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The objectives are: ' •§
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• An overview of the Oil Pollution Act of 1990. en
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• Anticipated Revisions to the National Contingency Plan. ^
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• Basic Technical Issues associated with Inland Oil Spills. ^.
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• Oil Spill Prevention.
• Clean-up and Treatment Technologies.
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• Role of Public Agencies Responding to Inland Spills. s
• Monitoring Requirements.
After completing the course, students will be more knowledgeable about the
fundamentals of oil spill response; collection of information concerning spill
conditions; interpretation and use of data; and response actions for inland oil spills.
TJ
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U.S. ENVIRONMENTAL PROTECTION AGENCY
Office of Emergency and Remedial Response
Environmental Response Team
U.S. Environmental Protection Agency
Region 5, Library '?L-12J)
77 West Jackson Boulevard, 12th Floor
cncn/i ocnn
-------
FOREWORD
This manual is for reference use of students enrolled in scheduled training courses of the
U.S. Environmental Protection Agency. While it will be useful to anyone who needs
information on the subjects covered, it will have its greatest value as an adjunct to classroom
presentations involving give and take discussions among the students and the instructional
staff.
This manual has been developed with a goal of providing the best available current
information, individual instructors may provide additional material to cover special aspects
of their presentations.
Due to the limited availability of the manual, it should not be cited in bibliographies or other
publications.
References to products and manufacturers are for illustration only; they do not imply
endorsement by the U.S. Environmental Protection Agency.
Constructive suggestions for the improvement in the coverage, content and format of the
manual are welcome.
-------
TABLE OF CONTENTS
ERT'S 40 HOUR
INLAND OIL SPILLS (165.18)
SECTION
1
6
7
PAGE
PART I Introduction 1
PART II Glossary 17
PART I Oil Pollution Act of 1990 1
PART II Rules and Regulations
(Federal Register) 99
PART III Rules and Regulations
40 CFR 112 Oil Pollution Prevention 187
PART I Documenting an Oil Spill 1
APPENDIX I Oil Spill Documentation 9
PART II Oil Cleanup Contractors 15
PART III Oil Spill Cleanup Cooperatives 21
PART I Properties of Oil that Affect Recovery 1
PART II Movement of Oil on Water 11
PART III Movement of Oil on Water 17
PART I Containment and Recovery of Oil on Land 1
PART II Containment and Recovery of Oil in Ice and Snow 17
PART III Natural Resource Damage Assessment (NRDA) 25
PART IV Shoreline Protection & Restoration 31
APPENDIX I Shoreline Cleanup Techniques 43
APPENDIX II Impacts Associated with Cleanup Techniques 47
Preventing Oil Spills 1
PART I Response Organization 1
PART II Reporting Requirements 7
APPENDIX I Reporting Oil Spills 21
APPENDIX II FWPCA/MARPOL Annex I Applicability 29
APPENDIX III Part I - Memorandum of Understanding 31
APPENDIX III Part II - Memorandum of Understanding 33
APPENDIX III Part III - Memorandum of Understanding 36
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SECTION
8
9
10
11
PAGE
PART I Small Boat Handling 1
PART II Training Program for the Response Team 7
Containment of Oil on Water 1
PART I Physical and Chemical Treatment of Oil 1
APPENDIX I Foams for Control of Hazardous Chemical Vapors 7
APPENDIX II Dispersants (wetting agents) as Fire Suppression and
Prevention Agents 9
APPENDIX III National Contingent Plan Product Schedule 11
PART II Debris Disposal 25
PART I Containment and Recovery of Oil on Groundwater 1
PART II Oil Spills in the Environment 21
APPENDIX I Biological Impacts 47
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SECTION 1
PARTI
INTRODUCTION
The Inland Oil Spill Training course was developed to provide the OSCs with a basic knowledge of
the effects of spilled oil on the environment; strategies used for cleanup of spilled oil/ and an
overview of the Oil Pollution Act of 1990. In order to understand the magnitude of the oil spill
problem, some past spill statistics can be reviewed (see TABLE 1 and 2). Spills can be categorized
by their frequency, location, cause or by types of oil spilled.
In 1985 and 1986, 12,802 spills occurred, mostly occurring inland. The highest volume of oil
spilled at one time also occurred inland.
The most commonly listed causes of these spills were equipment failure (i.e., pipeline/tank rupture
and leak) and human error (see TABLE 3).
Products spilled most often were crude oil and diesel oil. Products that were spilled in large volume
at one time were crude oil, diesel oil, gasoline and kerosene (see TABLE 4).
These statistics indicate the need for oil spill control training, both inland and offshore.
Annual summaries of spill statistics can be obtained from the Office of the Commandant (G-MTH),
U.S. Coast Guard, 2100 Second St. SW, Washington, DC. 20593 (202/426-0266). As of July
1990, statistics from 1986 are the most current being published by the Federal Government.
5/92 1
This part of the Inland Oil Spill Training course manual was reproduced by permission of The Occupational and Environmental Safety Training
Division of the Texas Engineering Extension Service, The Texas A & M University System.
-------
TABLE 1
U.S. SPILL INCIDENTS AND VOLUMES FOR 1985 AND 1986
General
Areas
Inland
Atlantic
Pacific
Gulf
Great Lakes
Other
TOTAL
# Incidents
1985
1343
1270
1189
1555
27
1609
6993
1986
620
1022
920
1206
158
1836
5762
% of Total Volume
1985
19.2
18.2
17.0
22.2
0.4
23.0
100.0
1986
10.8
17.7
16.0
20.9
2.7
31.9
100.0
% of Total
1985
63.2
10.8
3.2
8.2
0.0
14.6
100.0
1986
18.5
29.1
5.0
22.7
0.2
24.5
100.0
HAZARDOUS/OTHER SUBSTANCES
(pounds)
Inland
Atlantic
Pacific
Gulf
Great Lakes
Other
TOTAL
58
25
16
10
0
164
273
20
8
17
29
7
77
158
21.2
9.2
5.9
3.7
0.0
60.1
100.0
12.7
5.1
10.8
18.4
4.4
48.7
100.0
2.2
0.4
39.4
0.6
0.0
57.4
100.0
64.7
6.5
2.8
8.6
0.8
16.6
100.0
5/92
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TABLE 3
PRODUCTS SPILLED
U.S. OIL SPILL CAUSES
1985 AND 1986
Causes
Human error
Equipment failure/rupture
Intentional discharge
Natural chronic phenomena
Miscellaneous Unknown
RR/highway/air
TOTAL
Total Incidents
1985
1377
2792
210
92
2024
527
7022
1986
2081
1452
248
77
1620
302
5780
% of Total
1985
10.8
19.3
0.4
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68.0
1.3
100.0
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93.9
6.6
1.6
0.0
2.0
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100.0
5/92
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PAST EXPERIENCES IN SPILL RECOVERY
One good way to learn is by doing something, making mistakes and correcting those mistakes.
Unfortunately, this type of learning can be expensive. A second method is to study the mistakes and
successes of others and learn from their experiences. The purpose of this section is to take the
second course of action by studying different types of spills and learning how the cleanup activities
were conducted.
Tampico Maru Spill
The tanker Tampico Maru, carrying 60,000 barrels of marine diesel oil, grounded on March
29, 1957 at the entrance to a small cove on the Pacific Coast of Baja, California. The wreck
blocked three-fourths of the entrance to the cove, trapping most of the oil inside. About one-
third of the cargo was lost when the ship grounded, and the rest was lost over a period of
nine months as the ship broke apart.
An initial survey conducted one month after the wreck revealed almost a 100% mortality rate
in the intertidal zone of the cove and the adjacent shorelines for one-half mile in either
direction. The area was taken over by seaweed three months after the spill and recovered
steadily for a three to four year period, after which it was almost completely recovered.
However, populations of some animals were reported to be considerably reduced seven to
12 years after the spill (North et al., 1965; Mitchell et al., 1970).
Torrey Canyon Spill
The tanker Torrey Canyon grounded about 15 miles off Cornwall, England on March 18,
1967. Some 800,000 barrels of Kuwait crude were spilled, with about one-third lost through
weathering before reaching land (Nelson-Smith, 1970). About 200 miles of British and
French coastline were contaminated.
Mortalities from the oil were not only due to mechanical causes but also to highly toxic
detergents used to remove oil from intertidal surfaces. Where detergents were not used,
some plants and animals survived the spill. Seaweeds were less affected by the spill and
cleaning operations and covered the rocky shores within two to three months. Animal
recovery began almost immediately and was almost complete after two years. Birds,
however, were seriously affected. Estimates of mortality ranged between 10,000 and
100,000 birds, mostly auks (Ranwell, 1968).
Santa Barbara Spill
On January 29, 1969, an oil well in the Santa Barbara Channel, California, blew out and
released an estimated 30,000 - 50,000 barrels of oil. Most of the oil was released during the
first ten days. The oil weathered before reaching shore and the biological effects were
5/92 6
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mostly mechanical, except for mortalities in the immediate vicinity of the well platform
(Straughan, 1971). Studies following the spill indicate that some intertidal animals and plants
were killed. Birds were seriously affected. Sea lion and elephant seal colonies apparently
suffered no ill effects (Straughan, 1971).
Tank Barge Florida
On September 19, 1969, the tank barge Florida grounded in Buzzards Bay near West
Falmouth, Massachusetts and released about 2,400 barrels of No. 2 fuel oil. Heavy seas and
on-shore winds kept the oil near shore and worked it into the sediments. The initial survey,
three days after the spill, found large piles of dead fish and invertebrates on the shore.
Trawl samples taken near shore indicated that 95 percent of the animal life was killed.
Nearby marshes were contaminated, killing marsh plants. Some oysters and mussels
inhabiting the fringe areas were temporarily tainted. It was reported that after a year and a
half only the most pollution-resistant organisms had resettled in the more heavily
contaminated areas. Less contaminated areas began to recover within a year (Blumer et at.,
1971: Hampson and Sanders, 1969).
Tanker Collision - Golden Gate Bridge
On January 18, 1971 two tankers collided under the Golden Gate Bridge near San Francisco.
About 20,000 barrels of Bunker C oil was spilled, fouling some 50 miles of coastline.
Immediately after the spill, dead shore crabs were seen and barnacles were completely
covered with oil. Up to eight million organisms, mostly barnacles, were smothered by the
oil. By July 1971, the mean number of organisms per square meter had decreased to 21
from an August 1969 mean of 56. Because there was extensive per-spill baseline data over
several years, the decrease could be attributed to the oil. However, the majority of
organisms showed new growth and recruitment which continued through December. The
area began to recover as the oil was eroded from the rock (Chan, 1972). By April 1974, less
than five percent of the oil remained on rocky surfaces as wave action continued its erosive
process. The population of mussels and snails increased 50 percent above the immediate
post-spill population. These large increases may be partly due to the removal of older
animals from the rocks, making more space available for the settlement of young animals.
Populations of the striped shore crab did not recover to pre-spill levels. Many of the crabs
were smothered by the oil, but some of the decrease may have been due to handling by
seashore visitors. Overall, no lingering effects of the oil could be detected by early 1974
(Chan, 1974).
Bay Marchand Spill
The Shell Oil platform blowout at Bay Marchand, Louisiana was a major incident because
of fire, platform damage and the number of personnel and equipment involved. Since the
wind in January was from the north, little oil reached the shoreline. Also, the fire was
allowed to burn until secondary wells could be drilled to plug the burning wells.
5/92
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Lake Champlain Spill
The Lake Champlain spill occurred on March 23, 1971 at a terminal on the frozen shore of
Lake Champlain at Pittsburgh, New York. A pumper began transferring No. 6 fuel oil
from a holding tank to a working tank at 10:30 a.m. Because of the low temperatures and
slow pumping, the transfer was allowed to proceed for the rest of the shift. At 10:30 p.m.
the pumper remembered that the transfer pump was still on. He returned to the terminal and
discovered that approximately 1000 barrels of No. 6 fuel oil had been pumped over the top
of the tank. Oil had spilled down the side of the tank, over the ground, into a drainage
ditch, then into a stream and into Lake Champlain.
The pumper and others from the terminal constructed temporary dikes around the tank and
in the ditch and spread straw over the spilled oil. Unfortunately, most of the oil reached the
ice-covered lake where it melted down through five feet of ice. The oil cooled and remained
trapped under the ice but on top of the water.
The next day the company constructed a temporary steam line down to the lake and added
a number of secondary lines at the end header. Secondary lines were submerged under the
ice and in the oil to make the oil easier to pump. Vacuum trucks were used to remove the
oil from the lake. This proved to be a slow process because of the viscosity of the oil and
the high suction lift.
To prevent oil from spreading under the ice, an open water ditch was constructed around the
spill by sawing and removing blocks of ice. A wooden boom of 4' x 8' sheets of marine
plywood was nailed to railroad ties. The boom was lowered into the ditch. During the
night, the water froze and held the boom in place. Test borings showed that oil did not
migrate past the boom.
