Document ID: USCG-2016-0437-0002
Agency: uscg
Document Type: Supporting & Related Material
Title: 
Posted Date: 2016-05-27T04:00Z

Commandant
United States Coast Guard
2703 Martin Luther King Jr. Ave SE
Washington, DC 20593-7516
Staff Symbol: CG-MER
Phone: (202) 372-1005
Fax: (202) 372-8402

		16450
		DATE
From:	J. B. Loring, CAPT
	COMDT (CG-MER)

To: 	Distribution
SUBJ:
MER POLICY LETTER 01-16: ALTERNATIVE PLANNING CRITERIA GUIDELINES FOR VESSEL RESPONSE PLANS 
REF:
 Title 33, Code of Federal Regulations (C.F.R.) § 155.1065
 Title 33, C.F.R. § 155.5067
 U. S. Coast Guard Marine Environmental Response and Preparedness Manual, COMDTINST M16000.14A 
 Guidelines for the U. S. Coast Guard Oil Spill Removal Organization Classification Program

   1. PURPOSE.  This policy letter provides the maritime industry with guidance on developing and submitting an Alternative Planning Criteria (APC) request in accordance with References (a) and (b).  It is also intended to provide both industry and Coast Guard personnel with the appropriate information and tools to facilitate the consistent development and review of APC requests.  Within the limits of the regulations and these guidelines, and in consultation with Coast Guard Headquarters, District offices may require additional measures specific to their respective areas of responsibility as a condition to positively endorse an APC request.   

BACKGROUND.  Pursuant to 33 C.F.R. §§ 155.1035(i) and 155.5035(i), vessel owners and operators are required to prepare Vessel Response Plans (VRP) with Geographic Specific Appendices (GSAs) for any Captain of the Port zone where their vessels intend to transit or operate.  VRPs cover an extensive list of planning requirements, which are the foundation for responding effectively to a marine casualty that requires an oil spill and/or salvage and marine firefighting (SMFF) response.  However, because several areas under United States jurisdiction do not currently have sufficient private sector response resources to meet the national planning criteria (NPC) prescribed under 33 C.F.R. Part 155, Subparts D  -  J and related appendices, the Coast Guard would consider an APC in accordance with reference (a). APCs should be clearly identified in the GSA section of the VRP and clearly listed on the VRP's approval letter.  References (a) and (b) list basic requirements for vessel owners and operators to follow if they believe the NPC contained in 33 C.F.R. Part 155 are inappropriate for a vessel intending to operate in a particular geographic area.  In such cases, vessel owners and operators may submit an APC that identifies any NPC criteria that its vessel does not meet and may propose alternatives for consideration by the Coast Guard.  APCs are not "required," they are voluntary alternatives to the NPC.  This policy letter further clarifies the regulatory requirements and provides additional policy and guidance on Coast Guard expectations for APC requests.  
      
   2. DISCLAIMER.  The information provided within this document and its enclosures is not a substitute for applicable legal requirements, nor is it itself a rule.  It is not intended to nor does it impose legally binding requirements on any party.  It represents the Coast Guard's current guidance on the submission and content of an APC and may assist industry, mariners, the general public, and the Coast Guard, as well as other federal and state regulators, in applying the regulatory requirements associated with an APC.  You can use an alternative approach for complying with these requirements if the approach satisfies the requirements of the applicable statutes and regulations.  If you want to discuss an alternative approach (you are not required to do so), you may contact Commandant (CG-MER).   

   4. ACTION.

         a.       District Commanders and Captains of the Port (COTPs) shall direct their staffs to use this guidance when evaluating APC requests for original endorsements, and renewals. 
      
         b.       Vessel owners and operators and authorized APC administrators should use this policy letter when developing and submitting APC requests.  

   5. DIRECTIVES AFFECTED.  The following policy documents are hereby cancelled: 

         a.       CG-543 Policy Letter 09-02: Industry Guidelines for Requesting Alternate Planning Criteria Approval, One Time Waivers and Interim Operating Authorization, dated 12 August 2009.
      
         b.       Sector Anchorage Marine Safety Information Bulletin 03-14: Nontank Vessel Alternative Planning Criteria Requirements for Western Alaska, dated 28 April 2014. 

