral drift 37 H:\PPR\1\WPs\WP.7 - Annex 4

169 Drifting of the spayed dispersant aaccording to the wind Wind conditions can make spraying difficult and ineffective because dispersant droplets are blown by the wind as they are dropping onto the slick and a cross wind will push the dispersants away from the slick that is being targeted. 38 H:\PPR\1\WPs\WP.7 - Annex 4

170 3-SHIPBORNE DISPERSANT APPLICATION 3.1 HOW APPLY DISPERSANT FROM A VESSEL Dispersants have to be sprayed on the oil Dispersant droplets must not be too small or too big in order to settle gently onto the oil. Use - Dedicated or converted equipment: spray booms, pipes - or hoses* producing a diffuse spray Do not use Hoses* in solid stream, and avoid pouring dispersant directly onto the slick. *WARNING : The use of fire hoses to spray dispersant leads to the risk of damaging the hose especially, but not only, when not properly rinsed after use. Note that the use of dedicated fire fighting equipment could compromise the fire fighting capability of the vessel Dispersants have to come into physical contact with oil H:\PPR\1\WPs\WP.7 - Annex 4

171 The bow wave pushes the oil away from the vessel EITHER treat from the bow section in front of the bow wave OR Slow down to reduce the bow wave The bow wave and ship pitch push the oil away from the vessel and out of reach of the spray booms. Furthermore, the bow wave must not herd the dispersant before it has had a chance to penetrate the oil. The more viscous the oil is, the longer it takes the dispersant to penetrate the oil, and you will need to reduce the vessel s speed Wind can prevent dispersants from being sprayed evenly over the slick 40 When using spray booms, strong wind can impair spraying quality by altering the shape of the spray and reducing spray width, and even miss the oil altogether. This H:\PPR\1\WPs\WP.7 - Annex 4

172 kind of effect will be all the more marked when dispersant is sprayed from high above the slick. Deformation of the spray pattern of a spraying boom due to the wind Similarly, wind can considerably reduce the range of off centred flat spray nozzles (or systems such as a fan air blower). Deformation of the spray pattern of a spraying jet due to the wind As a rule, the preferred spraying direction is into the wind. However, if the wind is so strong that it compromises spraying operations and adequate droplet dispersion, an attempt can be made to spray downwind, but contraction of the spill into fragments will likely occur. Cf Dispersants can contract surface oil. Important note: If you are crosswind only spray from the leeward side. 41 H:\PPR\1\WPs\WP.7 - Annex 4

173 3-1-4 Dispersant can contract surface oil In the event of adverse conditions, dispersants can concentrate oil into small patches or filaments that stay on the sea surface instead of dispersing oil into the water column. Illustration of the herding effect of the dispersant on the oil Herding effect This effect will be observed when spraying dispersant downwind. In this case, the slick is broken down into smaller patches by fine dispersant droplets that are blown forward in front of the vessel by the wind. When the spraying booms pass over the broken slick, most of the dispersant ends up on the water surface in between the small oil patches. The preferred spraying mode is upwind (into the wind). Cf. figure in Shipborne treatment ; Section Standard approach. When this effect occurs, there is no point spraying dispersant a second time. It is always better to spray dispersant in one pass and adjust the dose accordingly. This effect will not occur if oil is thick, emulsified and viscous. 42 H:\PPR\1\WPs\WP.7 - Annex 4

174 Dispersant application completed downwind, leading to herder effect Excessive dilution can cause a dispersant to be ineffective If dispersant is used pre-diluted with seawater the percentage of dispersant in the mixture must be at least 10%. 43 H:\PPR\1\WPs\WP.7 - Annex 4

175 3-2 HOW MUCH DISPERSANT IS TO BE USED WHEN SPRAYING FROM A VESSEL? Average quantities The average quantity when applied from a vessel is of the order of 5 to 10% in relation to the oil. In this case, treatment rates are related to slick thickness. Viscosity (in cst at sea temperature) < > Amenability dispersion to usually easy usually possible sometimes possible usually impossible Conventional 2nd generation - type 1 30% 30 50% up to 100% slightly effective ineffective Concentrate 3 rd generation type 2 used diluted 10% in seawater* 5 10%** ineffective ineffective ineffective Concentrate 3rd generation - type 3 sprayed neat: % dispersant to pollutant 5% 5-10% 10% (possibly 15%) ineffective Note 1. Fresh emulsion: it may be necessary to treat slicks by spraying dispersant twice at around one hour intervals. The first spraying operation will use low percentages of dispersant (1 to 2%) so as to break the emulsion and reduce viscosity. The subsequent spraying operation will effectively disperse the slick *The dispersant dilution must not be less than 10% **e.g., a 50 95% dispersant to water solution, or 100% dispersant only In actual fact, it is difficult to know the slick thickness owing to enormous variation: thick patches: anywhere from 0.1 mm to a few millimetres; vast but very thin slicks: from to 0.1mm. H:\PPR\1\WPs\WP.7 - Annex 4