Oil was removed from beneath the ice on a 24-hour basis. Straw was used in the drainage
ditch and stream bed to sorb the oil. Oiled straw was handled by pitchfork and placed in
large boxes to be carried up the steep hills to dump trucks (one of the few instances where
the use of straw would be recommended).
Six days after the oil was spilled, the cleanup operation was completed. Although about
1000 barrels of oil were spilled from the tank, about 5000 barrels of oil and water were
removed from the lake for separation. After the spill, the company constructed a system of
dikes to prevent other spills. Drainage from the diked areas was directed to a new oil-water
separator.
Schuylkill River Spill
On June 21, 1972 the largest inland oil spill in history occurred due to flooding conditions
from Hurricane Agnes. Six to eight million gallons of oily sludge was released into the
Schuylkill River from Douglassville, PA to Philadelphia, PA and eventually the Delaware
River. Forty miles of river was directly impacted.
5/92
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Hundreds of Federal/State/Local workers directly and indirectly aided in the cleanup
operations. The peak of the operations involved 500 contract personnel working with over
60 pieces of major heavy equipment. The result of the cleanup was an estimated 350,000
gallons of oil recovered and 13,627 tons of oily material and debris disposed of. By the
conclusion of the operations on September 30, 1972, the cleanup costs were approximately
4.5 million dollars.
Oakland Estuary Spill
The Oakland Estuary Spill cleanup operation was well organized and coordinated through the
Clean Bay Inc. cooperative headquarters near San Francisco. The spill began just before
midnight on January 18, 1973 from three storage tanks which held waste oil. About 4000
barrels of waste oil were released from the tanks into nearby storm drains and into the
estuary. The police suspected vandalism.
The Coast Guard Captain of the Port acted as the on-scene coordinator for the spill. The
Coast Guard first called an oil cleanup contractor to begin work by sandbagging the storm
drain and deploying booms around the pier near the storm drain. During the first day 195
birds were rescued by Coast Guard recruits and the State Department of Fish and Game.
At some time during the first day, it was determined that considerably more oil was spilled
than first estimated. Thirty hours into the spill, the Coast Guard asked Clean Bay, Inc. to
act as principal contractor. Within minutes of the call, the contingency plan was activated
and personnel were called to take assignments.
Within two hours the. communications headquarters was moved to the spill site and cleanup
supervisors began arriving at the scene. Clean Bay began by working two 12-hour shifts and
called for additional staff and equipment as needed.
The cleanup required 30,500 staff hours, 31 major vessels, 95 tanks, 58 small boats, 3
helicopters and about 20,000 feet of boom. Cleanup costs totaled $1.2 million for the 7V4-
day operation. Although 320 oiled birds died from the spill, about 140 oiled birds were
saved.
Details of this spill and the Lake Champlain spill are included in the copies of the reports at
the end of this section. Because the Oakland Estuary spill was well documented, it will be
referred to throughout the course.
Nepco 140 Spill
The tank barge Nepco 140 grounded near the eastern end of Wellesley Island on June 23,
1976, releasing approximately 300,000 gallons of No. 6 oil into the St. Lawrence River.
During the three days that followed, the oil slick extended over 80 miles downstream. In all,
over 300 miles of island and mainland shoreline were contaminated by oil. Included in the
contaminated shorelines were areas of recreational and ecologically unique value. The total
cost of the 16-week cleanup effort exceeded $8 million.
5/92
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During the spill cleanup a number of techniques were tried to remove the heavy bunker oil
from the water, shorelines and marshes. Although special skimmers were used in the initial
spill stages, manual labor provided for most of the spill cleanup. Cleaning of rocks and
other solid objects was done by manually scraping or spraying from high pressure water or
steam systems. One major problem of this spill was finding a location for all of the collected
debris.
Amoco Cadiz Spill
On march 16, 1978 the tanker Amoco Cadiz went aground as a result of mechanical failures
in the rudder hydraulics system. The spill that ensued dumped 220,000 metric tons of
Iranian and Arabian light crude into the area near Portsall, France. Due to rough sea
conditions (6 to 8m waves) that coincided with this incident, lightering operations were made
impossible. The occurrence of the spill within the equinoctial spring tides allowed waves to
reach five meters higher than normal tides. The oil-water mixture, termed chocolate mousse,
that heavily contaminated shores east of the grounding provided a cleanup problem that lasted
for months. Cleanup techniques used covered a wide range of efforts.
Nearly 10,000 persons worked on the cleanup project at its height. Over 200,000 tons of
oil and debris were recovered, although this yielded only 20,000 tons of oil after separation
from water and debris. The remaining oil was either dispersed, evaporated or mixed into
the sea bottom.
Shoreline cleanup was intense. Loaders, bulldozers, graders, mechanical shovels, agriculture
manure tanks, vacuum trucks and skimmers were used on sandy beaches. However, on
pebble beaches and rocky coves, this mechanization could not be used effectively. In these
latter areas manual methods were used (shovels, rakes, baskets, plastic bags). Using high
pressure jets of water proved ineffective in some areas as oil was just pushed from rock to
rock. In some areas, dispersant was mixed with sprayed water (0.2 to 0.5% dispersant) and
oil was removed from the rocks.
Ixtoc I Blow-out
On June 3, 1980 the Ixtoc I, a Petroleos Mexicanos (PEMEX) exploratory well, blew out at
a site about 80 kilometers northwest of Ciudad del Carmen, Mexico and began spilling oil
into the Bahia de Campeche. By late July, the Ixtoc I had become the largest oil spill in
world history, surpassing the 68 million gallons of oil lost by the tanker Amoco Cadiz. The
Ixtoc I spill may prove to be the most expensive oil spill in history as well as the largest.
By December 15, 1980 the Ixtoc I had lost more than 158 million gallons of crude oil. Total
costs including cleanup costs, damage claims, lost oil revenues and equipment may exceed
$590 million.
Although much of the oil was kept offshore by the prevailing ocean currents, dispersion was
aided by the spraying of over 1.5 million U.S. gallons of dispersant. Oil that reached the
shoreline was removed either naturally or by manual labor.
5/92 10
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Alvenus Spill
On July 30, 1984, the British tanker Alvenus ran aground in the Calcasiou Ship Channel
while en route to the Conoco Refinery at Lake Charles, Louisiana. The vessel's hull cracked
in the vicinity of the number 2 forward cargo tanks on port, centerline and starboard. Over
10,500 metric tons of heavy Venezuelan crude were spilled.
The oil impacted 55 miles of coastline and finally moved onshore at Galveston Island, Texas.
It accumulated the heaviest in the middle and western portions of the island. About 80% of
the Galveston seawall was oiled, as were about 90% of the beaches on the west end.
Cleanup of the beaches was accomplished by removal of oiled sand with heavy equipment.
The seawall cleanup used sorbents and hydroblasting to remove oil from the rocks and
seawall.
Shipping channels were not impacted, and almost no oil reached areas inside the barrier
beach, limiting the biological impact of the spill. The estimated cost of cleanup came to $20
million.
Puerto Rican Spill1'2
On October 31, 1984 the tanker Puerto Rican fully laden with lube oil and lube oil additives,
suffered an explosion 12 miles southwest of the Golden Gate Bridge, San Francisco,
California. After an additional series of explosions, the vessel was abandoned and towed
further offshore. On November 3, 1984 during the towing operation, the vessel broke into
two sections, with the stern section sinking and releasing approximately 30,000 bbls of lube
oil. Rough weather prevented response equipment from being dispatched and the decision
to utilize dispersants was made by government officials. Approximately 2,000 gallons of
Corexit 9527 were applied by plane, making this the first spill response application on the
west coast of the U.S.
Although minimal shoreline impact resulted from this spill, approximately 620 birds were
oiled and contractor cleanup costs were estimated at 1.5 million dollars.
Exxon Valdez Spill3
On March 24,1989 just after midnight, the U.S. registered tankship, Exxon Valdez, ran hard
aground on Bligh Reef in Prince William Sound. A catastrophic release of approximately
240,000 barrels of Prudhoe Bay crude oil occurred, polluting one of North America's most
pristine environments. Dispersant use was presented to government agencies for approval
and despite pre-planned application zone designation, dispersant use was allowed on a trial
basis only. Days one to three of the spill were blessed with very calm weather, however,
very little recovery was accomplished. During the early morning hours of March 27, a
strong winter storm buffeted the area and the 240,000 barrel spill was transformed into a
water/oil emulsion, resistant to in-situ burning and dispersal. This transformation
dramatically changed the nature of the spill response.
5/92 11
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The cleanup that followed the spill is still ongoing and is expected to continue into 1991.
Exxon Corporation accepted full responsibility for the cleanup and during the summer of
1989 employed over 11,000 personnel in the cleanup efforts. Extraordinary volumes of
equipment and material were utilized from around the world, yet Exxon never shed the "bad
guy" image.
Cleanup management topics such as waste disposal, state government relations, public affairs,
in-situ burning, dispersant usage and damage assessment were covered in detail rarely seen
in a spill response, yet solutions were infrequently found. At the time of this manual update,
approximately $2 billion (over $8000 per bbl spilt) had been expended by Exxon making this
the most expensive cleanup effort in history.
Brooklyn Underground Oil Spill4
On September 2, 1978 oil was observed in a creek by USCG personnel. Although it
appeared to come from a storm sewer outfall, oil was found to be seeping out from a
bulkhead. Booms and vacuum trucks were deployed to recover the oil.
Test boring in the area revealed oil underground. Sumps and a recovery well were installed
near the sewer outfall. Local investigations for the spill source at bulk oil and gasoline
facilities were inconclusive. As the amount of oil recovered increased, large scale testing
was initiated.
At least 191 test wells were drilled by the government and various oil companies, most by
hollow-stem auger. Most wells were four inches in diameter, using PVC slotted pipe,
capped at ground level to prevent vehicular damage. On the average, three wells were
damaged or destroyed each week.
Data was collected to determine oil layer thickness and shape. The spill was estimated to
cover 52 acres with about 17 million gallons of oily product. Oil and groundwater varied
from seven to over 40 feet below the land surface. Since there were no active public water
wells in the area, pumping out water and oil was not a major problem. Also, the product
did not appear to threaten any populated areas, as most of the entire area was industrial or
commercial property.
Oil recovery at the initial recovery site averaged about 18,000 gallons for several months and
slowly decreased to about 2,000 gallons in May 1979. Subsequent recovery wells were
installed, particularly on oil company property to collect oil. Many systems installed
included groundwater depression pumps to increase the oil recovery rate.
The product appears to have originated from a former refinery. The products may have been
in the ground as much as 30 years and may have included leaded gasoline, kerosene, No. 2
fuel oil, solvents and refinery fuel. Cleanup costs were estimated at $4,000,000.
5/92 12
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Long Island Tank Truck Spill5
On June 12, 1981 a car went out of control on the Long Island Expressway, hit a wall,
crossed three lanes and collided with a tank truck. About 2,500 gallons of No. 6 fuel oil
flowed onto the highway. A local contractor and the New York Sanitation Department
cooperated so that the 3000 gallons left in the tank were off-loaded. Oil on the road was
removed from the highway by using 24-inch neoprene squeegees and vacuum trucks. Oil in
catch basins was recovered using vacuum trucks. Residual oil on the highway was treated
with sawdust which was later removed. Two lanes were reopened in about four hours, and
the third land was reopened within eight hours.
St. Louis Bay Spill6'7
A pipeline metering device ruptured on October 31, 1981 at Superior, Wisconsin. About
94,500 gallons of gasoline leaked into a creek, through a culvert and into a boat skip on St.
Louis Bay. Upon receiving a report of strong gasoline fumes from local citizens, the U.S.
Coast Guard located a large slick and traced its origin back to the boat slip, the culvert and
to the pipeline. Upon checking the metering devices, the pipeline company reported that the
oil had been flowing for about eight hours.
Meanwhile, the USCG deployed 75 meters of boom at the boat slip. The local fire
department requested nearby industries and the railroad to cease operations. The police
closed off a two-block area near the culvert. The electric utility turned off electricity to the
slip area. The oil company hired a local contractor to recover the product within the boom.
Weir types skimmers were used to remove the product into tank trucks; the USCG used fire
boat water jets to disperse the sheen on the bay.
In the creek, an underflow dam was constructed near the pipeline to contain any leaching oil.
A polyethylene-lined liquid containment pit was constructed next to the transfer station to
collect water during a recent flushing operation. Collected water was filtered through
activated charcoal. A sub-contractor was hired to test groundwater by drilling two to three
meter-deep monitoring wells. Wells were checked by hydrocarbon sniffers and by visual
inspection. No gasoline was found. About 25,000 gallons of gasoline were recovered.
Tank Farm Spill8'9'10
A ruptured fuel tank at Wilmington, North Carolina spilled about 2,000,000 gallons of diesel
fuel on January 10 and 11, 1982. Although the oil flowed into the diked containment area,
a network of storm drains and sewer pipes running within the hilly terrain complicated spill
cleanup.
