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Emergency Response Planning Blogs | USCG
For certain industrial facilities and vessels that store oil, contracts must be established with Oil Spill Removal Organizations (OSROs) in order to provide the personnel and equipment necessary to respond to an oil spill. On March 31, 2016, The US Coast Guard’s National Strike Force Coordination Center released the new 2016 Oil Spill Removal Organization (OSRO) Guidelines.
“This revision to the U.S. Coast Guard’s Oil Spill Removal Organization (OSRO) Classification Guidelines places the Coast Guard, the oil-related industry, and the public on the best possible footing for response to discharges and substantial threats.” - U.S. Coast Guard
According to the press release, a concerted and collaborative effort among the Office of Marine Environmental Response Policy (CG-MER), the National Strike Force Coordination Center (NSFCC), and private/public sector subject matter experts updated the guidelines to address current risks posed by heavy and Group V oils. Most notably, this update includes a classification scheme for non-floating oils that possess the potential to sink once discharged into the environment.
If a company does not own the necessary quantities of specialized response equipment, or requires additional equipment and personnel to control a worst case discharge spill scenario, U.S. Coast Guard certified OSROs can provide equipment and additional personnel.
Updates to OSRO Guidelines
In an effort to solidify the Coast Guard’s marine environmental response mission and unified approach to oil spill preparedness and response, updates within the OSRO Guidelines include:
New annual review requirements for the OSRO Guidelines to be conducted by the NSFCC and CG-MER. This review will take place at the beginning of each calendar year.
Revised and edited portions of each classification program to either clarify previous language, add context, or remove redundant language.
Created a new classification in the OSRO Guidelines: Non Floating Oils classification. The Non Floating Oil classification meets the regulatory requirements of Group V oils in accordance with the criteria set forth by 33 CFR § 154.1047 and 33 CFR § 155.1052 and the inherent risk of other heavy oil types that may submerge or sink.
Created the Non Floating Oil application and procedures to meticulously and qualitatively assess Non Floating Oil classifications. The application contains pertinent information for owners and operators to appropriately determine what Non Floating Oil classified OSROs would be best suited for their operations.
Effective on November 30, 2016, all previous Group V OSRO ‘listings’ will be removed from the Response Resource Inventory. Furthermore, all Facility and Vessel response plan holders who may handle, store, or transport Group V oils shall only list Non Floating Oil classified OSROs or provide the required information in accordance with the regulatory Group V Response Plan Development and Evaluation Criteria. OSROs desiring to apply for the Non Floating Oil classification can do so now and refer to Chapter 6 in the Guidelines.
The OSRO classification process was developed by the U.S. Coast Guard (USCG) to provide guidelines to evaluate an OSRO’s potential to respond to oil spills. Although participation in the OSRO classification is voluntary, real-world incidents have shown that this program directly contributes to aggressive, rapid and well-coordinated responses. While an OSRO classification does not guarantee performance, nor does the use of a Coast Guard-classified OSRO relieve plan holders of their responsibility to ensure the adequacy of response resources, the success of this program has been proven as a best practice.
Tags: USCG, Regulatory Compliance
Compliance Tips for Industrial Emergency Management Exercise Programs
The National Preparedness for Response Exercise Program (PREP) is a unified federal effort established to provide a consistent set of guidelines that satisfies the exercise requirements of the U.S. Coast Guard (USCG), the Environmental Protection Agency (EPA), the Pipeline and Hazardous Materials Safety Administration, and the Bureau of Safety and Environmental Enforcement in an economically feasible manner.
The intent is to create a workable exercise program which meets section 4202(a) of the Oil Pollution Act of 1990 amending section 311(j) of the Federal Water Pollution 6 Control Act, by adding a new subsection for spill response preparedness (33 USC 1321(j)(7)). Facilities and vessels required to adhere to these regulations must establish a compliant exercise program to ensure an adequate response to an oil spill.