   6. ENVIRONMENTAL ASPECT AND IMPACT CONSIDERATIONS.  The general policies contained within this policy letter have been thoroughly reviewed by the originating office in conjunction with the Office of Environmental Management, and are categorically excluded (CE) under current Department of Homeland Security (DHS) CE L5 from further environmental analysis, in accordance with Appendix A, Table 1 of the DHS Instruction Manual # 023-01-001-01, Revision 01, Implementation of the National Environmental Policy Act (NEPA). Since this policy letter implements, without substantive change, the applicable Commandant Instruction or other federal agency regulations, procedures, manuals, and other guidance documents, DHS categorical exclusion L5 is appropriate. This directive will not have any of the following: significant cumulative impacts on the human environment; substantial controversy or substantial change to existing environmental conditions; or inconsistencies with any Federal, State, or local laws or administrative determinations relating to the environment. All future specific actions resulting from the general policies in this Letter must be individually evaluated for compliance with the NEPA, DHS and Coast Guard NEPA policy, and compliance with all other environmental mandates.

   7. DEFINITIONS.  A list of commonly used terms and their definitions as used in this policy letter are provided below.

         a.        APC Administrator.  An entity or third party organization governing the administration of an APC construct that may have developed in some areas and is distinct from other various parties also involved in vessel response planning initiatives.  Vessel owners and operators (VO/Os) may utilize a third party organization to manage the additional requirements associated with an APC.  However, all required contracts or other approved means must be between the VO/O and the response resource provider.  Third parties may contract on behalf of a VO/O if they are an authorized agent or have power of attorney for the VO/O.
       
       VO/Os retain full responsibility for obtaining required response resource capabilities to respond to potential worst case discharges from their vessel operations.

         b.        Strategic Plan.  A strategic plan is a formal statement of long-term NPC compliance goals, reasons they are attainable and plans for reaching them.  Strategic plans are generally written for 3-to-5 year periods and are annually reviewed by the APC holder as part of the VRP annual review requirement.
       
       A strategic plan shall include:
       
          1) Discussion of long-term goals and milestones to manage solutions (e.g., gap closures).
          2) Analysis of previous year's achievements related to operations and long-term goals to reach compliance with the NPC.
          3) Anticipated targets and challenges for coming calendar year(s).

         c.        In Region.  This term relates to the maximum distance (usually expressed in hours) from a staging or on-scene location that a response resource (i.e., vessel, equipment, and/or personnel) can normally operate in order for the resource to respond within the required mobilization timeframes.  
       
       For APCs, in region determinations for the following resource types are as follows:
       
                     1)               Dedicated vessels:  Located at or near the location that it supports and able to meet the mobilization planning standards (i.e., en route to the scene and on-scene arrival).
                     2)               Vessels of Opportunity (VOO):  Located within the associated region and able to meet a specified timeframe for on-scene arrival.
                     3)               Dedicated equipment and personnel:  Located to meet the mobilization planning timeframes.
       
         d.        National Planning Criteria (NPC).  NPC are the minimum requirements for oil spill and SMFF response preparedness as discussed in the various subsections of Title 33, C.F.R. Part 155.  In order to address the NPC related to resources, VO/Os are generally required to contract for and/or identify (i.e., list) resources in their VRPs.   
       
       NPC are not performance standards; the NPC are planning standards that establish minimum preparedness capabilities, which VO/Os are required by law to maintain when operating on the navigable waters of the U.S.   Planning standards are a methodology for creating response goals that attempt to generally account for complexities that may or may not exist during an actual response (e.g., the 5 knot vessel planning standard accounts for possible speed restrictions, other vessel traffic, weather delays, navigation challenges, etc.).  APC requests must reference specific NPC when identifying gaps.
       
         e.        Remote.  A staging site is considered remote if it lacks infrastructure, responders, and/or supplies required for a COTP City or Alternate Classification City as defined in reference (d).
       
       For initial response operations, an on-scene location is considered remote if one or more of the following conditions exist:
       
                     1)               The potential spill is outside of the planning standard response timeframe.
                     2)               Operations require establishing overnight accommodations on-scene (i.e., on-shore camps and/or accommodation vessels/barges).
                     3)               Long-term operations require routine sustainment transits of greater than 6 hours (e.g., waste stream management for shoreline cleanup).
                     4)               Availability of aircraft suitable for aerial oil spill tracking is limited to nonexistent.
                     5)               Availability of support infrastructure, services and personnel are limited to nonexistent due to seasonal maritime activities.
       
         f.        Response Resources.  Response resource categories include:  shore-based management, on-water oil recovery (AMPD, MMPD, WCD), aerial tracking, sustainment of initial responders, salvage and marine firefighting services, shoreline protection, and shoreline cleanup.

   8. FORMS/REPORTS.  Vessel owners and operators and authorized APC administrators should submit APC requests and renewals in accordance with Enclosures (1) and (2).  Enclosure 3 will be used by Coast Guard personnel to document reviews of submitted APC requests.  