A contractor was hired to clean up the spill. Heavy equipment was used to construct dams
in two nearby drainage ditches. Collected oil was pumped back to the diked enclosure and
into tank trucks. Booms were placed in the river as a precautionary measure.
5/92 13
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Heavy rains caused dams to fail. Oil and water were pumped into railroad tank cars and
taken to an oil/water containment tank. A few days later the containment tank cracked,
respilling oil into a drainage ditch. A dam was constructed in the ditch to contain the oil,
and the oil and water were pumped back into tank cars. By January 26, 4 barges, 50 rail
cars and 90 tank trucks of liquid had been recovered, or about 1,950,000 gallons.
The remaining oil apparently seeped into the ground. On January 19, oil was found at two
sewer pump stations. Sorbent booms and skimmers were deployed to collect oil in pools.
Subsequent investigation of underground pipes and drains found contaminated lines. Sewer
lines were blocked to contain the oil. Monitoring wells were drilled to determine the
direction of oil movement. Wells near the storage tanks failed to collect oil. There was no
estimate of cleanup completion by February 7.
Ruffy Brook and Swamp Spill11
On July 21, 1982 over 540,000 gallons of light crude oil flowed from a ruptured pipeline,
down a hill and into a creek and adjacent swamp in Minnesota. After a local farmer reported
the spill, pipeline workers constructed a series of siphon dams and a sorbent filter fence in
the creek. About 160,000 gallons of oil were recovered from the creek; a small amount
escaped after a rainfall on July 23.
An estimated 300,000 gallons of oil remained in the grassy swamp. Due to the thick
vegetation, manual and mechanical cleanup were not attempted. Instead, the oil was burned.
The burn thinned out the grass, leaving heavy unburned oil residue. The oil, ash and burned
grass were removed by a local contractor. Water samples were taken for hydrocarbons,
heavy metals and pH changes. No changes were noticed. No fish kills of wildlife deaths
were reported.
Sautali Marsh Spill12'13'14
The Sautali Marsh spill occurred on September 2 and 3, 1982 at a refinery on the island of
Guam. Apparently a metal pipeline elbow broke under stress, and about 30,000 gallons of
oil flowed down a ridge and into a marsh. Oil in the marsh drained through a culvert into
the river and harbor. Initially the spill was believed to have come from a navy vessel in the
harbor. The Navy deployed booms, a skimmer, vacuum trucks, sorbent booms and sorbent
pads. They estimated recovering 10,000 gallons. However, the boom skirt was not of
sufficient depth to hold oil during tidal changes. Furthermore, heavy rains helped flush oil
out of the marsh.
When later estimates claimed 500,000 gallons of oil were spilled into the marsh, the USCG
Pacific Strike Team was called in November. The culvert from the marsh was cleared and
modified for draining oil into a collection point. Nine smaller channels were constructed to
aid oil drainage out of the marsh. Due to all the liquid being pumped out of the marsh,
water from adjacent marshes was pumped into the oiled marsh. As of January, about
185,000 gallons of liquid had been recovered, with about 200,000 gallons of oil remaining
5/92 14
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in the marsh. The cleanup required several more months, with oil leaching out of the marsh
throughout the next year.
Ashland Oil Spill15> 16
The Ashland oil spill on January, 1988 near Pittsburgh, Pennsylvania, was one of the largest
inland releases of oil in U.S. history. On that Saturday, January 2nd, at approximately 5:10
p.m., 38,881,841 gallons of No. 2 diesel fuel were released from a collapsing oil storage
tank at the Ashland Oil Company terminal in Floreffe, Pennsylvania. Approximately
750,000 gallons was estimated to have reached the Monongahela River.
Most of the 750,000 gallons of oil that entered the river did so within the first two hours
following the rupture of the tank. Approximately 250 near-by residents were evacuated that
evening. Eight hundred, thirty four thousand people were affected by water-intake closures
on the Monongahela and Ohio Rivers. An estimated water fowl mortality range was from
2,000 to 4,000 ducks, loons, cormorants, and Canada geese.
Efforts to contain and recover oil at this enormous spill included more than 150 people, 11
vacuum trucks, 3 cranes, 10 barges and towboats, dozens of small work boats, and 20,000
feet of river boom. Three USCG and three private helicopters were used for air surveys and
to transport personnel and equipment quickly over long distances. Two of the barges were
self-propelled suction barges. While underway the barge deploys boom to collect oil product,
and simultaneously vacuums the product and stores it in the vessel's 5,000 gallon tank. This
recovery method has been considered the best and most flexible alternative to boom systems
for river spills of this nature. The cleanup operations continued and were monitored by EPA
OSC until EPA's demobilization on February 26, 1988. Clean up efforts resulted in an
estimated 204,600 gallons of recovered oil.
SUMMARY
The spills described represent many different situations, but some conclusions can be reached which
are common to all. In each case, it was necessary to clean up the spill in a manner that was
compatible with the equipment and manpower available at the site. Proven cleanup techniques
worked at each spill. Innovation was necessary to match the unique circumstances of each spill to
the cleanup effort. Weather played a significant part in some cases. Each cleanup effort showed
the necessity of preplanning cleanup activities.
5/92 15
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LITERATURE CITED
1, Marine Casualty Investigation Report, USCG, 9/19/85.
2. Clean Bay's Response to the "Puerto Rican" Spill, October 1985.
3. NRT 30-day report to the President, May 1989.
4. Van der Leeden, F. 1980. The Brooklyn Oil Spill. In: Proc. 1980 National Conference
on Control of Hazardous Material Spill, p. 245-249. Vanderbilt University, Nashville, TN.
5. Oil Spill Intelligence Report. Truck Spill Halts Traffic in New York. IV(24): 1-2.
6. Oil Spill Intelligence Report. 1981. Pipeline Spills Gasoline in Wisconsin. IV(43): 1-2.
7. Oil Spill Intelligence Report. 1981. Cleanup Nears Completion in Wisconsin. IV945): 1-2.
8. Oil Spill Intelligence Report. Ruptured Fuel Tank Leaks Two Million Gallons of Diesel Fuel
in North Carolina. V(7): 2-3.
9. Oil Spill Intelligence Report. 1982. North Carolina Spill Cleanup Continues. V(7): 2-3.
10. Oil Spill Intelligence Report. 1982. Ruptured Minnesota Pipeline Spills 540,000 Gallons.
V(30): 1.
11. Oil Spill Intelligence Report. 1982. No Wildlife Damage Report Following Minnesota
Pipeline Spill. V(31): 2.
12. Oil Spill Intelligence Report. 1982. Ruptured Pipeline Spills Oil on Guam. V(36): 1.
13. Oil Spill Intelligence Report. 1982. Cleanup of Major Pipeline Spill Continues in Guam.
V(49): 1.
14. Oil Spill Intelligence Report. Guam Pipeline Spill Estimated to Total 500,000 Gallons.
VI(3): 1.
15. 1989 Oil Spill Conference. Case Histories. An EPA Perspective 3,881,841 Gallons No. 2
Diesel Fuel (Spilled, Ruptured, Storage Tank).
16. 1989 Oil Spill Conference. Case Histories. Case History and Response Evaluation.
5/92 16
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SECTION 1
PART II
GLOSSARY
ABSORPTION
ADSORPTION
AEROBIC
AEROSOL
AIR OR WATER
STREAMS
ALCOHOLS
ALGA
ALIPHATIC
COMPOUND
ALKANES
Any process by which one substance penetrates the interior of another
substance. In the case of oil spill cleanup, this process applies to the
uptake of oil by capillaries within certain sorbent materials. (See also:
Capillary action.)
The process by which one substance is attracted to and adheres to the
surface of another substance without actually penetrating its internal
structure.
Able to live or grow only where free oxygen is present.
A system in which liquid or solid particles are distributed in a finely
divided state through a gas, usually air. particles within aerosols are
usually less than 1 micron (0.001 mm) in diameter, and are more
uniformly distributed than in a spray.
A method of oil containment where the force of air or water directed
as a stream can be used to divert or contain an oil slick. The method
can be used to flush oil from beneath docks or to adjust floating booms
once they are in place.
A class of organic chemical compounds characterized by the presence
of the hydroxyl (OH: oxygen-hydrogen) group attached to a carbon
atom. Alcohols are important solvents, and are used to a certain extent
in the preparation of chemical dispersants. (See also: Glycols.)
Any of a large group of aquatic plants ranging from tiny one-celled to
large multi-celled organisms.
Any organic compound of hydrogen and carbon characterized by a
linear or branched chain of carbon atoms. Three subgroups of such
compounds are alkanes, alkenes, and alkynes.
A class of hydrocarbons (compounds of hydrogen and carbon)
characterized by branched or unbranched chains of carbon atoms with
attached hydrogen atoms. Alkanes all have the general formula
CnH2n+2, and contain no carbon-carbon double bonds (i.e., they are
saturated). Alkanes are also called paraffins and are major constituents
of natural gas and petroleum. Alkanes containing less than 5 carbon
atoms per molecule ("n" in above formula is less than 5) are usually
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ALKENES
AMBIENT
ANAEROBIC
API GRAVITY
AROMATICS
gases at room temperature (e.g., methane), those having between 5 to
15 carbon atoms are usually liquids, and straight chain alkanes having
more than 15 carbons are solids. Low carbon number alkanes produce
anaesthesia and narcosis stupor; slowed activity at low concentrations
and at high concentrations can cause cell damage and death in a variety
of organisms. Higher carbon number alkanes are not generally toxic
but have been shown to interfere with normal metabolic processes and
communication in some species. (For other common hydrocarbons, see
also: Alkenes, Aromatics and Naphthalenes.)
A class of straight or branched chain hydrocarbons similar to alkenes
but characterized by the presence of carbon atoms united by double
bonds. Alkenes are also called olefins and all have the general formula
CnH2n. alkenes containing 2 to 4 carbon atoms are gases at room
temperature, while those containing 5 or more carbon atoms are usually
liquids. Alkenes are not found in crude oils but are often formed in
large quantities during the cracking (breaking down of large molecules)
of crude oils, and are common in many refined petroleum products such
as gasolines. These hydrocarbons are generally more toxic than alkanes
but less toxic than aromatics. (For other classes of hydrocarbons, see
also: Alkanes, Aromatics and Naphthenes.)
Local or surrounding conditions; primarily used in reference to climatic
conditions at some point in time, e.g., ambient temperature.
A term used to describe a situation or an area characterized by the lack
of oxygen. The term can also be used in reference to organisms such
as some bacteria which can survive and grow in the absence of gaseous
or dissolved oxygen. For example, many marine sediments are
anaerobic below depth of a few centimeters from the surface, and
therefore degradation of oil deposited in such areas in slow and
primarily associated with anaerobic types of micro-organisms.
A scale developed by the American Petroleum Institute to designate an
oil's specific gravity, or the ratio of the weights of equal volumes of oil
and pure water. API gravity is dependent on temperature and
barometric pressure, and is therefore generally measured at 16°C and
one atmosphere pressure. Water with a specific gravity of 1.0 has an
API gravity of 10°. A light crude oil may have an API gravity of 40°.
Oils with low specific gravities have high API gravities and vice versa.
API gravity can be calculated from specific gravity using the following
formula. (See also: Specific gravity.)
API0 = (141.5/Specific Grav. @ 16°C) - 131.5
A class of hydrocarbons characterized by rings containing 6 carbon
atoms. Benzene is the simplest aromatic and most aromatics are
derived from this compound. Aromatics are considered to be the most
immediately toxic hydrocarbons found in oil, and are present in
virtually all crude oils and petroleum products. Many aromatics are
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ASPHALT
BACKSHORE
BARREL
BARRIER or
CONTAINMENT
BARRIER
BENTHOS
BERM
BIODEGRADATION
soluble in water to some extent, thereby increasing their danger to
aquatic organisms. Certain aromatics are considered long-term poisons
and often produce carcinogenic effects. (For other classes of
hydrocarbons, see also: Alkanes, Alkenes and Naphthenes.)
A black or brown hydrocarbon material that ranges in consistency from
a heavy liquid to a solid. The most common source of asphalt is the
residue left after the fractional distillation of crude oils. Asphalt is
primarily used for surfacing roads.
The area of the shoreline above the high tide mark. The backshore is
only inundated with water during exceptionally strong storms or
abnormally high tides accompanied by high winds, and therefore does
not support characteristic intertidal flora and fauna. Granular materials
for the replacement of oil contaminated beach material excavated during
shoreline cleanup programs are frequently taken from backshore areas.
A unit of liquid (volumetric) measure of petroleum and petroleum
products, equal to 35 Imperial gallons or approximately 160 liters. This
measure is used extensively by the petroleum industry. The U.S.
standard barrel is 42 gallons.