176 The chosen treatment rate will be about 50 to 100 litres/hectare, which would mean an average slick thickness of 0.1mm. To optimise dispersant quantities, the treatment rate can be changed slightly depending on slick thickness. 45 H:\PPR\1\WPs\WP.7 - Annex 4

177 3-2-2 Adjusting dispersant rate Standard approach To achieve a treatment rate of 50 or 100 litres/hectare, vessel speeds will have to be adjusted to suit spray system requirements. V (50l/ha) = D / (0.6 x L) V (100l/ha) = D / (0.3 x L) V = vessel speed (knots) D = dispersant pumping rates (neat) delivered by the system (in litres/minute). L = width (in meters) effectively treated by the system (distance from one boom tip to another including vessel width at spray boom location). Special cases - Non-adjustable spray system: The thicker patches (oil thickness > 0.1 mm) will have to be sprayed at slower speeds or possibly several times to increase dispersant delivery quantities (> 100 litres/hectare). - Adjustable spray system: With a small adjustment range (1 to 4 times the flow rate), vessel speeds will have to be varied so as to deliver at least 100 litres/hectare. V = D minimum / 0.3 L Adjustable systems can facilitate the 46treatment of thick patches (> 0.1 mm) by increasing delivery rates to treat such patches with one pass. H:\PPR\1\WPs\WP.7 - Annex 4

178 With a big adjustment range (1 to 10 times the flow rate), it is best to set the vessel speed so as to deliver at least 50 litres/hectare. V = D minimum / 0.6 L The use of excess dispersant can be avoided when traversing thin patches (10 to 100 µm) that can stretch for miles. Thick patches (> 100 µm) can be treated with a single pass by increasing delivery rates. 47 H:\PPR\1\WPs\WP.7 - Annex 4

179 3-3 HOW IS A SLICK TREATED? What to do Average to thick slick patches are treated by adjusting the quantity of dispersant sprayed. Thin areas are not sprayed (codes 1 and 2: sheen, rainbow). From a ship deck, you will have difficulty identifying the outlines of a slick, not to mention slick thickness. You must be methodical. After the bulk of the oil has been treated, you can revisit undispersed, thick patches. DO DO NOT Begin treatment from the edges of a slick to the border of medium thickness areas. Treat the slick by parallel close passes (the only way to cover all the slick). Cut up and fragment a slick. By ploughing through it in all directions, as you will soon find it impossible to spot the slick and treat it all properly. Treat downwind. Treat upwind so as to guarantee spraying conditions and an optimum dispersantoil contact*. For aerial application, do not forget equipment response times when starting the spraying operation, and droplet drift caused by the wind when you might need to stop spraying. 48 H:\PPR\1\WPs\WP.7 - Annex 4

180 H:\PPR\1\WPs\WP.7 - Annex 4 49

181 3-3-2 Areas to treat Average to thick slick patches are treated by adjusting the quantity of dispersant sprayed. Thin areas are not sprayed (color codes 1 and 2: sheen, rainbow cf annex 1). Standard approach The preferred approach is upwind. Standard application procedure Special case Slick is made up of a number of thin windrows placed abeam the wind: treat from the leeward side of the vessel, as the vessel sails lengthwise through the slick. 50 H:\PPR\1\WPs\WP.7 - Annex 4

182 Application procedure when the oil is gathered in strips across the wind Cf. 3-2 How much dispersant is to be used when spraying from a vessel? Important note: After weathering for a few days, the oil will be patchy and thick, called chocolate mousse. By this stage, the oil will is so viscous as to render it impossible to disperse. In practice, slick thicknesses are unknown and the usual treatment rate is 50 to 100 litres / hectare meaning average slick thicknesses (50 to 200 µm, code 4). Important note: the effective treatment rate is always less than the equation because some of the dispersant will be blown away by the wind. Bearing this in mind, and especially in the event of a small, patchy slick, it may be advisable to increase dispersant quantities. For instance, step up quantities from 5 to 10%. 51 H:\PPR\1\WPs\WP.7 - Annex 4