   9. DISCUSSION.  The intent of an APC is to identify and address resource and capability gaps until private industry response resources are sufficiently built up to meet the NPC.  APCs are an alternative to the NPC contained in the Coast Guard's VRP regulations.  The VRP regulations are promulgated under the authority contained in the Federal Water Pollution Control Act, Section 311(j).  This statutory authority and its corresponding regulations are specific to response resources and do not directly cover prevention measures.  The Coast Guard understands some APCs incorporate prevention measures, such as vessel monitoring, to mitigate gaps between the available response resources and those required by the NPC.  Prevention measures are an important mitigation strategy to address identified gaps between required response resources and the NPC.  However, it must be noted that the ultimate goal is to ensure full compliance with the NPC, which is primarily focused on actual response equipment and capability.  As such, the Coast Guard considers APC-associated prevention measures to be a temporary alternative, but not a replacement, for the NPC.  In certain regions where APCs may be part of a long-term solution, the Coast Guard views the placement of additional response resources and equipment to be a positive incremental step to increasing overall response readiness.     

An APC should provide the Qualified Individual (QI), Spill Management Team (SMT), response resource providers and COTP with a clear understanding of response resource capabilities and limitations for areas that may be impacted as a result of a marine casualty requiring an oil spill and/or SMFF response.  The Coast Guard intends to coordinate with interested parties in each applicable area of responsibility through Coast Guard Sectors, Area Committees, and District Response Advisory Teams to ensure submitted APC requests best address oil spill and SMFF response and capability gaps while progressing toward overall response preparedness.  Therefore, COTP recommendations will hold significant influence during the APC review process and in the final decision to accept a submitted APC request.  Even in areas in which the NPC are inappropriate, vessel owners and operators must address all gaps and meet the NPC to the maximum extent practicable.  

   10. APC POLICY AND PROCEDURES.
   
 a. Applicability. 
       	This policy letter applies to any vessel owner and operator, required to have a VRP in accordance with 33 C.F.R. Part 155, Subpart D or Subpart J.  This policy letter also applies to any applicant who submits an APC for acceptance on behalf of a vessel owner and operator.
    
 b. Scope.
       
    1)           Vessel Fleets. 
          An APC may cover a single vessel or a fleet of vessels.  The request must clearly state the size of the fleet, vessel type(s), and corresponding VRP control number(s). 
          
    2)           Geographic Areas. 
          APCs should only cover the geographic area where a documented gap in the NPC exists.  In certain circumstances, this may include a particular segment of a COTP Zone.  In other circumstances, it may warrant an APC with region or nation-wide applicability.  APC requests must include specific details regarding the geographic scope of the request.  Districts and COTPs should thoroughly review each request to ensure the scope of each APC is the minimum necessary to mitigate the specific gap(s) in the NPC.  
          
    3) Tank and Nontank Vessels.
          	Based on different NPC requirements, tank vessel and nontank vessel APCs must be submitted separately, or if in the same request package, clearly separated into separate appendices, and in accordance with Enclosures (1) and (2). 
                                                                               
 c. Submission Process.
       Vessel owners and operators or APC administrators should use the guidance found in Enclosures (1) and (2) when developing an APC request.  Per references (a) and (b), applicants shall submit an APC request to the cognizant COTP no less than 90-days before a vessel intends to operate under the proposed APC.  Note, however, that complexity and the need for coordination with various Coast Guard offices may require review timelines to exceed 90-days.  Commandant (CG-MER) is the final decision authority for all APC requests.  Depending on the geographic scope, an APC request would be submitted as follows: 
       
          1)           Local APCs. 
          Requests for a local APC, which includes a single COTP zone or any portion therein, shall be submitted to the cognizant COTP.  The COTP will review and forward endorsements, via the respective District and Area offices, to Commandant (CG-MER) for final determination.  
          
          2)           Regional APCs. 
          Requests for a regional APC, which includes multiple COTP zones, shall be submitted to the applicable District office(s) with jurisdiction.  The District office will review and consult with relevant COTPs and forward endorsements, via the respective Area office to Commandant (CG-MER) for final determination.  
          
          3)           National APCs. 
          Requests for a national APC, which includes more than one Coast Guard District, should be submitted to Commandant (CG-MER).  After initial review, Commandant (CG-MER) will consult with respective Areas, Districts, and COTPs.  Based on cumulative comments and recommendations, Commandant (CG-MER) will make a final determination for the APC request.    
          
 d.        APC Evaluations.  
       The Coast Guard will use the criteria outlined in Enclosures (1) and (2) to evaluate APC requests. 
    
 e. APC Conditions of Acceptance. 
       
          1)           Plan Validity  -  Accepted vs. Approved. 
          After the Coast Guard receives an APC request, the Coast Guard will respond to let the submitter know that the APC has been "accepted" if applicable criteria have been met.  When a vessel owner or operator submits a VRP containing the previously "accepted" APC, Coast Guard can then "approve" the APC.   
          