Plan holders may develop a customized exercise program based on site operations or utilize the PREP exercise guidelines. The program must comply with the appropriate Federal oversight agency and regulatory exercise requirements. In order to maintain PREP compliance, all core components of a response plan must be exercised every three years. However, it is not required to conduct a major exercise every three years. PREP compliance can be obtained by exercising individual components within in a three-year cycle. The exercises must incorporate the following core PREP components:
Ability to operate within the response management system described in the Plan
Discharge prevention/control
Containment of discharge
Recovery of spilled material
Disposal of recovered material and contaminated debris
Exercises should be designed to test the aforementioned response plan components for effectiveness and accuracy. In order to satisfy the PREP requirement, plan holders must be able to document all operational and support aspects of a response, and provide detailed records of decisions and actions taken. Exercise requirements vary depending on operations. Vessels, unmanned barges, and certain identified facilities each have specific exercise requirements. Generally, the types of exercises required include:
1. Qualified Individual (QI) notification exercises: The purpose of the QI notification exercise is to ensure that the QI (or designee) listed in the response plan will respond as expected and carry out his or her required duties in a spill response emergency. Contact by telephone or electronic messaging must be made with the QI, and confirmation must be received from him or her to satisfy the requirements of this exercise. At least once per year, the QI notification exercise should be conducted during non-business hours.
2. Emergency procedures exercises: The purpose of the emergency procedures exercises is to ensure that personnel are capable of conducting the initial actions necessary to mitigate the effects of a spill. Specific regulations apply to vessels and unmanned barges. USCG and EPA Marine Transportation-Related Facilities have the option of conducting emergency procedures exercises. For the purpose of the PREP, emergency procedures for facilities are the procedures established to mitigate or prevent any discharge or a substantial discharge threat resulting from facility operational activities associated with cargo transfers. An unannounced emergency procedures exercise would satisfy the facility's requirement for the annual unannounced exercise.
3. Equipment deployment exercises: The purpose of equipment deployment exercises is to ensure response equipment is appropriate for the operating environment and that operating personnel are trained in its deployment and operation. It is not necessary to deploy every piece and type of equipment as long as all equipment is included in a periodic inspection and maintenance program. The inspection and maintenance program should ensure that the equipment remains in good working order.
4. Spill Management Team (SMT) tabletop exercises: At least one SMT Tabletop Exercises in a triennial cycle should involve a worst-case discharge scenario. If a response plan lists different types of SMTs for varying spill sizes (ex, a local SMT for small spills, a regional team for larger spills, and a national team for major spills), each team identified should be required to conduct an annual SMT tabletop exercise.
Tags: USCG, PHMSA, OPA 90, Training and Exercises
Managing Response Plans for Multiple Regulatory Agencies
The challenge of managing and ensuring compliant response plans for multiple facilities and multiple regulatory agencies is daunting. When audits reveal planning gaps, unless amended, enforcement mandates and costly non-compliance fines may result from the lack of an implemented, thorough, or effective regulatory compliance programs. By utilizing an enterprise-wide template approach to response plans, companies can satisfy multiple regulatory requirements through a cohesive, yet site-specific standardization of best practices.
In order for emergency plans to be timely, effective, and compliant, site-specific facility information and operational hazards must be addressed and included in a template plan. Off-the-shelf, generic response plan templates will not address every aspect required of an emergency plan. Utilizing generic templates often results in incomplete, ineffective, and non-regulatory compliant plans.
If templates are connected to a web-based database, site-specific information can be cross-referenced with regulatory requirements. As facilities are added or modified, operations are revised, or employees are re-assigned, each plan can be conveniently accessed and updated for accuracy and compliance.
The use of a consolidated emergency, or all-hazards response plan can be adapted to comply with multiple regulations. Annexed plans, such as fire pre plans or business continuity plans can be created to provide more specific and comprehensive response procedures. With a comprehensive, web-based response plan template, emergency managers can:
The planning template must incorporate all local, state and federal regulations. The following questions may assist companies in determining site-specific information requirements for developing an emergency plan template.