183 4 HOW SHOULD TREATMENT OF THE SLICK BE GUIDED? 4-1 PRIOR RECONNAISSANCE, GUIDANCE AND MARKING At low altitude (recommended for treatment) it is not at all easy to identify the slick (edges, thickness). It is always advisable to have a second aircraft flying above to guide the sprayer aircraft onto the slick and to give the cues to start and stop spraying with each pass. If no other aircraft is available, the sprayer aircraft will have to undertake at higher altitude its own reconnaissance of the areas requiring treatment prior to commencement. The pilot will need to take his bearings to help him during treatment, noting ships in the vicinity, platforms, shorelines, buoys and smoke bombs. 4-2 USING SMOKE BOMBS AND BUOYS The oil slick can be marked by smoke bombs dropped by sprayer aircraft when reconnoitring the slick, which will also be useful to indicate wind direction; smoke bombs and buoys deployed from a vessel that is guided by a spotter aircraft. 52 H:\PPR\1\WPs\WP.7 - Annex 4

184 Illustration of the use of a smoke-bomb to guide the application vessel on the slick to be treated 53 H:\PPR\1\WPs\WP.7 - Annex 4

185 4-3 AERIAL GUIDANCE PROCEDURE Whenever dispersing or recovering oil, vessels will normally require some form of aerial guidance onto the slicks in order to be effective, as crew on board the vessels have great difficulty spotting oil on the water surface. The preferred method is to provide in advance a detailed description with maps of the slick where the vessel or flotilla will start spraying. This avoids engaging a spotter plane all day. When this is not possible, basic guidance should direct a vessel to the thickest parts of a slick by giving the helmsman a bearing and a distance. For instance, The slick is 20 metres wide and 200 metres long. The bearing is 30 and 300 metres from your current position. The plane (or preferably a helicopter) has to indicate slick position, shape, and location of the thickest parts that need immediate? spraying. - Guidance can be given directly over the radio. - When response time is limited, it is always best to give the crew on board the response vessel exact descriptions of the slicks in addition to the GPS coordinates. - Guidance to the slick can be improved if the vessel is told where to drop marker buoys or smoke bombs. 54 H:\PPR\1\WPs\WP.7 - Annex 4

186 Guidance provided by the French Customs aircraft to the French response vessel Ailette (Prestige spill, Galicia, 2002). Using smoke bombs to mark slicks. 55 H:\PPR\1\WPs\WP.7 - Annex 4

187 5. TECHNICAL MATTERS REQUIRING ATTENTION PRIOR TO TREATMENT 5.1 TREATING SLICKS USING AIRCRAFT Before commencing aerial spraying operations, a ground test using water will show whether: the dispersant filter is clean; nozzles have been mounted correctly: - choosing nozzle type (possibly), - nozzle orientation, the nozzles are clear; the check valves* (mounted just in front of the nozzles) work correctly; cf. 2 Airborne treatment dispersant flow rates and pressures are correct; cf. 4 How much dispersant is to be used when spraying from an aircraft? spraying controls (remote control) and solenoid valves are operational. cf. box p 9 Spraying equipment: nozzles and check valves 5.2 SHIPBORNE TREATMENT Before turning on the vessel s dispersant spray system, care must be taken to: check that the main filter is clean; do a quick spray test (using water if need be) to ensure that the check valves and nozzles are clean and mounted correctly 56 (orientation); check that the solenoid valves and control systems are working correctly; check that dispersant flow rates and pressures are correct. H:\PPR\1\WPs\WP.7 - Annex 4

188 cf. 5 How much dispersant is to be used when spraying from a vessel? Nozzles fitted with check valves. 6. HEALTH AND SAFETY AND PRECAUTIONARY MEASURES TO BE MOVED AS CHAPTER RESPONSE CREW As when handling any chemicals, the Safety Data Sheet (MSDS) should be consulted prior to their use. Dispersants can irritate eyes and mucosa, so avoid all contact with the eyes and the skin. Do not breathe aerosols. When handling dispersants always wear protective clothing (e.g. oilskin) goggles, rubber coated gloves (recommended: rubber, nitrile; always avoid latex) and in the event of aerosols wear a respirator mask to protect the respiratory tract (at least wear a dustproof mask). If dispersant comes into contact with your eyes or skin, wash them immediately with plenty of clean water. 6-2 EQUIPMENT 57 H:\PPR\1\WPs\WP.7 - Annex 4

