Enclosure 1  -  Requirements for Nontank Vessel Alternative Planning Criteria (APC) Requests

The Coast Guard must evaluate each APC request. The information contained in this Enclosure clarifies in further detail the information, listed under 33 C.F.R. § 155.5067(b), that vessel owners and operators or APC administrators should include to aid in the evaluation of their APC.   
Vessel owners and operators (VO/Os) or APC Administrators that submit an APC request for nontank vessels should  providethe following information: 

1.  Reason(s) and supporting information for the APC request.  APC requests shall identify vessel risks and summarize associated national planning criteria response resource requirements along with the  following information:

   a. Worst Case Discharge (WCD) volume(s) and oil group(s).

                 i.             If the APC covers one vessel, provide WCD for fuel or secondary cargo, whichever is greater, to include volume and group of oil.
            
                 ii.             If the APC covers two or more vessels of the same class, provide the greatest WCD volume.
            
                 iii.             If the APC covers vessels from several classes, provide the greatest WCD volume from each group of oil (e.g., largest container ship volume of group IV oil, largest fish processor volume of group I oil, etc).
            
   b. Vessel operating location(s).  APC requests shall provide trackline information for vessels covered by the APC.  Vessels bound to or departing from a U.S. port or place and not engaged in innocent passage that operate within 200nm of the U.S. baseline are required to meet applicable NPC requirements as follows:

                 i.             For NTVs carrying only non-persistent oils for fuel or secondary cargo (i.e., Group I), contracted NPC response resources are required for operating environments where vessel tracklines come within 12nm from the U.S. boundary line.
            
                 ii.             For NTVs carrying persistent oils as fuel or secondary cargo (i.e., Groups II through IV), contracts are required for tracklines within 200nm of the U.S. baseline.

                 iii.             Required response equipment.  Based on paragraphs 1.a. and 1.b. above, requests shall provide, as applicable, the additional response resources needed to meet NPC requirements for each class of vessel covered by the APC (i.e., per 33 C.F.R. Part 155, Appendix B).

2.  Identification of regulations necessitating the APC request.  APC requests shall detail all the NPC requirements that cannot be met, typically a limited amount of response resources, increased response time or lack of other required services, and then provide a gap analysis.  The gaps in response resources should be addressed by providing a reasonable cascade plan with the understanding that there will still be gaps in planning criteria for response times. 

      a.       Response capability shortfalls.  APC requests shall document response resources under contract or other approved means; provide a comparison to all national planning criteria requirements; and list shortfalls, as applicable.  An APC request shall also provide analysis of a possible response to remote on-scene locations and/or outside of available response resource coverage, as applicable.  The analysis shall include passes, sensitive areas, and other areas of interest identified within applicable Area Contingency Plans.  Pre-planning considerations for seasonal response limitations (e.g., capability to ensure maximum response during spring/summer cleanup windows) must be included in the analysis.  

3.  Alternative response approach.  APC requests shall describe strategies, tactics, and/or procedures that will provide equivalent capability to address NPC shortfalls and gaps.  Examples might include:

   a. Providing less equipment but providing a quicker response time.  An APC request might provide details for pre-staging tailored response equipment on the vessel(s) to respond immediately and develop an associated crew training program.

   b. If not able to meet the on-scene arrival timeframe, provide enhanced protection and shoreline cleanup pre-planning and mobilization capability.  An APC request might provide tailored protection resources for pre-identified sensitive areas, with contracts to facilitate mobilization of these assets no later than the on-water recovery planning standard timeframe for inland/nearshore.

   c. For areas with limited dedicated assets, provide an enhanced response vessel tracking system for non-dedicated assets.  An APC request might provide details for a vessel of opportunity training program with a tracking system, to ensure an adequate number of vessels of opportunity are continually available in the region to mount a response (e.g., ~25 vessels of opportunity monitored to ensure a minimum of 5 are available at any one time).

The Coast Guard acknowledges that some solutions available in some operating areas may not be possible in others, especially remote areas.  In these instances, where response coverage gaps exist, the Coast Guard considers an APC a temporary solution until either the gaps are closed or are formally accepted by regional Area Committees within the Area Contingency Plan as "permanent" when coupled with adequate prevention and mitigation strategies.  In addition, a strategic plan, as defined in paragraph 7.b. of the policy letter, is required to manage solutions for closing the identified gaps and moving closer to compliance with the NPC. 