1. How will the emergency be reported and response initiated?
Create notification procedures. Emergency notifications may include 911, National Response Center, and internal and/or external response teams
Identify alarms and how they will be activated. Specific alarm signals may signal employee evacuation or shelter in place. Test alarms to confirm they are in proper working condition
Ensure employees are trained in immediate response actions, as described in plan
Identify emergency classification levels to ensure appropriate response actions and resources
2. Who will be in charge of the Incident and who will conduct additional response duties?
Create Emergency Management Team organizational chart and activation procedures
3. What threats affect the facility or employees?
Create response procedures for each identified threat
Create a process for incident documentation
Utilize appropriate ICS Form(s)
4. What incidents or classification level require evacuation/shelter in place
Create multiple evacuation routes
Determine criteria as to whether evacuation goes beyond facility borders
Identify the muster point(s) and head count procedures
5. How are response actions sustained?
Identify command post locations and equipment requirements
Identify response resources and equipment (both internal and external)
Create communications checklist and identify communications equipment available
6. What is done after the incident is secured?
Create checklist for demobilization guidelines
Perform a post-incident review and debriefing
Identify “lessons learned”, assign action items, and update response plan accordingly
In 1996, the National Response Team published the Integrated Contingency Plan (ICP) Guidance in an effort to provide companies with the means to comply with multiple federal planning requirements required by various regulatory agencies. The ICP, based on the National Incident Management System (NIMS) and the Incident Command System (ICS), was intended to be used by companies to prepare emergency response plans for responding to releases of oil and non-radiological hazardous substances.
An industrial facility may use an ICP to incorporate one or more of the following applicable federal regulations:
Oil Pollution Prevention Regulation (SPCC and Facility Response Plan Requirements), 40 CFR part 112.7(d) and 112.20-.21
Resource Conservation and Recovery Act Contingency Planning Requirements, 40 CFR part 264, Subpart D, 40 CFR part 265, Subpart D, and 40 CFR 279.52.
Risk Management Programs Regulation, 40 CFR part 68
Bureau of Safety and Environmental Enforcement Facility Response Plan Regulation, 30 CFR part 254
Department of Transportation/Pipeline and Hazardous Materials Safety Administration:
PHMSA Pipeline Response Plan Regulation, 49 CFR part194
U.S. Coast Guard, Facility Response Plan Regulation, 33 CFR part 154, part F
Emergency Action Plan Regulation, 29 CFR 1910.38(a)
OSHA's Process Safety Standard, 29 CFR 1910.119
OSHA's HAZWOPER Regulation, 29 CFR 1910.120
Facilities may also be subject to state emergency response planning requirements that are not included in the National Response Team ICP Guidance. Facilities are encouraged to coordinate development of their own ICP with relevant state and local agencies to ensure compliance with any additional regulatory requirements.
Tags: USCG, PHMSA, DOT, OSHA, Response Plans, EPA, OPA 90, Regulatory Compliance
PREP for Corporate Regulatory Compliance
Industry-specific regulations often require response exercises for compliance. The National Preparedness for Response Exercise Program (PREP) is designed to facilitate the periodic testing of oil spill response plans for certain vessels and facilities, and provide companies an economically feasible mechanism for exercise compliance.
This unified federal effort provides a consistent set of guidelines that satisfies the exercise requirements of the U.S. Coast Guard (USCG), the Environmental Protection Agency (EPA), the Pipeline Hazardous Material Safety Administration (PHMSA) , and the Bureau of Safety and Environmental Enforcement (BSSE). Completion and documentation of the PREP exercises satisfies all OPA 90 mandated federal oil pollution response exercise requirements.
Exercises must be designed to test responder competencies, and response plan components for effectiveness and accuracy. In preparation for these exercises, companies should develop exercise-planning documents and participant packages that contain exercise objectives, scenarios, ground rules, and in some cases, simulated injects. Through exercises, responders gain an understanding of the site-specific Emergency Response Plan framework. Exercises provide a mechanism to test participants’ knowledge and understanding of how to mobilize an appropriate response, execute communications and decision-making processes, and effectively manage a worst-case spill response. Effectively planned and executed exercises typically result in improved communication and multi-agency response capabilities in the event of an actual spill.