With respect to oil spill cleanup, any non-floating structure which is
constructed to contain or divert spilled oil. Barriers are generally
improvised and, unlike booms, are usually left in place until the cleanup
program is complete. Sorbent materials may be used in the barrier
construction to simultaneously recover the spilled oil. Barriers are most
frequently used in streams or ditches too shallow for conventional
floating booms, and are almost always staked downstream of the spill
site.
The plants and animals that live in and on the bottom of a water body.
A low, impermanent, nearly horizontal or landward-sloping beach,
shelf, ledge, or narrow terrace on the back-shore of a beach, formed of
material thrown up and deposited by storm waves; it is generally
bounded on one side or the other by a beach ridge or beach scarp.
Some beaches have no berm, others may have one or several.
The degradation of substances resulting from their use as food energy
sources by certain micro-organisms including bacteria, fungi and yeasts.
The process with respect to oil degradation is extremely slow and
limited to great extent by temperature, nutrients and oxygen availability.
Although more than 100 species of micro-organisms have the ability to
utilize hydrocarbons as an energy source, no single species can degrade
more than 2 or 3 of the many compounds normally found in oil.
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BIOLOGICAL AGENT
BIOLOGICAL
PRODUCTIVITY
BIOREMEDIATION
BIOTA
BOG
BOILING POINT
BOOM or
CONTAINMENT BOOM
BOOM FAILURE
BOTTOMLAND
BRACKISH
BRINE CHANNELS
Micro-organisms (primarily bacteria) added to the water column or soil
to increase the rate of biodegradation of spilled oil. Alternatively,
nutrients added to the water (in the form of fertilization) to increase the
growth and biodegradation capacity of micro-organisms already present.
The rate at which the energy of the sun is transferred to and reflected
in growth and/or abundance of plants and animals. It is a measure of
the biological richness of a population, community or ecosystem, and
is usually expressed as the quantity of carbon stored in tissue per unit
time. Certain environments are characterized by higher biological
productivity than others; for example, marshes and estuaries are
generally more productive than offshore marine waters. The biological
productivity of an area is an important consideration in contingency plan
design and priorities assigned for oil spill cleanup.
A treatment technology that uses biological activity to reduce the
concentration or toxicity of contaminants: materials are added to
contaminated environments to accelerate natural biodegradation.
Animal and plant life characterizing a given region. Flora and fauna,
collectively.
A wet soggy area with little or no drainage.
The temperature at which a liquid begins to boil; specifically, the
temperature at which the vapor pressure of a liquid is equal to the
atmospheric or external pressure. The boiling point of crude oils and
petroleum products may vary from 30 to 550°C but is of little practical
significance in terms of oil spill cleanup. (See also: Flash point.)
A floating mechanical structure which extends above and below the
water surface, and is designed to stop or divert the spread or movement
of an oil slick. Booms are an integral part of virtually all cleanup
programs following oil spills on water.
Failure of a commercial or improvised boom to contain oil due to
excessive winds, waves or currents, or improper deployment. Boom
failure may be manifested in oil underflow, oil splashover, or structural
breakage. (See also: Sheet breakaway; Droplet breakaway.)
Low-lying ground that may be flooded from time to time.
Intermediate in salinity between sea water and fresh water.
Small passages formed in the lower surface of first-year sea ice formed
by the exclusion of saline water or salts during rapid freezing.
Researchers have found that oil under first year ice will migrate through
the brine channels once the spring melting process beings. (See also:
First-year ice.)
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BUBBLE BARRIER
BULK CARRIER
BUNKER "B"
BUNKER "C"
BURNING AGENT
CARBON NUMBER
CATALYST
CHEMICAL
DISPERSION
j^centafnment barrier which takes advantage of the 2-way currents
produced when a rising curtain of bubbles reaches the water surface.
The system has been used with some success in relatively calm harbors
but requires considerable maintenance when the submerged perforated
pipes which are used to produce the bubble curtain become covered
with redistributed bottom silt.
An ocean-going vessel specifically designed to transport large quantities
of a single product such as grain or coal.
A relatively viscous fuel oil (No. 5 fuel) used primarily as a fuel for
marine and industrial boilers.
A very viscous fuel oil (No. 6 fuel) used as a fuel for the marine and
industrial oilers.
Compounds or materials such as gasoline which are used to ignite and
sustain combustion of spilled oil which otherwise will not burn.
Burning agents are generally required to burn weathered oils since
volatile, low flash point hydrocarbons are rapidly lost through
evaporation.
The number of carbon atoms present in a single molecule of a given
hydrocarbon. The physical and chemical properties of hydrocarbons
tend to vary with the number of carbon atoms, and these properties are
frequently described in terms of carbon number ranges for specific
classes of hydrocarbons. For example, alkanes with carbon numbers
from 1 to 4 are gaseous at ordinary temperatures and pressures.
A substance added to a reacting system (e.g., chemical reaction) which
alters the rate of the reaction without itself being consumed. Most
catalysts are used to increase the rate of a reaction. For example, the
metal vanadium is often present in trace amounts in crude oils and acts
as a catalyst to accelerate the rate of chemical oxidation of certain
hydrocarbons as the oil weathers. Catalysts (Silica, alumina, for
example) are also used during the refining of petroleum to increase the
rate at which large hydrocarbon molecules are split into smaller ones
(catalytic cracking).
With respect to oil spills, this term refers to the creation of oil-in-water
emulsions by the use of chemicals made for this purpose. In regard to
shoreline cleanup, chemical dispersion is the process of spraying
chemical dispersant to remove stranded oil from rocky shoreline areas
which are not considered biologically sensitive. Dispersants are usually
sprayed on the contaminated surfaces at low tide and allowed to mix
with the oil through natural wave action on the incoming tide. This
forms an oil-in-water emulsion which is subsequently flushed from the
shoreline with water hoses or through natural wave action.
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"CHOCOLATE
MOUSSE"
CLAM SHELL
CLAY
COAGULATING
AGENT
COBBLE BEACH
COMETRABOLISM
CONTACT PERIOD
CONTAINMENT
CONTINGENCY PLAN
COUNTERMEASURE
CRITICAL VELOCITY
The name given to a water-in-oil emulsion containing 50-80% water.
These emulsions are very stable, have a butter-like consistency, and are
only formed with a relatively viscous oil in the presence of considerable
wave action. (See also: Emulsification; Water-in-oil emulsion.)
A mechanical device mounted at the end of a crane which picks up soil
or mud with a pincer-like movement.
Soil or sediment particles which are less than 0.004 mm (4 microns) in
maximum dimensions. Most clays are produced as a result of the
weathering of coarser rock materials. Clay particles are smaller than
either sand or silt.
Chemical additives applied to oil to form a more cohesive mass.
A beach composed primarily of gravel having a size range from 64 to
256 mm. This type of beach is also referred to as a shingle beach. By
comparison, boulder substrates are greater than 256 mm, while pebble
substrates range in size from 4 to 64 mm.
The process by which compounds in petroleum may be enzymatically
attached by micro-organisms without furnishing carbon for cell growth
and division.
The time required to maximize the efficiency of the sorbent or chemical
agent or the time before plant or animal damage occurs.
The process of preventing the spread of oil beyond the area where it has
been spilled in order to minimize pollution and facilitate recovery.
A plan for action prepared in anticipation of an oil spill. A contingency
plan usually consists of guidelines developed for a specific industrial
facility or an entire region to increase the effectiveness, efficiency and
speed of cleanup operations in the event of an oil spill, and
simultaneously protect areas of biological, social and economic
importance.
An action taken to prevent or control pollution by oil spills.
The lowest water current velocity which will cause loss of oil under the
skirt of a containment boom. Critical velocity varies with specific
gravity, viscosity and thickness of the oil slick contained by the boom,
as well as the depth of the skirt and position of the boom with respect
to the current direction. Critical velocity for most oils in situations
where the boom is at right angles to the current is about 0.5 m/sec (1
knot). (See also: Boom failure.)
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DETRITUS
DISPERSANT
DISPERSANT or
CHEMICAL
DISPERSANT
DISPERSION
DISTILLATE
DISSOLUTION
DRAG LINE
DROPLET
BREAKAWAY
ECOSYSTEM
EMULSIFICATION
Loose material that results from rock disintegration or abrasion. Also,
suspended material in the water column including fragments of
decomposing flora and fauna, and fecal pellets produced by zooplankton
and associated bacterial communities. (See also: Fecal pellets.)
Solvents and agents for reducing surface tension used to remove oil
slicks from the water surface.
Chemicals which reduce the surface tension between oil and water, and
thereby facilitate the breakup and dispersal of the slick throughout the
water column in the form of an oil-in-water emulsion. Chemical
dispersant can only be used in areas where adverse biological damage
will not occur, and then only when approved for use by government
regulatory agencies.
The distribution of spilled oil into the upper layers of the water column
by natural wave action or application of chemical dispersant. In
shoreline cleanup and restoration, the removal of stranded oil through
wave action (natural dispersion), or application of chemical dispersants,
or use of one of various hydraulic dispersion techniques.
A refined hydrocarbon which is obtained by collection and condensation
of a known vapor fraction of the crude oil.
The act or process of dissolving one substance in another. Specifically,
a process contributing to the weathering of spilled oil whereby certain
"slightly" soluble hydrocarbons and various mineral salts present in oil
are dissolved in the surrounding water.
A mechanical device that excavates or transports soil, using a container
pulled over earth by cables or chains.
A type of boom failure resulting from excessive current velocity. In
this type of boom failure, the head wave formed upstream of the oil
mass contained within a boom becomes unstable and oil droplets are
torn off and become entrained in the water flow beneath the boom.
(See also: Critical velocity; Head wave; Sheet breakaway.)
The interaction of plants, animals, and their environment.
The process whereby one liquid is dispersed into another liquid in the
form of small droplets. In the case of oil, the emulsion can be either
oil-in-water or water-in-oil. Both types of emulsions are formed as a
result of wave action, although water-in-oil emulsions are more stable
and create special cleanup problems. (See also: Oil-in-water emulsion;
Water-in-oil emulsion.)
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ENVIRONMENTAL
SENSITIVITY
EROSION
ESTUARY
EUTROPHICATION
EVAPORATION
FAUNA
FERTILIZER
FLASH POINT
FLORA
FLUSHING
FOULING
FRACTION
The susceptibility of a local environment or area to any disturbance
which might decrease its stability or result in either short or long-term
adverse impacts. Environmental sensitivity generally includes physical,
biological and socio-economic parameters.
The process by which the earth's surface is worn away by water, wind,
or waves.
A partly enclosed coastal body of water in which freshwater (usually
originating from a river) is mixed and diluted by seawater. Estuaries
are generally considered more biologically productive than either
adjacent marine or freshwater environments, and are important areas in
the life cycles of many fish and wildlife resources.
The filling in of a lake basin by the ceposition of organic and inorganic
sediment that eventually results in the lake becoming a swamp or bog,
and ultimately a meadow.
The process whereby any substance is converted from a liquid state to
become part of the surrounding atmosphere in the form of a vapor. In
the case of oil, the rate of evaporation depends on the volatility of
various hydrocarbon constituents, temperature, wind and water
turbulence, and the spreading rate of the slick. Evaporation is the most
important process in the weathering of most oils. Evaporation reduces
the volume of oil, its flammability and its toxicity, but increases the
viscosity and density of the residue.
Animals in general, or animal life as distinguished from plant life
(flora). Usually used in reference to all the animal life characteristic of
or inhabiting a particular region or locality.
A substance or agent that helps promote plant or seed growth.
The temperature at which vapors produced by a crude oil or petroleum
product will ignite when exposed to an ignition source such as an open
flame. (See also: Boiling point.)
Plants in general, or plant life as distinguished from fauna (animal life).
Usually used in reference to all the plant life inhabiting or characteristic
of a particular region or locality.
Use of a water stream to make oil flow to a desired location or
recovery device.
Accumulation of oil or other materials, such as debris, that makes a
device inoperative.
One of the portions of chemical mixture separated by chemical or
physical means from the remainder.
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FRACTIONAL
DISTILLATION
FREEBOARD
FREE OIL
FUEL OILS
GASOLINES
GELLING AGENTS
GLYCOLS
GROUNDFISH
GROUNDWATER
HABITAT
Separation of a mixture of liquids such as crude oil into components
having different boiling points. Fractional distillation is the primary
process in the refining of crude oils.
The part of a floating boom designed to prevent waves from washing
oil over the top. Freeboard is also used to describe the distance from
the water surface to the top of the boom. Freeboard is generally also
applied to the distance from the deck of a vessel (ship, barge, etc.) to
the water line.
See mobile oil.
Refined petroleum products having specific gravities in the range from
0.85 to 0.98 and flash points greater than 55°C. This group of products
includes furnace, auto diesel, and stove fuels (No. 2 fuel oils); plant or
industrial heating fuels (No. 4 fuel oils); and various bunker fuels (No.
5 and No. 6 fuel oils).