4.  Prevention and mitigation strategies that ensure low risk of spills.  If applicable, APC requests shall detail prevention and mitigation strategies to ensure lower risk of spills while gap reduction strategies are being developed and implemented.  Examples might include:

   a. Routing procedures.  Providing detailed vessel routing procedures to minimize tracklines coming within areas without response resource coverage meeting the NPC and establishing a Tracking and Monitoring System to ensure compliance.
            
                 i.             Tracking and Monitoring Systems require the use of real time vessel position monitoring; effective watchstanding management practices; this includes monitoring: data latency; refresh rate and trend analysis.  Other best practices include notification of vessels and the local COTP upon identification of deviations and/or anomalies; routing schemes; backup for system disruption; and response activation protocols.  The Coast Guard expects Tracking and Monitoring System proposals to have 24/7 capability that verifies compliance with routing scheme(s).

   b. Enhanced onboard emergency procedures.  Maintaining onboard equipment, procedures and training to transfer fuel oil from a breached fuel tank to other tanks; thereby, reducing the amount of oil that could potentially be lost.

   c. Enhanced lightering.  Providing onboard or in region lightering capability, procedures and training to expedite lightering of fuel oil to vessels of opportunity or onshore.

   d. Providing emergency towing capability.  Provide details for monitoring vessel movement, notification of potential emergencies, and dedicated tug capability, which could be dispatched to arrive on-scene within the timeframe needed to prevent the vessel from grounding.

   e. Prioritize and tailor capability for specific operating environments.  An APC request might provide for response capability in a more environmentally sensitive area, deploying limited assets to protect the most sensitive areas, while temporarily gapping the capability for another less sensitive area.  For example, initially protecting a salmon stream while cascading in resources for other less sensitive but affected areas.

5.  Environmental and economic impact assessment of the effects.  This section should identify and  address any effects that the APC may have  on the environment and economy via an environmental and/or economic impact assessment.  If applicable, APC requests shall detail why the environmental and economic impacts make the national planning criteria inappropriate and how the proposed APC is more appropriate for the identified location(s) at the time of submission.

   a. Environmental.  The environmental impact should discuss how environmental challenges impact capabilities in meeting all national planning criteria requirements.  As applicable, APC requests shall provide an environmental review that discusses how environmental factors prevent compliance with the national planning criteria and the potential environmental impacts that may result from not meeting NPC requirements.  
            
                 i.             This concise, clear, and to the point, analysis should be supported by any available studies or credible data and should review any and all environmental impacts of not meeting NPC requirements as well as any and all impacts associated with the new course of action.  The information provided should include all relevant water resource impacts to include environmentally sensitive areas (i.e., when on-water tactics are no longer an option and priorities become shoreline assessments, cleanup operations, and protection from additional downstream oiling).  
            
                 ii.             The analysis for environmentally sensitive areas shall include discussions of oil tracking capability; estimates for volumes of oil potentially impacting the shoreline; proposed protection of identified sensitive areas, and other areas of interest identified within applicable Area Contingency Plans.

   b. Economic.  The economic impact is considered to be the cost incurred to fully comply with the national planning criteria requirements.  As applicable, an APC request shall include a detailed cost analysis explaining the financial burden of full compliance and how the APC is a more appropriate and cost effective option for the identified area(s) at time of submission.  The APC request shall also include a detailed strategic plan, as defined in paragraph 7 of the Policy Letter, which includes strategies and milestones to move toward full compliance with the national planning criteria or permanent equivalences via Area Committees.

                 i.             The strategic plan shall discuss how the APC holder will enhance and invest in additional response resource capability and work towards closing response resource coverage gaps during the time period  of the approved APC.
            
                 ii.             The strategies for closing gaps or seeking an equivalency via the regional Area Committees shall be developed in consultation with the local COTP, Qualified Individuals, Spill Management Teams, and response resource providers (i.e., OSROs) that are listed in the VRP(s) and APC.
            
                 iii.             In the absence of a long-term or permanent equivalency approved by a regional Area Committee, the Coast Guard expects to see documented progress and dedicated investment in response capabilities for the duration of the approved APC. Degree of investment should focus on tangible improvements in required response resource equipment for identified operating areas.  If renewal of an APC is requested, the Coast Guard will consider the degree of investment in response resource capabilities and milestones achieved during the time period of the previous APC. .