189 Dispersants are natural solvents for products such as paints, elastomers, some plastics, tar and asphalt. The treated material will either soften, swell or detach (eg: coatings do this). Dispersants also have a wetting effect. - They can soak through the smallest cracks. - They can make some surfaces (ship s deck) slippery and present dangerous working conditions. If dispersant leaks and covers the hull or the deck, use a fire hose to wash it off with as much saltwater as you can. The nature of the dispersant is slippery. To prevent crew members to be injured by splipering on deck it is advisable to set a continuous water flushing on the decks. This can be done using fire fighting equipment or hawser hole washing system. It will also needed to routinely use deck wash down sytems on both the port and starboard sections of the deck including catwalks. When spraying abeam of the wind from a vessel, never spray from the windward side. When spraying from an aircraft, check periodically to ensure that the dispersant is not jeopardising the lubrication of moving parts (such as the rotors) or any part of the flight and control system. At the end of the day, rinse spraying equipment with fresh water in addition to the immediate surroundings (plane, runway or taxiway). WARMING : The use of fire hoses to spray dispersant leads the risk of damaging the hose especially, but not only, when not properly rinced after use 6.3 IF A FIRE BREAKS OUT Remember dispersants are flammable. Their flash point is usually over 60 C. 58 If a fire breaks out, use dry chemical extinguishers, CO2, foam or water spray and cool the dispersant storage drums/tanks. H:\PPR\1\WPs\WP.7 - Annex 4

190 7. MONITORING AND ASSESSMENT PROCEDURES 7.1 ASSESSING TREATMENT EFFICACY Visual observation The dispersion operation is effective if you can see a brown-orange or even blackish flume (with some heavy fuel oils) beneath the surface. This kind of flume can usually be seen upwind of the area of a slick of medium to large thickness. The surface slick driven by the wind will drift slowly away and leave the dispersion flume behind. Note: The dispersion flume will not always form immediately, particularly when the oil has weathered and emulsified a little, and wave energy is low. Moreover, the flume will not always be easy to see, and often will not last long. It may dilute and tend to disappear once the oil has started to disperse. The dispersion flume will form when dispersion has started, providing there is some form of wave action (crest of a wave) to supply mixing energy. When spraying dispersant from an aircraft, the cloud may be harder to spot owing to flight altitude. Minutes or hours later, the slick will break up. Surface areas covered by thick slicks will gradually shrink (gradual disappearance of very dark brown average thickness, to very thick black patches). As thick slicks recede, much thinner zones appear (rainbow, codes 1, 2 or 3) which spread over large areas before shrinking and disappearing within a few hours or days. Note: Dispersion must not be confused with another visible and well known effect that occurs with fresh, thin oil slicks. Once the dispersant has been sprayed the oil disappears all of a sudden. In actual fact, the dispersant has pushed the oil sideways (herder effect) because it spreads very quickly. This is not real dispersion at all because after a little while the oil film reappears. Cf. 3.4 Dispersants can contract surface 59 oil H:\PPR\1\WPs\WP.7 - Annex 4

191 7.1.2 Infra-red remote sensing If the dispersion operation is effective, thick patches will gradually disappear from the sea surface, and onboard the remote sensing aircraft the IR scans will show less and less white patches. 60 H:\PPR\1\WPs\WP.7 - Annex 4

192 1., 2. Dispersion trial. Note the beige colour of the slick just after spraying. This effect will last once a fire monitor has jetted the oil and dispersant 3. Effect caused by the bow wave of a vessel passing through a treated slick Note the beige colour in the When the wave goes through the treated slick, oil is placed in suspension and the beige cloud f H:\PPR\1\WPs\WP.7 - Annex 4

193 5., 6. Dispersed oil in the wake of a vessel engaged in dispersant spraying operations. 9. Appearance of a slick several hours after treatment. Thick patches have gradually subsided and only thin ones are left. (mainly sheen) and are breaking up naturally 7 and 8. What the pilot sees: clouds of dispersed oil (beige) appear quite distinct from the surface oil (which is black or metallic). Note on photo number 7 the presence of white foam which shows that they sprayed too much dispersant. 9- Appearance of a slick which has been already treated few time ago. The thick part disappeared and remain only the thin parts (mainly shinne) progressively dispersing A Canadair aircraft starting to spray. The lower picture shows the same slide in a thermal IR scene taken by the remote sensing aircraft (the thickest layers are in white). 62 H:\PPR\1\WPs\WP.7 - Annex 4

194 11. Continuation of treatment. Note the appearance of a dispersion cloud (beige yellow; top half of photo) upwind of the thicker patches (black). Below the airplane, note the temporary disappearance of thinner patches, the herder effect a dispersant can produce this is not real dispersion) 12., 13., 14. Gradual disappearance of thicker patches that turn into dispersed oil patches (yellow brown cloud). 15. The same slick a day after being sprayed. The dispersion cloud has dissolved into the background. All that is left is sheen which is waning and disappearing. 63 H:\PPR\1\WPs\WP.7 - Annex 4