A mixture of volatile, flammable liquid hydrocarbons used primarily for
internal combustion engines, and characterized by a flash point of
approximately -40°C and a specific gravity from 0.65 to 0.75.
Chemicals which increase the viscosity of oil, and, in theory, can be
applied to an oil slick to reduce its rate of spread over the water
surface. However, gelling agents are rarely used due to their expense,
the large volume requirements and slow action.
Any of a class of organic compounds belonging to the alcohol family
but having two hydroxyl groups (OH: oxygen-hydrogen) attached to
different carbon atoms. The simplest glycol is ethylene glycol, a
compound used extensively for automobile antifreeze and contained in
many modern chemical dispersant.
Fish species normally found close to the sea bottom throughout the
adult phase of their life cycle. Groundfish feed extensively on bottom
fauna.
Water present below the soil surface and occupying voids in the porous
subsoil; specifically, the porous layer which is completely saturated
with water. The upper surface of the groundwater is referred to as the
water table. Contamination of groundwater supplies is a major concern
when oil is spilled on land since groundwater supplies springs and
wells, and passes into surface water supplies in many areas.
The chemical, physical, and biological setting in which a plant or
animal lives.
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HEAD WAVE
HERDING AGENT
HYDRAULIC
DISPERSION
HYDROCARBON
HYDROCARBONS
HYDROPHOBIC
AGENT
INORGANIC
INTERTIDAL ZONE
An area of oil concentration which occurs behind and at some distance
from containment booms. This area of oil thickening is important to
the positioning of mechanical recovery devices (i.e., skimmers), and is
the region where the droplet breakaway boom failure phenomenon is
initiated when current flow exceeds critical velocity. (See also:
Droplet breakaway.)
Chemical agent which confines or controls the spread of a floating oil
film.
One of various shorelines cleanup techniques which utilizes a water
stream at either low or high pressure to remove stranded oil. These
techniques are most suited to removal of oil from coarse sediments,
rocks and man-made structures, although care must be taken to avoid
damage to intertidal flora and fauna.
One of a very large and diverse group of chemical compounds
composed only of carbon and hydrogen; the largest source of
hydrocarbons is petroleum crude oil.
Organic chemical compounds composed only of the elements carbon
and hydrogen. Hydrocarbons are the principal constituents of crude oil,
natural gas and refined petroleum products, and include four major
classes of compounds (alkanes, alkenes, naphthenes, and aromatics)
each having characteristic structural arrangements of hydrogen and
carbon atoms, as well as different physical and chemical properties.
A chemical or material which has the ability to resist wetting by water.
Hydrophobic agents are occasionally used in the treatment of synthetic
sorbents to decrease the amount of water absorbed and hence increase
the volume of oil they can absorb before becoming saturated. (See
also: Synthetic organic sorbents.)
Pertaining to, or composed of, chemical compounds that are not
organic, that is, contain no carbon-hydrogen bonds. Examples include
chemicals with no carbon and those with carbon in non-hydrogen-linked
forms.
The portion of the shoreline between the low tide mark and high tide
mark which is covered by water at some time during daily tidal cycles.
The size of the intertidal zone varies with the tidal characteristics of a
given region, as well as the steepness of the shoreline. In general,
steep, rocky shorelines have smaller intertidal zones than gradually
sloping sand or gravel beaches. Since all portions of the intertidal zone
are without water cover at some time during each day, flora and fauna
capable of withstanding desiccation are found throughout this zone.
Depending on the tidal level when oil reaches the shoreline, all or a
portion of the intertidal zone can be affected by the incoming slick.
The most suitable cleanup methods are dictated by the physical
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JET FUEL
KEROSENE
LAGOON
LANDFILL
LIGHT ENDS
LUBRICATING OILS
MARSH
MARSH FRINGE
MEANDER
characteristics of the intertidal zone, as well as the sensitivity of the
affected shoreline. In some instances, the intertidal zone is left to
cleanse itself naturally.
A kerosene or kerosene-based fuel used to power jet aircraft combustion
engine. (See also: Kerosene.)
A flammable oil characterized by a relatively low viscosity, specific
gravity of approximately 0.8 and flash point near 55°C. Kerosene lies
between the gasolines and fuel oil in terms of major physical properties,
and is separated from these products during the fractional distillation of
crude oils. Uses for kerosene include fuels for wick lamps, domestic
heaters and furnaces; fuel or fuel components for jet aircraft engines;
and thinner in paints and insecticide emulsions.
A shallow sound, pond, or lake generally near but separated from or
communicating with the open sea. A shallow freshwater pond, or lake
generally near or communicating with a larger body of freshwater.
A dump that has progressive layers of waste matter and earth.
A term used to describe the low molecular weight, volatile
hydrocarbons in crude oil and petroleum products. The light ends are
the first compounds recovered from crude oil during the fractional
distillation process, and are also the first fractions of spilled oil to be
lost through evaporation.
Oils used to reduce friction and wear between solid surfaces such as
moving machine parts and internal combustion engine components.
Petroleum-based lubricating oils (and greases) are refined from crude
oil through a variety of processes including vacuum distillation,
extraction, of specific products with solvents (solvent extraction),
removal of waxes with solvents, and treatment with hydrogen in the
presence of a catalyst. Most lubricating oils and greases derived from
crude oil contain a large proportion of high carbon number alkanes and
naphthalenes which provide the most favorable lubricating
characteristics. The viscosity of a lubricating oil is its most important
characteristic since it determines the amount of friction that will be
encountered between sliding surfaces and whether a thick enough film
can be built up to avoid wear from solid-to-solid contact.
Low, wet land covered by grassy vegetation.
The outermost edge of shoreline vegetation.
The curve of a river.
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METABOLISM
METABOLITE
METRIC TON
(TONNE)
MICRO-ORGANISM
MICRO-ORGANISMS
MIGRATION
MINERAL SPIRITS
MINERALIZATION
MOBILE OIL
MOBILIZATION
MOLECULAR WEIGHT
MOUSSE
The physical and chemical processes by which foodstuffs are
synthesized into complex elements, complex substances are transformed
into simple ones, and energy is made available for use by an organism;
thus all biochemical reactions of a cell or tissue, both synthetic and
degradative, are include.
A product of metabolism.
A unit of mass and weight equal to 1,000 kilograms or 2,205 pounds
avoirdupois. In Canada, the metric ton is the most widely used
measure of oil quantity by weight. There are roughly 7 to 9 barrels
(245 to 315 Imperial gallons) of oil per metric ton, depending on the
specific gravity of the crude oil or petroleum product.
Microscopic organisms including bacteria, yeasts, filamentous fungi,
algae, and protozoa.
Plant or animal life of microscopic or ultramicroscopic size (i.e., not
visible to the human eye without the aid of a microscope). Micro-
organisms are found in the air, water and soil, and generally include the
bacteria, yeasts and fungi. Some micro-organisms are capable of
metabolizing hydrocarbons and play a role in the natural degradation of
spilled oil.
The rhythmic seasonal movement of certain birds and other animals.
Flammable petroleum distillates that boil at temperatures lower than
kerosene, and are used as solvents and thinners, especially in paints and
varnishes. Mineral spirits are the common term for some naphthas.
Mineral spirits were used extensively in chemical dispersants made
before 1970 but are not used in modern dispersants due to their toxicity.
(See also: Naphtha.)
The biological process of complete breakdown of organic compounds,
whereby organic materials are converted to inorganic products (e.g., the
conversion of hydrocarbons to carbon dioxide and water.)
Oil which can refloat when water is applied (as in high tide).
Movement of oil caused by physical forces such as gravity, tides, or
wind. Mobility of oil is limited by its viscosity.
The total mass of any group of atoms which are bound together to act
as a single unit or molecule.
A type of oil/water emulsion.
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NAPHTHA
NAPHTHENES
NON-PERSISTENT
OIL-IN-WATER
EMULSION
OIL/WATER
SEPARATOR
OLEOPHILIC
OLEOPHILIC AGENT
ORGANIC
OXIDATION or
ATMOSPHERIC
OXIDATION
Any of various volatile and often flammable liquid hydrocarbon
mixtures used chiefly as solvents and diluents. Naphtha consists mainly
of hydrocarbons which have a higher boiling point than gasolines and
lower boiling point than kerosene. Naphtha was a principal component
of chemical dispersants used prior to 1970.
A class of hydrocarbons with similar physical and chemical properties
to alkanes but characterized by the presence of simple closed rings.
Like alkanes, naphthenes are also saturated (i.e., they contain no
carbon-carbon double bonds), and have the general formula, CnH2n.
Naphthenes are found in both crude oils and refined petroleum
products. This class of hydrocarbons are insoluble in water, and
generally boil at 10-20°C higher than the corresponding carbon number
alkanes. (For other classes of hydrocarbons, see also: Alkanes,
Alkenes, Aromatics.)
Decomposed rapidly by environmental action.
An emulsion of oil droplets dispersed in surrounding water, formed as
a result of wave action or by a chemical dispersant. Oil-in-water
emulsions show a tendency to coalesce and reform an oil slick when the
water becomes calm, although the presence of surface active agents in
the oil or artificially added in the form of chemical dispersants increases
the persistence of this type of emulsion. Natural dispersion of large
quantities of oil can follow the formation of oil-in-water emulsions, and
weathering processes such as dissolution, oxidation and biodegradation
may be accelerated due to the large increase in the surface area of the
oil relative to its volume. (See also: Emulsification; Water-in-oil
emulsion.)
A device for separating oil from water.
A material that has affinity for oil.
A material or chemical which was the tendency to attract oil.
Chemicals of this type may be used to treat sorbent materials in order
to increase their oil recovery capacity.
Chemical compounds based on carbon that also contain hydrogen, with
or without oxygen, nitrogen, and other elements.
The chemical combination of compounds such as hydrocarbons with
oxygen. Oxidation is a process which contributes to the weathering of
oil. However, in comparison to other weathering processes, oxidation
is slow since the reaction occurs primarily at the surface, and only a
limited amount of oxygen is capable of penetrating the slick or surface
oil.
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PARAFFIN
PEAT
PEBBLE BEACH
PENETRATION
PHOTOSYNTHESIS
POLYETHYLENE
POLYURETHANE
POOLED OIL
POROSITY
POUR POINT
A waxy substance obtained from the distillation of crude oils. Paraffin
is a complex mixture of higher carbon number alkanes that is resistant
to water and water vapor and is chemically inert. The term is
sometimes used to refer to alkanes as a class of compounds.
Partially decomposed plant material common to wet areas.
A beach substrate composed primarily of gravel having a size range
from 4 to 64 mm. Pebble substrates are finer than cobble and coarser
than sand, and can allow stranded oil to penetrate to a considerable
depth.
Downward extent of oil (into the sediments) for each distribution.
The process by which plants convert water and carbon dioxide into
carbohydrates.
A polymer (substance composed of very large molecules that are
multiples of simpler chemical units) of the alkene, ethylene, which takes
the form of a lightweight thermoplastic. Polyethylene has high
resistance to chemicals, low water absorption and good insulating
properties, and can be manufactured in a number of forms.
Polyethylene also as high oleophilic properties and has been used with
considerable success as a sorbent for oil spill cleanup.
Any of a class of synthetic resinous, fibrous or elastomeric compounds
belonging to the family of organic polymers, consisting of large
molecules formed by the chemical combination of successive smaller
molecules into chains or networks. The best known polyurethanes are
the flexible foams used as upholstery material and mattresses, and the
rigid foams used as lightweight structural elements including cores for
airplane wings. Polyurethane is also the most effective sorbent that can
be used for oil spill cleanup and, unlike most synthetic sorbents,
efficiently recovers a wide range of different viscosity oils.
Oil thickness exceeds 1 cm. This need not be uniform.
A measure of the space in a rock or soil that is not occupied by mineral
matter. Porosity is defined as the percentage of total pore space,
including all voids, whether or not they are interconnected, in the total
volume of rock. The porosity of a rock or soil is determined by the
mode of deposition, packing of grains, compaction, grain shape, and
grain size. Porosity can also be used to refer to the voids in other
materials such as in sorbents.
The lowest temperature at which a substance, such as oil, will flow
under specified conditions. The pour point of crude oils generally
varies from -57°C to 32°C; lighter oils with low viscosities have lower
pour points. The pour point of an oil is important in terms of impact
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RECONTAMINATION
RECOVERY
REMOTE SENSING
RESIDUAL OILS
RHIZOME
RIPRAP
RUNOFF
SEDIMENTS
SEDIMENTATION
SEINE
to the shoreline and subsequent cleanup since free-flowing oils rapidly
penetrate most beach substrates, whereas semi-solid oils tend to be
deposited on the surface and will only penetrate if the beach material is
coarse or the ambient temperature is high.
Contamination by oil of an area that was previously cleaned.
In oil spill cleanup, the entire process or any operation contributing to
the physical removal of spilled oil from land, water or shoreline
environments. General methods of recovery of oil from water are the
use of mechanical skimmers, sorbents and manual recovery by the
cleanup work force. The main method of recovery of oil spilled on
land or shorelines is excavation of contaminated materials.