Common exercise objectives include, but are not limited to:
Practice application of National Incident Management System (NIMS) and the Incident Command System (ICS)
Improve understanding of the Emergency Response Team and Incident Management Team organizations.
Improve understanding of the internal and external response capabilities, associated responsibilities, and expectations of the company.
Practice documenting and communicating response actions, management decision, and tracking of resources, using standardized Incident Command System (ICS) forms and the Oil Spill Response Plan.
The following 15 PREP components must be exercised during a three years period in order to fulfill PREP requirements:
1. Notifications: Test the notification procedures identified in the Area Contingency Plan (ACP) and the Spill Response Plan.
2. Staff mobilization: Demonstrate the ability to assemble the spill response organization identified in the ACP and the Spill Response Plan.
3. Operate within response management system. Including:
Unified Command: Demonstrate the ability of the spill response organization to work within a unified command.
Response management system: Demonstrate the ability of the response organization to operate within the framework of the response management system identified in their respective plans.
4. Source control: Demonstrate the ability of the spill response organization to control and stop the discharge at the source.
5. Assessment: Demonstrate the ability of the spill response organization to provide initial assessment of the discharge and provide continuing assessments of the effectiveness of the tactical operations.
6. Containment: Demonstrate the ability of the spill response organization to contain the discharge at the source or in various locations for recovery operations.
7. Recovery: Demonstrate the ability of the spill response organization to recover, mitigate, and remove the discharged product (includes mitigation and removal activities).
8. Protection: Demonstrate the ability of the spill response organization to protect the environmentally and economically sensitive areas identified in the ACP and the respective industry response plan.
9. Disposal: Demonstrate the ability of the spill response organization to dispose of the recovered material and contaminated debris.
10. Communications: Demonstrate the ability to establish an effective communications system for the spill response organization.
11. Transportation: Demonstrate the ability to establish effective multi-mode transportation both for execution of the discharge and support functions.
12. Personnel support: Demonstrate the ability to provide the necessary logistical support of all personnel associated with response.
13. Equipment maintenance and support: Demonstrate the ability to maintain and support all equipment associated with the response.
14. Procurement: Demonstrate the ability to establish an effective procurement system.
15. Documentation: Demonstrate the ability of the spill response organization to document all operational and support aspects of the response and provide detailed records of decisions and actions taken.
For a free download on "TIPS on CONDUCTING an EFFECTIVE EXERCISE", click the image below:
Tags: USCG, PHMSA, EPA, Training and Exercises, Safety
Regulatory Compliance Management and the Price of Non-Compliance
The increasing number of stringent regulatory compliance standards compounds the complexity of industrial operations. Most companies believe they have the regulatory compliance component of their business under control. However, agencies such as OSHA, EPA, and DOT, continue to inspect and fine companies for non-compliance for a variety of infractions.
A bill put forth to Congress entitled “Providing Assistance with the Paperwork from Excessive Regulations Act of 2012” was referred to the Committee on Oversight and Government Reform and the Committee on Small Business. While the bill is aimed at small businesses, the title highlights the “excessive” number of regulations that may be applicable to one facility.
If government regulations are applicable to operations, companies need to prioritize compliance in order to minimize financial burdens resulting from fines, negative public perceptions, and potential government mandated shutdown of operations. Every month, audits and enforcement mandates are issued from various federal and state agencies that oversee industrial facilities. Costly non-compliance fines continually result from the lack of an implemented, thorough, or effective regulatory compliance programs.
Below are examples of the price of non-compliance for the first eight months of 2012. The list is comprised of a wide array of companies from various regulatory agencies (dates are by citation, not occurrence).
EPA: Collected a penalty of $25,347 from an oil company in Pennsylvania for alleged violations of oil spill prevention regulations at an oil storage facility
OSHA: Proposed penalties of $148,000 in fines to a chemical company in Nebraska for 25 safety violations, 14 of which relate directly to OSHA's standard regulating the process safety management of highly hazardous chemicals.