195 10. A Canadair aircraft starting to spray. The lower picture shows the same slide in a thermal IR scene taken by the remote sensing aircraft (the thickest layers are in white) In-situ monitoring techniques SFUV => Wait for OSRL input 7.2 TESTING PRIOR TO LARGE SCALE SPRAYING As a response operation swings into action, but before it really gathers operational momentum, tests should be conducted on part of the slick to check that the spraying operation is likely to succeed and be effective before ramping up to full scale operations. You will need to continue spraying while visually monitoring dispersant efficacy from the spotter aircraft, but remote sensing can also be used; a vessel in the vicinity (e.g. the spraying vessel otherwise, in case of aerial sprying the sprayer aircraft will have to provide the input once it has finished spraying all the dispersant payload or possibly before it starts a second round. These observations have to confirm the presence of a brown coloured cloud, or the gradual disappearance of thicker patches; As an alternative to the visual assessment, the dispersibility of the oil can be also assessed on site by using a rudimentary test (e.g. jar test : :a small quantity of oil is putting in a jar with sea water and dispersant and then shaken; the observed result will provide an indication of dispersibility). When the response operation goes on for extended periods, the check will have to be done at least twice a day to ensure the oil is not weathering too much and is still amenable to dispersion. 64 IF DISPERSION IS INEFFECTIVE H:\PPR\1\WPs\WP.7 - Annex 4

196 If there is no indication that dispersion is really working, you might have to stop stop spraying and ask 3 questions: -. Is this due to the nature of the oil? Has it weathered too much and is it now too viscous to be dispersed? If the answer is yes, then dispersion is no longer the option you need. -. Is this due to very low, or no wave energy at all (sea is too calm)? If the answer to the question is yes, and the slick is large, dispersion can only really be continued if the (very) short term weather report forecasts rougher weather providing more wave energy. If the slick is small, propeller wash from the sprayer ships can provide the necessary mixing energy... The dispersant type/brand used may be not adapted to the type of oil. In that case, try another dispersant if available. 65 H:\PPR\1\WPs\WP.7 - Annex 4

197 7.3 GOOD PRACTICES Good practices recommend whenever dispersant are applied, taking water column samples in the area where dispersants are applied. This will useful for comparing treated and untreated areas of water, assessing water quality for health purposes, and/or justifying afterward the use of dispersants. According to the objective the sampling (a few decilitres) must be conducted just below or close to the water surface. The sample must be kept in a glass bottle and when the sample is transferred to the glass bottle just after sampling, any supernatant oil from the surface slick must be removed if it has been picked up inadvertently with the rest of the sample. More specific information on the sampling procedure can be found in the specialized literature xxxxxxxxx ANNEX A1 : SLICK CHARACTERISTICS COLOR CODE 1 - COLOR CODE In order to optimize response, there is a need to appraise the thickness, the shape and the nature of the oil slick to be treated depending on what the slick looks like and how it behaves. The Bonn Agreement Oil Appearance Code Research conducted by the Bonn Agreement has led to the adoption of an oil 66 appearance code. This code is the result of scientific endeavour seeking to determine spilled H:\PPR\1\WPs\WP.7 - Annex 4

198 The Bonn Agreement Oil Appearance Code Research conducted by the Bonn Agreement has led to the adoption of an oil appearance code. This code is the result of scientificendeavour seeking to determine spilled oi quantities on the basis of aerial observation and should be used in preference to any other code Description Appearance Layer Thickness Interval (µm) Litres per km2 1. Sheen (silvery/grey) 2. Rainbow 3. Metallic 4. Discontinuous True Oil Colour 5. Continuous True Oil Colour 0.04 to to to to to more than , More than H:\PPR\1\WPs\WP.7 - Annex 4

199 French Code 2 Code 1 Code 3 Illustration of the color code 20 H:\PPR\1\WPs\WP.7 - Annex 4

200 2 - T OPOGRAPHY OF OIL SLICKS For relatively fresh slicks, (from a few hours to a few days) the shape and the thickness distribution (small, average, large) essenti- ally depend on the wind which spreads and lengthens slicks and even cuts them up into parallel swathes and fragments them. Large thicknesses (codes 4 and 5) will be found downwind. If the wind is very strong, sheen areas (silvery grey, rainbow and metallic: codes 1, 2 and 3) tend to disappear 21 H:\PPR\1\WPs\WP.7 - Annex 4

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