The aerial sensing of oil on the water surface. The primary
applications of remote sensing are the location of an oil spill prior to its
detection by any other means and the monitoring of the movement of
an oil slick under adverse climatic conditions and during the night.
The oil remaining after fractional distillation during petroleum refining;
generally includes the bunker fuel oils.
A rootlike stem under or along the ground, ordinarily in a horizontal
position, which usually sends out roots from its lower surface and leafy
shoots from its upper surface.
A layer of large, durable fragments of broken rock, specially selected
and graded, thrown together irregularly or fitted together. Its purpose
is to prevent erosion by waves or currents and thereby preserve the
shape of a surface, slope, or underlying structure. It is used for
irrigation channels, river-improvement works, spillways at the dams,
and sea walls for shore protection, (b) The stone used for riprap.
Rainwater or melting snow that drains away across the surface of the
ground.
A general term used to describe or refer to: material in suspension in
air or water; the total dissolved and suspended material transported by
a stream or river; the unconsolidated sand and gravel deposits of river
valleys and coastlines; and materials deposited on the floor of lakes and
oceans.
Due to the weathering, the density of some heavy spilled oils may
increase and become higher than that of the sea water, so that they sink.
Oil may also be absorbed by heavy mineral particles (sand, silt, etc.)
and thus sink.
A fish net which can be used to collect sorbent or debris.
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SENSITIVITY MAPS
SHEET BREAKAWAY
SHORELINE
SENSITIVITY
SHORELINE TYPE
SILT
SKIRT
SKIMMER
Maps used by oil spill response teams which designate areas of
biological, social and economic importance in a given region. These
maps often prioritize sensitive areas so that in the event of an extensive
spill these areas can be protected or cleaned up first. Sensitivity maps
usually contain other information useful to the response team such as
the location of shoreline access areas, landing strips, roads,
communities, and the composition and steepness of shoreline areas.
Maps of this type often form an integral part of local or regional
contingency plans.
A type of current-induced boom failure resulting from the fact that a
boom placed in moving water tends to act like a dam. The surface
water being held back by the boom is diverted downwards and
accelerates in an attempt to keep up with the water flowing directly
under the boom skirt, and in so doing simultaneously draws oil from the
surface under the boom. As a general rule, sheet breakaway will occur
when current velocity exceeds 36 cm/sec, although skirt depth, oil
viscosity, specific gravity, slick thickness, and angle or placement of
the boom relative to the current direction have a bearing on this form
of boom failure.
The susceptibility of a shoreline environment to any disturbance which
might decrease its stability or result in short- or long-term adverse
impacts. Shorelines that are most susceptible to damage from stranded
oil are usually equally sensitive to cleanup activities, which may alter
the physical habitat or disturb associated flora and fauna. The most
sensitive shoreline environments are marshes and lagoons, while
exposed coastline, subject to heavy wave action, is generally least
affected by oil and/or cleanup activities.
The average slope or steepness and predominant substrate composition
of the intertidal zone of a shoreline area. In any given region, shoreline
type may be used to assess the type and abundance of intertidal flora
and fauna, protection priorities, and most suitable oil spill cleanup
strategies.
Soil or sediment particles which range in size from 4 to 64 microns.
Silt particles are larger than clays (4 microns) but smaller than sand (64
microns to 2 mm).
The portion of a floating boom which lies below the water surface and
provides the basic barrier to the spread of an oil slick or the loss of oil
beneath the boom.
A mechanical device that removes an oil film from the water surface.
Oil skimmers collect oil spilled on, or released to, the water's surface.
They come in a wide range of shapes and sizes. Skimmers generally
have a higher recovery rate than sorbents, providing enough oil is
present for operation. Skimmers are usually equipped with storage
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SLICK
SLURRY
SOLUBILITY
SOLVENT
SORBENT BARRIER
SPECIES
SPECIFIC GRAVITY
SPREADING
STAIN
5/92
space for collected oil. Oil is herded to a collection point along a
containment boom located close to shore yet in water of sufficient depth
for the skimmer to function.
The common term used to describe a film of oil (usually less than 2
microns thick) on the water surface.
A suspension of particles in water.
The amount of substance (solute) that will dissolve in a given amount
of another substance (solvent). The solubility of oil in water is
extremely low. (See also: Dissolution.)
A chemical agent which will dissolve oil.
A barrier which is constructed of or includes sorbent materials to
simultaneously recover spilled oil during the containment process.
Sorbent booms and barriers are only used when the oil slick is
relatively thin since their recovery efficiency rapidly decreases once the
sorbent is saturated with oil.
A group of related plants or animals that interbreed to produce fertile
offspring.
The ratio of the weight of a substance such as an oil to the weight of an
equal volume of water. Buoyancy is intimately related to specific
gravity; if a substance has a specific gravity less than that of a fluid, it
will float on that fluid. The specific gravity of most crude oils and
refined petroleum products is less than 1.0, and therefore these
substances generally float on water. (See also: Surface tension.)
When crude oil or refined petroleum product is poured onto clear water
surfaces, it tends to spread out to a thin film. Most crude oils spread
to a thickness of some tenths of millimeter after one hour and to only
a few microns after two or three hours. In reality oil when spilled onto
the sea will form windrows which are elongated thick patches of oil
separated by areas of clear water or water covered by a thin film of oil.
The spreading rate will be affected by many parameters such as oil
thickness near the source of spill, type of oil (boiling range, wax
content, viscosity, presence of natural surface active compounds), state
of sea, weather conditions, unimpeded surface area water available.
Contamination, in the vicinity of the spill, by floating debris, the
limitation of free water surface due to underwater plants or the presence
of natural or man made structures (rock, jetties, etc.) and the
modification of the pollutant composition (emulsion built up) may also
interfere with the phenomenon.
Oil thickness is greater than 1 mm.
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SUBSTRATE
SUCCESSION
SUMP
SUPRATIDAL
SURFACE-ACTIVE
AGENT
SURFACE TENSION
SWAMP
TAR
TAR BALLS
TENSION MEMBER
TOXICITY
The substance, base, or nutrient on which, or the medium in which, an
organism lives and grows, or the surface of which a fixed organism is
attached; e.g., soil, rocks, and water.
The process by which the vegetation of an ecosystem changes over
time.
A pit or reservoir that serves as a drain from which oil can be
collected.
Above the normal high tide line.
A compound that reduces the surface tension of liquids, or reduces
interfacial tension between two liquids or a liquid and a solid; also
known as surfactant, wetting agent, or detergent.
The force of attraction between the surface molecules of liquid.
Surface tension affects the rate at which spilled oil will spread over a
land or water surface, or into the ground. Oils with low specific
gravities are often characterized by low surface tensions and therefore
faster spreading rates. (See also: Specific gravity.)
Low, wet forest that is regularly flooded.
A black or brown hydrocarbon material that ranges in consistency from
a heavy liquid to a solid. The most common source of tar is the residue
left after fractional distillation of crude oil.
Compact semi-solid or solid masses of highly weathered oil formed
through the aggregation of viscous, high carbon number hydrocarbons
with debris present in the water column. Tar balls generally sink to the
sea bottom but may be deposited on shorelines where they tend to resist
further weathering.
The part of a floating containment boom which carries the load placed
on the barrier by wind, wave and current forces. Tension members are
commonly constructed from wire cable due to its strength and stretch
resistance.
The capability of a poisonous compound (toxin) to produce deleterious
effects in organisms such as alteration of behavioral patterns or
biological productivity (sublethal toxicity), or, in some cases, death
(lethal or acute toxicity). The toxic capability of a compound is
frequently measured by its "acute LC50" with a standard test organism
such as rainbow trout. The acute LC50 of a toxic chemical is the
concentration which will result in death in 50% of the test organisms
over a given time period, usually 96 hours. The most immediately
toxic compounds in crude oils or refined petroleum products are the
aromatics such as benzene. (See also: Aromatics.)
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ULTRAVIOLET
RADIATION
VISCOSITY
VOLATILE
VOLATILITY
WATERFOWL
WATER-IN-OIL
EMULSION
WATER TABLE
WAX
The portion of the electromagnetic spectrum emitted by the sun which
is adjacent to the violet end of the visible light range. Often called
"black light", ultraviolet light is invisible to the human eye, but when
it falls on certain surfaces, it causes them to fluoresce, or emit visible
light. Ultraviolet light is responsible for the photo-oxidation of certain
compounds including hydrocarbons, although this process is limited to
a large extent by the low penetration ability (in water, air or soil) of
this short wavelength form of energy. (See also: Photo-oxidation.)
The property of a fluid (gas or liquid) by which it resists a change in
shape, or movement. Viscosity denotes opposition to flow, and may be
thought of as internal friction between the molecules in a fluid. Tar,
for example, is very viscous as compared to gasoline. The viscosity of
liquids decreases rapidly with an increase in temperature. In oil spill
cleanup, the viscosity of an oil is important in terms of its ability to
penetrate shoreline substrates, as well as its ability to be handled by
most conventional pumps. Viscosity increases as oil weathers since low
molecular weight, volatile fractions (light ends) are lost most rapidly.
(See also: Light ends; Volatility.)
Readily dissipating by evaporation.
The tendency of a solid or liquid substance to pass into the vapor state.
Many low carbon number hydrocarbons are extremely volatile and
readily pass into a vapor state when spilled. For example, gasolines
contain a high proportion of volatile constituents which pose
considerable short-term risk of fire or explosion when spilled. On the
other hand, bunker fuels contain few volatile hydrocarbons since these
have been removed during the (fraction distillation) refining process.
Aquatic birds, including geese, ducks, and swans.
A type of emulsion where droplets of water are dispersed throughout
oil, formed when water is mixed with a relatively viscous oil by wave
action. In contrast to oil-in-water emulsions, this type of emulsion is
extremely stable, and may persist for months or years after a spill,
particularly when deposited in shoreline areas. Water-in-oil emulsions
containing 50-80% water are most common, have a grease-like
consistency, and are generally referred to as "chocolate mousse". (See
also: Chocolate mousse; Emulsification; Oil-in-water emulsion.)
The fluctuating upper level of the water saturated zone (groundwater)
located below the soil surface. (See also: Groundwater.)
Any of a class of pliable substances of plant, animal, mineral, or
synthetic origin. Waxes generally consist of long-chain organic
compounds. Waxes are included in the residue formed following the
refining of crude oil.
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WEATHERING The alteration of the physical and chemical properties of spilled oil
through a series of natural processes which begin when the spill occurs
and continues indefinitely while the oil remains in the environment.
Major processes which contribute to weathering include: evaporation,
dissolution, oxidation, emulsification, and microbial degradation.
WEIR A vertical barrier placed just below the surface of the water so that a
floating oil slick can flow over the top.
WICKING AGENT Substances such as straw, wood chips, glass beads and treated silica
which are used to increase oxygen availability and provide insulation
between oil and water during the disposal of spilled oil by burning.
(See also: Burning agent.)
WRACK Debris found on shoreline. May be used by birds for nesting sites.
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SECTION 2
PARTI
OIL POLLUTION ACT OF 1990
TITLE I
OIL POLLUTION LIABILITY AND COMPENSATION
Sec. 1001. Definitions 9
Sec. 1002. Elements of liability 12
Sec. 1003. Defenses of liability 14
Sec. 1004. Limits on liability 14
Sec. 1005. Interest 16
Sec. 1006. Natural resources 17
Sec. 1007. Recovery by foreign claimants 19
Sec. 1008. Recovery by responsible party 20
Sec. 1009. Contribution 20
Sec. 1010. Indemnification agreements 21
Sec. 1011. Consultation on removal actions 21
Sec. 1012. Uses of the Fund 21
Sec. 1013. Claims procedure 24
Sec. 1014. Designation of source and advertisement 24
Sec. 1015. Subrogation 25
Sec. 1016. Financial responsibility 25
Sec. 1017. Litigation, jurisdiction, and venue 27
Sec. 1018. Relationship to other law 28
Sec. 1019. State financial responsibility 29
Sec. 1020. Application 29
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TITLE II
CONFORMING AMENDMENTS
PAGE
Sec. 2001. Intervention on the High Seas Act 29
Sec. 2002. Federal Water Pollution Control Act 30
Sec. 2003. Deepwater Port Act 30
Sec. 2004. Outer Continental Shelf Lands Act
Amendments of 1978 30
TITLE III
INTERNATIONAL OIL POLLUTION PREVENTION AND REMOVAL
Sec. 3001. Sense of Congress regarding participation in
international regime 30
Sec. 3002. United States-Canada Great Lakes oil spill
cooperation 31
Sec. 3003. United States-Canada Lake Champlain oil spill
cooperation 31
Sec. 3004. International Inventory of Removal Equipment
and Personnel 31
Sec. 3005. Negotiations with Canada concerning tug
escorts in Puget Sound 31
TITLE IV
PREVENTION AND REMOVAL
Subtitle A-Prevention
Sec. 4101. Review of alcohol and drug abuse and other
matters in issuing licenses, certificates of
registry, and merchant mariners documents 32 .