DOT: The U.S. Department of Transportation announced it has resolved a record number of enforcement cases against pipeline operators over the last three years
OSHA: Cited chemical company $ 139,000 for eight repeat and 13 serious safety and health violations at its Delaware facility. Proposed penalties resulted from an inspection that was initiated as part of OSHA's Site-Specific Targeting Program for industries with high injury and illness rates.
EPA: Handed down a $1.2 million civil penalty to a power company for significant violations of the Clean Water Act, Chemical Bulk Storage Regulations, and Navigation Laws. A transformer explosion resulted in thousands of gallons of petroleum entering New York’s Hudson River.
OSHA: Cited an Atlanta based company for three repeat, three serious, and two other-than-serious safety and health violations at one of its plastics manufacturing facility. The proposed penalties totaled $71,000.
PHMSA: A fine of $251,170 was given to an energy company for serious violations regarding a pump/compressor related equipment failure.
EPA: An Oregon chemical manufacturer failed to report the use of toxic chemicals at its facility. The violation of the Community Right-To-Know laws resulted in a penalty of $58,200.
EPA: According to a consent agreement, a frozen foods company will pay over $84,000 to settle hazardous chemical reporting violations at one of its facility.
OSHA: Penalties totaling $199,800 were presented to a vinyl manufacturer for a total of 30 safety and health violations; including three repeat violations for failing to properly ground electrical equipment and a lack of machine guarding.
EPA: A TSCA complaint resulted in a proposed penalty of $202,779. The complaint alleged that that the company had violated the 2006 IUR rule for 13 chemical substances.
USCG: Charged an international shipping company $1 million in criminal fines, served probationary status, and required to pay $300,000 to the Department of Wildlife and Fisheries after the Coast Guard inspection revealed undocumented internal transfers and discharges of oily waste into the ocean.
PHMSA: Proposed a record $3,699,200 in fines to one company. The agency listed 24 violations of hazardous liquid pipeline regulations, including failure to fix corrosion problems in the damaged pipe joint discovered 10 years prior.
PHMSA: Violations of federal pipeline safety regulations resulted in fines totaling more than $2.4 million for one company. Two employees were killed when pipeline repairs caused leaking crude oil to ignite.
EPA: Fined an oil company $15,052 for failing to maintain and fully implement an oil spill prevention plan (SPCC). Negligence contributed to a release of approximately 1,500 gallons of used motor oil from a tanker truck at one facility. As part of the agreement, the company will spend $10,575 to upgrade equipment.
OSHA: Cited a chemical company for 14 safety and health violations following an inspection. The company faces proposed penalties of $104,000
Effective technology can be inexpensively utilized to monitor continually evolving regulatory requirements. While some companies may use Excel spreadsheets to manage these requirements, this approach is typically burdensome and ineffective. As companies grow and operations grow, spreadsheets can be overwhelming and time consuming. Operators should consider utilizing database technology to ensure enterprise-wide compliance on multiple government agency fronts.
Database Technology -
Each applicable regulatory requirement can be hyperlinked to associated site-specific information for each facility.
A database will minimize task repetition generated when multiple agencies have regulations that are related to the same subject matter.
Updating evolving regulatory information can be effectively managed across multiple facilities with the use of a central database.
The ability to search a database for key words and phrases associated with regulations will minimize maintenance time.
Compliance Consultations - Identify and utilize corporate resources or outsource compliance expertise to minimize the uncertainty of evolving regulations.
Facility-Specific Regulations - Identify mandatory operational and submission requirements for each facility associated with each regulatory agency.
Tasking - Assign compliance tasks, frequencies, due dates, persons responsible, and document completion actions.
Identify Best Practices - Apply best practices and potential mitigation measures related to compliance.
Regulatory non-compliance has proven to be expensive, time consuming, and potentially dangerous to company employees and the surrounding communities. An effective compliance management process can result in an efficient and integrated program that optimizes the efforts of company stakeholders, and improves compliance.
Tags: USCG, PHMSA, OSHA, EPA, Regulatory Compliance, FEMA