          The Coast Guard will not accept APC requests for areas in which the NPC contained in References (a) and (b) can be met.  APC requests  - must clearly document and articulate the specific NPC that cannot be attained and the prevention and/or response measures to adequately mitigate this gap(s).  APC requests must also identify progressive measures to increase response capabilities in the geographic area to eventually reduce or eliminate the gap(s).  Once accepted, APCs remain subject to Coast Guard verification of ongoing compliance throughout the period of validity, including documented progress towards the goals identified in the approved APC.  
          
          2)           Equipment Verifications. 
          Verification of equipment may be necessary to evaluate an APC request.  COTPs can verify equipment locations, condition, type, and operability prior to forwarding an APC request up the review chain.  This can also include ensuring the personnel identified to operate the equipment are fully trained to do so for each applicable operating environment through the use of records, certifications, and/or operational exercises.  This verification may be part of the Preparedness Assessment Visit (PAV) program managed by the National Strike Force Coordination Center (NSFCC) or, depending on the unique nature of APCs, may be a separate verification all together.  COTPs should coordinate with the NSFCC and District Response Advisory Team (DRAT) to ensure a comprehensive review of APC gaps, while minimizing burden on industry.
          
          3)           Inspections and Exercises.
          APC acceptance is contingent upon the APC Administrator and/or VO/O's ability to respond to an incident and function as described in the APC request.  If deemed necessary, COTPs can conduct tests, inspections, and operational exercises to verify an APC's ability to sustain readiness and availability of both equipment and personnel.  This includes, but is not limited to, response resources, vessel tracking and monitoring systems, vessel communications, and incident reporting procedures.  COTPs should coordinate any on-scene inspections and/or exercises with applicable APC Administrators and/or VO/Os.  It is recommended reference (d) be consulted in establishing criteria for these measures.  For APCs in regions where seasonality prohibits operational exercises for a large portion of the year, acceptance of the APC may be delayed until the COTP can conduct such tests or is otherwise satisfied regarding equipment and personnel readiness.

          4)           Response Resource Inventory.
          As a condition of APC acceptance, all applicable response resource equipment identified in the APC must be entered into the Response Resource Inventory maintained by the NSFCC.    
          
          5)           Period of Acceptance. 
          Generally, an APC will be valid for up to five years from the date of acceptance.  The Coast Guard may consider shorter periods of acceptance on a case by case basis.  Period of acceptance may be determined by, but not be limited to, (1) expected changes to available response resources in the designated area; (2) specific requests from the APC applicant for a shorter acceptance period; and (3) inability to achieve prescribed milestones mentioned in the strategic plan and show measurable progress towards reducing identified gaps (APC renewals).   
    
 f.        Enforcement. 
       Tank vessels and nontank vessels required to meet 33 C.F.R. Part 155 Subparts D and J, respectively, are required to have approved Coast Guard VRPs when operating in the navigable waters of the United States.  COTPs should ensure vessels that  operate or make port calls within their zone are in compliance with the tank and nontank VRP requirements, including any approved APC, in accordance with 33 C.F.R. §§ 155.1025 and 155.5021.  COTPs can verify whether a vessel has an approved VRP by reviewing Advance Notice of Arrivals and/or automated identification system (AIS) data and comparing it with the VRP status available through VRP Express.  Failure for a tank or nontank vessel to obtain a valid GSA before operating in or transiting a specific COTP zone when transiting to or from a port or place subject to the jurisdiction of the United States is a violation of 33 C.F.R. §§ 155.1030 and 155.5030.  If the COTP determines a tank or nontank vessel is operating without an approved VRP and/or APC within the COTP's zone, the COTP should take appropriate enforcement action in accordance with the Notice of Violation User's Guide, COMDTINST M5582.1A, and Civil Penalty Procedures and Administration, COMDTINST 16200.3A. NOVs will typically be issued to tank and nontank vessels for failure to comply with the requirements of 33 C.F.R. §§ 155.1025 and 155.5021, respectively. 
       
       10. QUESTIONS.  All CG-MER Policy Letters, as well as other guidance documents, are posted to the CG-MER portal page.  Questions or comments regarding this policy can be directed to the Office of Marine Environmental Response Policy (MER) via vrp@uscg.mil.  
                                                                               
                                       #

 Enclosure	(1) Requirements for Nontank Vessel APC Requests  
       (2) Requirements for Tank Vessel APC Requests  
       (3) APC Request Checklists 
 
 Distribution: 	COMDT (CG-CVC)
            NSFCC 
            LANTAREA (LANT-3/LANT-5)
            PACAREA (PAC-3/PAC-5)
            Districts (dp and dr)
            Sectors and Marine Safety Units
		Industry Stakeholders