Sec. 4102. Term of licenses, certificates of registry,
and merchant mariners document; criminal
record reviews in renewals 32 ^
6/92 2
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TITLE IV CONT'D
PREVENTION AND REMOVAL
Subtitle A--Prevention
PAGE
Sec. 4103. Suspension and revocation of licenses,
certificate of registry, and merchant mariners
documents for alcohol and drug abuse 33
Sec. 4104. Removal of master or individual in charge 34
Sec. 4105. Access to National Driver Register 35
Sec. 4106. Manning standards for foreign tank vessels 36
Sec. 4107. Vessel traffic service systems 37
Sec. 4108. Great Lakes pilotage 37
Sec. 4109. Periodic gauging of plating thickness of
commercial vessels 38
Sec. 4110. Overfill and tank level of pressure monitoring
devices 38
Sec. 4111. Study on tanker navigation safety standards 38
Sec. 4112. Dredge modification study 39
Sec. 4113. Use of liners 39
Sec. 4114. Tank vessel manning 40
Sec. 4115. Establishment of double hull requirement
for tank vessels 40
Sec. 4116. Pilotage 45
Sec. 4117. Maritime pollution prevention training
program study 46
Sec. 4118. Vessel communication equipment regulations 46
6/92
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TITLE IV
PREVENTION AND REMOVAL
Subtitle B-Removal
PAGE
Sec. 4201. Federal removal authority 46
Sec. 4202. National Planning and response system 50
Sec. 4203. Coast Guard vessel design 55
Sec. 4204. Determination of harmful quantities of oil
and hazardous substances 55
Sec. 4205. Coastwise Oil Spill Response Cooperatives 56
TITLE IV
PREVENTION AND REMOVAL
Subtitle C-Penalties and Miscellaneous
Sec. 4301. Federal Water Pollution Control Act penalties 56
Sec. 4302. Other penalties 60
Sec. 4303. Financial responsibility civil penalties 76
Sec. 4304. Deposit of certain penalties into oil spill
liability trust fund 63
Sec. 4305. Inspection and entry 63
Sec. 4306. Civil enforcement under Federal Water
Pollution Control Act 64
TITLE V
PRINCE WILLIAM SOUND PROVISIONS
Sec. 5001. Oil spill recovery institute 65
Sec. 5002. Terminal and tanker oversight and monitoring 67
Sec. 5003. Bligh Reef light 76
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TITLE V CONT'D
PRINCE WILLIAM SOUND PROVISIONS
PAGE
Sec. 5004. Vessel traffic service system 76
Sec. 5005. Equipment and personnel requirements under
tank vessel and facility response plans 76
Sec. 5006. Funding 77
Sec. 5007. Limitation 77
TITLE VI
MISCELLANEOUS
Sec. 6001. Savings clause 77
Sec. 6002. Annual appropriation 78
Sec. 6003. Outer Banks protection 78
Sec. 6004. Cooperative development of common
hydrocarbon-bearing areas 81
TITLE VII
OIL POLLUTION RESEARCH AND DEVELOPMENT PROGRAM
Sec. 7001. Oil pollution research and development program 82
TITLE VIII
TRANS-ALASKA PIPELINE SYSTEM
Sec. 8001. Short title 87
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TITLE VIII
Subtitle A-Improvements to Trans-Alaska Pipeline System
PAGE
Sec. 8101. Liability within the State of Alaska and
cleanup efforts
Sec. 8102. Trans-Alaska Pipeline Liability Fund 88
Sec. 8103. Presidential task force 90
TITLE VIII
TRANS-ALASKA PIPELINE SYSTEM
Subtitle B-Penalties
Sec. 8201. Authority of the Secretary of the Interior
to impose penalties on Outer Continental Shelf
facilities 93
Sec. 8202. Trans-Alaska pipeline system civil penalties 94
TITLE VIII
TRANS-ALASKA PIPELINE SYSTEM
Subtitle C-Provision Applicable to Alaska Natives
Sec. 8301. Land conveyances 95
Sec. 8302. Impact of potential spills in the Arctic Ocean
on Alaska Natives 95
TITLE IX
AMENDMENTS TO OIL SPILL LIABILITY TRUST FUND, ETC.
Sec. 9001. Amendments to oil spill liability trust fund 96
Sec. 9002. Changes relating to other funds 97
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PUBLIC LAW 101-380—AUG. 18, 1990
OIL POLLUTION ACT OF 1990
39-139 O - 90 (380i
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 485
Sec. 4104. Removal of master or individual in charge.
Sec. 4105. Access to National Driver Register.
Sec. 4106. Manning standards for foreign tank vessels.
Sec. 4107. Vessel traffic service systems
Sec. 4108. Great Lakes pilotage.
Sec. 4109. Periodic gauging of plating thickness of commercial vessels.
Sec. 4110. Overfill and tank level or pressure monitoring devices.
Sec. 4111. Study on tanker navigation safety standards.
Sec. 4112. Dredge modification study.
Sec. 4113. Use of liners.
Sec. 4114. Tank vessel manning.
Sec. 4115. Establishment of double hull requirement for tank vessels.
Sec. 41 IS. Pilotage.
Sec. 4117. Maritime pollution prevention training program study.
Sec. 4118. Vessel communication equipment regulations.
Subtitle B—Removal
Sec. 4201. Federal removal authority.
Sec. 4202. National planning and response system.
Sec. 4203. Coast Guard vessel design.
Sec. 4204. Determination of harmful quantities of oil and hazardous substances.
Sec. 4205. Coastwise oil spill response endorsements.
Subtitle C—Penalties and Miscellaneous
Sec. 4301. Federal Water Pollution Control Act penalties.
Sec. 4302. Other penalties.
Sec. 4303. Financial responsibility cm! penalties.
Sec. 4304. Deposit of certain penalties into oil spill liability trust fund.
Sec. 4305. Inspection and entry
Sec. 4306. Civil enforcement under Federal Water Pollution Control Act.
TITLE V—PRINCE WILLIAM SOUND PROVISIONS
Sec. 5001. Oil spill recovery institute.
Sec. 5002. Terminal and tanker oversight and monitoring.
Sec. 5003. Biigh Reef light.
Sec. 5004. Vessel traffic service system.
Sec. 5005. Equipment and personnel requirements under tank vessel and facility re-
sponse plans.
Sec. .S006. Funding.
Sec. 5007. Limitation.
TITLE V3—MISCELLANEOUS
Sec. 6001. Savings provisions.
Sec 6002. Annual appropriations
Sec. 6003. Outer Banks protection.
Sec. 6004. Cooperative development of common hydrocarbon-bearing areas.
TITLE VII—OIL POLLUTION RESEARCH AND DEVELOPMENT PROGRAM
Sec. 7001. Oil pollution research and development program.
TITLE VHI—TRANS-ALASKA PIPELINE SYSTEM
Sec. 8001. Short title.
Subtitle A—Improvements to Trans-Alaska Pipeline System
Sec. 8101. Liability within the State of Alaska and cleanup efforts.
Sec. 8102. Trans-Alaska Pipeline Liability Fund-
Sec. 8103. Presidential task force.
0 -btitle B—Penalties
Sec. 8201. Authority of the Secretary of the Interior to impose penalties on Outer
Continental Shelf facilities-
Sec. 8202. Trans-Alaska pipeline system civil penalties.
Subtitle C—Provisions Applicable to Alaska Natives
Sec. 8301. Land conveyances.
Sec. 8302. Impact of potential spills in the Arctic Ocean on Alaska Natives.
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104 STAT. 486 PUBLIC LAW 101-380—AUG. 18, 1990
TITLE DC—AMENDMENTS TO OIL SPILL LIABILITY TRUST FUND, ETC
Sec. 9001. Amendments to Oil Spill Liability Trust Fund.
Sec. 9002. Changes relating to other funds.
TITLE I—OIL POLLUTION LIABILITY AND
COMPENSATION
33 USC 2701. Sec. 1001. DEFINITIONS.
For the purposes of this Act, the term—
(1) ' act of God" means an unanticipated grave natural disas-
ter or other natural phenomenon of an exceptional, inevitable,
and irresistible character the effects of which could not have
been prevented or avoided by the exercise of due care or fore-
sight;
(2) "barrel" means 42 United States gallons at 60 degrees
fahrenheit;
(3) "claim" means a request, made in writing for a sum
certain, for compensation for damages or removal costs result-
ing from an incident;
(4) "claimant" means any person or government who presents
a claim for compensation under this title;
(5) "damages' means damages specified in section 1002(b) of
this Act, and includes the cost of assessing these damages;
(6) "deepwater port" is a facility licensed under the Deep-
water Port Act of 1974 (33 U.S.C. 1501-1524);
(7) "discharge" means any emission (other than natural seep-
age), intentional or unintentional, and includes, but is not
limited to, spilling, leaking, pumping, pouring, emitting,
emptying, or dumping;
(8) "exclusive economic zone" means the zone established by
Presidential Proclamation Numbered 5030, dated March 10,
1983, including the ocean waters of the areas referred to as
"eastern special areas" in Article 3(1) of the Agreement be-
tween the United States of America and the Union of Soviet
Socialist Republics on the Maritime Boundary, signed June 1,
1990;
(9) "facility" means any structure, group of structures, equip-
ment, or device (other than a vessel) which is used for one or
more of the following purposes: exploring for, drilling for,
producing, storing, handling, transferring, processing, or
transporting oil. This term includes any motor vehicle, rolling
stock, or pipeline used for one or more of these purposes;
(10) "foreign offshore unit" means a facility which is located,
in whole or in part, in the territorial sea or on the continental
shelf of a foreign country and which is or was used for one or
more of the following purposes: exploring for, drilling for,
producing, storing, handling, transferring, processing, or
transporting oil produced from the seabed beneath the foreign
country's territorial sea or from the foreign country's continen-
tal shelf;
(11) "Fund" means the Oil Spill Liability Trust Fund, estab-
lished by section 9509 of the Internal Revenue Code of 1986 (26
U.S.C. 9509);
(12) "gross ton" has the meaning given that term by the
Secretary under part J of title 46, United States Code;
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 487
(13) "guarantor" means any person, other than the respon-
sible party, who provides evidence of financial responsibility for
a responsible party under this Act;
(14) "incident" means any occurrence or series of occurrences
having the same origin, involving one or more vessels, facilities,
or any combination thereof, resulting in the discharge or
substantial threat of discharge of oil;
(15) "Indian tribe" means any Indian tribe, band, nation, or
other organized group or community, but not including any
Alaska Native regional or village corporation, which is recog-
nized as eligible for the special programs and services provided
by the United States to Indians because of their status as
Indians and has governmental authority over lands belonging to
or controlled by the tribe;
(16) "lessee" means a person holding a leasehold interest in
an oil or gas lease on lands beneath navigable waters (as that
term is defined in section 2(a) of the Submerged Lands Act (43
U.S.C. 1301(a))) or on submerged lands of the Outer Continental
Shelf, granted or maintained under applicable State law or the
Outer Continental Shelf Lands Act (43 U.S.C. 1331 et seq.);
(17) "liable" or "liability" shall be construed to be the stand-
ard of liability which obtains under section 311 of the Federal
Water Pollution Control Act (33 U.S.C. 1321);
(18) "mobile offshore drilling unit" means a vessel (other than
a self-elevating lift vessel) capable of use as an offshore facility;
(19) "National Contingency Plan" means the National Contin-
gency Plan prepared and published under section 3ll(d) of the
Federal Water Pollution Control Act, as amended by this Act, or
revised under section 105 of the Comprehensive Environmental
Response, Compensation, and Liability Act (42 U.S.C. 9605);
(20) "natural resources" includes land, fish, wildlife, biota,
air, water, ground water, drinking water supplies, and other
such resources belonging to, managed by, held in trust by,
appertaining to, or otherwise controlled by the United States
(including the resources of the exclusive economic zone), any
State or local government or Indian tribe, or any foreign
government;
(21) "navigable waters" means the waters of the United
States, including the territorial sea;
(22) "offshore facility'' means any facility of any kind located
in, on, or under any of the navigable waters of the United
States, and any facility of any kind which is subject to the
jurisdiction of the United States and is located in, on, or under
any other waters, other than a vessel or a public vessel;
(23) "oil" means oil of any kind or in any form, including, but
not limited to, petroleum, fuel oil, sludge, oil refuse, and oil
mixed with wastes other than dredged spoil, but does not in-
clude petroleum, including crude oil or any fraction thereof,
which is specifically listed or designated as a hazardous sub-
stance under subparagraphs (A) through (F) of section 101(14) of
the Comprehensive Environmental Response, Compensation,
and Liability Act (42 U.S.C. 9601) and which is subject to the
provisions of that Act;
(24) "onshore facility" means any facility (including, but not
limited to, motor vehicles and rolling stock) of any kind located
in, on, or under, any land within the United States other than
submerged land;
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104 STAT. 488 PUBLIC LAW 101-380—AUG. 18, 1990
(25) the term "Outer Continental Shelf facility" means an
offshore facility which is located, in whole or in part, on the
Outer Continental Shelf and is or was used for one or more of
the following purposes: exploring for, drilling for, producing,
storing, handling, transferring, processing, or transporting oil
produced from the Outer Continental Shelf;
(26) "owner or operator" means (A) in the case of a vessel, any
person owning, operating, or chartering by demise, the vessel,
and (B) in the case of an onshore facility, and an offshore
facility, any person owning or operating such onshore facility or
offshore facility, and (C) in the case of any abandoned offshore
facility, the person who owned or operated such facility imme-
diately prior to such abandonment;
(27) "person" means an individual, corporation, partnership,
association, State, municipality, commission, or political sub-
division of a State, or any interstate body;
(28) "permittee" means a person holding an authorization,
license, or permit for geological exploration issued under section
11 of the Outer Continental Shelf Lands Act (43 U.S.C. 1340) or
applicable State law;
(29) "public vessel" means a vessel owned or bareboat char-
tered and operated by the United States, or by a State or
political subdivision thereof, or by a foreign nation, except when
the vessel is engaged in commerce;
(30) "remove" or "removal" means containment and removal
of oil or a hazardous substance from water and shorelines or the
taking of other actions as may be necessary to minimize or
mitigate damage to the public health or welfare, including, but
not limited to, fish, shellfish, wildlife, and public and private
property, shorelines, and beaches;
(31) "removal costs" means the costs of removal that are
incurred after a discharge of oil has occurred or, in any case in
which there is a substantial threat of a discharge of oil, the costs
to prevent, minimize, or mitigate oil pollution from such an
incident;
(32) "responsible party" means the following:
(A) VESSELS.—In the case of a vessel, any person owning,
operating, or demise chartering the vessel.
(B) ONSHORE FACILITIES.—In the case of an onshore facil-
ity (other than a pipeline), any person owning or operating
the facility, except a Federal agency, State, municipality,
commission, or political subdivision of a State, or any inter-
state body, that as the owner transfers possession and right
to use the property to another person by lease, assignment,
or permit.
(C) OFFSHORE FACILITIES.—In the case of an offshore facil-
ity (other than a pipeline or a deepwater port licensed
under the Deepwater Port Act of 1974 (33 U.S.C. 1501 et
seq.)), the lessee or permittee of the area in which the
facility is located or the holder of a right of use and
easement granted under applicable State law or the Outer
Continental Shelf Lands Act (43 U.S.C. 1301-1356) for the
area in which the facility is located (if the holder is a
different person than the lessee or permittee), except a
Federal agency, State, municipality, commission, or politi-
cal subdivision of a State, or any interstate body, that as
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 489
owner transfers possession and right to use the property to
another person by lease, assignment, or permit.
(D) DEEPWATKK POETS.—In the case of a deepwater port
licensed under the Deepwater Port Act of 1974 (33 U.S.C.
1501-1524), the licensee.
(E) PIPELINES.—In the case of a pipeline, any person
owning or operating the pipeline.
(F) ABANDONMENT.—In the case of an abandoned vessel,
onshore facility, deepwater port, pipeline, or offshore facil-
ity, the persons who would have been responsible parties
immediately prior to the abandonment of the vessel or
facility.
(33) "Secretary" means the Secretary of the department in
which the Coast Guard is operating;
(34) "tank vessel" means a vessel that is constructed or
adapted to carry, or that carries, oil or hazardous material in
bulk as cargo or cargo residue, and that—
(A) is a vessel of the United States;
(B) operates on the navigable waters; or
(C) transfers oil or hazardous material in a place subject
to the jurisdiction of the United States;
(35) "territorial seas" means the belt of the seas measured
from the line of ordinary low water along that portion of the
coast which is in direct contact with the open sea and the line
marking the seaward limit of inland waters, and extending
seaward a distance of 3 miles;
(36) "United States" and "State" mean the several States of
the United States, the District of Columbia, the Commonwealth
of Puerto Rico, Guam, American Samoa, the United States
Virgin Islands, the Commonwealth of the Northern Marianas,
and any other territory or possession of the United States; and
(37) "vessel" means every description of watercraft or other
artificial contrivance used, or capable of being used, as a means
of transportation on water, other than a public vessel.
SEC. 1002. ELEMENTS OF LIABILITY. 33 USC 2702.
(a) IN GENERAL.—Notwithstanding any other provision or rule of
law, and subject to the provisions of this Act, each responsible party
for a vessel or a facility from which oil is discharged, or which poses
the substantial threat of a discharge of oil, into or upon the navi-
gable waters or adjoining shorelines or the exclusive economic zone
is liable for the removal costs and damages specified in subsection
(b) that result from such incident.
(b) COVERED REMOVAL COSTS AND DAMAGES.—
(1) REMOVAL COSTS.—The removal costs referred to in subsec-
tion (a) are—
(A) all removal costs incurred by the United States, a State and local
State, or an Indian tribe under subsection (c), (d), (e), or (1) of governments
section 311 of the Federal Water Pollution Control Act (33 Indlans-
U.S.C. 1321), as amended by this Act, under the Interven-
tion on the High Seas Act (33 U.S.C. 1471 et seq.), or under
State law; and
(B) any removal costs incurred by any person for acts
taken by the person which are consistent with the National
Contingency Plan.
(2) DAMAGES.—The damages referred to hi subsection (a) are
the following:
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104 STAT. 490 PUBLIC LAW 101-380—AUG. 18, 1990
(A) NATURAL RESOURCES.—Damages for injury to, destruc-
tion of, loss of, or loss of use of, natural resources, including
the reasonable costs of assessing the damage, which shall be
recoverable by a United States trustee, a State trustee, an
Indian tribe trustee, or a foreign trustee.
(B) REAL OR PERSONAL PROPERTY.—Damages for injury to,
or economic losses resulting from destruction of, real or
personal property, which shall be recoverable by a claimant
who owns or leases that property,
(C) SUBSISTENCE USE.—Damages for loss of subsistence use
of natural resources, which shall be recoverable by any
claimant who so uses natural resources which have been
injured, destroyed, or lost, without regard to the ownership
or management of the resources.
(D) REVENUES.—Damages equal to the net loss of taxes,
royalties, rents, fees, or net profit shares due to the injury,
destruction, or loss of real property, personal property, or
natural resources, which shall be recoverable by the
Government of the United States, a State, or a political
subdivision thereof.
(E) PROFITS AND EARNING CAPACITY.—Damages equal to
the loss of profits or impairment of earning capacity due to
the injury, destruction, or loss of real property, personal
property, or natural resources, which shall be recoverable
by any claimant.
(F) PUBLIC SERVICES.—Damages for net costs of providing
increased or additional public services during or after re-
moval activities, including protection from fire, safety, or
health hazards, caused by a discharge of oil, which shall be
recoverable by a State, or a political subdivision of a State.
(c) EXCLUDED DISCHARGES.—This title does not apply to any dis-
charge—
(1) permitted by a permit issued under Federal, State, or local
law;
(2) from a public vessel; or
(3) from an onshore facility which is subject to the Trans-
Alaska Pipeline Authorization Act (43 U.S.C. 1651 et seq.X
(d) LIABILITY OF THIRD PARTIES.—
(1) IN GENERAL.—
(A) THIRD PARTY TREATED AS RESPONSIBLE PARTY.—Except
as provided in subparagraph (B), in any case in which a
responsible party establishes that a discharge or threat of a
discharge and the resulting removal costs and damages
were caused solely by an act or omission of one or more
third parties described in section 1003(aX3) (or solely by
such an act or omission in combination with an act of God
or an act of war), the third party or parties shall be treated
as the responsible party or parties for purposes of determin-
ing liability under this title.
(B) SUBROGATION OF RESPONSIBLE PARTY.—If the respon-
sible party alleges that the discharge or threat of a dis-
charge was caused solely by an act or omission of a third
party, the responsible party—
(i) in accordance with section 1013, shall pay removal
costs and damages to any claimant; and
(ii) shall be entitled by subrogation to all rights of the
United States Government and the claimant to recover
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 491
removal costs or damages from the third party or the
Fund paid under this subsection.
(2) LIMITATION APPLIED.—
(A) OWNER OR OPERATOR OF VESSEL OB FACILITY.—If the
act or omission of a third party that causes an incident
occurs in connection with a vessel or facility owned or
operated by the third party, the liability of the third party
shall be subject to the limits provided in section 1004 as
applied with respect to the vessel or facility.
OB) OTHER CASES.—In any other case, the liability of a
third party or parties shall not exceed the limitation which
would have been applicable to the responsible party of the
vessel or facility from which the discharge actually oc-
curred if the responsible party were liable.
SEC 1003. DEFENSES TO LIABILITY. 33 USC 2703.
(a) COMPLETE DEFENSES.—A responsible party is not liable for
removal costs or damages under section 1002 if the responsible party
establishes, by a preponderance of the evidence, that the discharge
or substantial threat of a discharge of oil and the resulting damages
or removal costs were caused solely by—
(1) an act of God;
(2) an act of war;
(3) an act or omission of a third party, other than an employee
or agent of the responsible party or a third party whose act or
omission occurs in connection with any contractual relationship
with the responsible party (except where the sole contractual
arrangement arises in connection with carriage by a common
carrier by rail), if the responsible party establishes, by a prepon-
derance of the evidence, that the responsible party—
(A) exercised due care with respect to the oil concerned,
taking into consideration the characteristics of the oil and
in light of all relevant facts and circumstances; and
(B) took precautions against foreseeable acts or omissions
of any such third party and the foreseeable consequences of
those acts or omissions; or
(4) any combination of paragraphs (1), (2), and (3).
(b) DEFENSES As To PARTICULAR CLAIMANTS.—A responsible party
is not liable under section 1002 to a claimant, to the extent that the
incident is caused by the gross negligence or willful misconduct of
the claimant.
(c) LIMITATION ON COMPLETE DEFENSE.—Subsection (a) does not
apply with respect to a responsible party who fails or refuses—
(1) to report the incident as required by law if the responsible
party knows or has reason to know of the incident;
(2) to provide all reasonable cooperation and assistance re-
quested by a responsible official in connection with removal
activities; or
(3) without sufficient cause, to comply with an order issued
under subsection (c) or (e) of section 311 of the Federal Water
Pollution Control Act (33 U.S.C. 1321), as amended by this Act,
or the Intervention on the High Seas Act (33 U.S.C. 1471 et seq.).
SEC. 1004. LIMITS ON LIABILITY. 33 USC 2704.
(a) GENERAL RULE.—Except as otherwise provided in this section,
the total of the liability of a responsible party under section 1002
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104 STAT. 492 PUBLIC LAW 101-380—AUG. 18, 1990
and any removal costs incurred by, or on behalf of, the responsible
party, with respect to each incident shall not exceed—
(1) for a tank vessel, the greater of—
(A) $1,200 per gross ton; or
(BXi) in the case of a vessel greater than 3,000 gross tons,
$10,000,000; or
(ii) in the case of a vessel of 3,000 gross tons or less,
$2,000,000;
(2) for any other vessel, $600 per gross ton or $500,000,
whichever is greater;
(3) for an offshore facility except a deepwater port, the total of
all removal costs plus $75,000,000; and
(4) for any onshore facility and a deepwater port, $350,000,000.
(b) DIVISION OF LIABILITY FOR MOBILE OFFSHORE DRILLING UNITS.—
(1) TREATED FIRST AS TANK VESSEL.—For purposes of determin-
ing the responsible party and applying this Act and except as
provided in paragraph (2), a mobile offshore drilling unit which
is being used as an offshore facility is deemed to be a tank vessel
with respect to the discharge, or the substantial threat of a
discharge, of oil on or above the surface of the water.
(2) TREATED AS FACILITY FOR EXCESS LIABILITY.—To the extent
that removal costs and damages from any incident described in
paragraph (1) exceed the amount for which a responsible party
is liable (as that amount may be limited under subsection (aXD),
the mobile offshore drilling unit is deemed to be an offshore
facility. For purposes of applying subsection (aX3), the amount
specified in that subsection shall be reduced by the amount for
which the responsible party is liable under paragraph (1).
(c) EXCEPTIONS.—
(1) ACTS OF RESPONSIBLE PARTY.—Subsection (a) does not apply
if the incident was proximately caused by—
(A) gross negligence or willful misconduct of, or
(B) the violation of an applicable Federal safety, construc-
tion, or operating regulation by,
the responsible party, an agent or employee of the responsible
party, or a person acting pursuant to a contractual relationship
with the responsible party (except where the sole contractual
arrangement arises in connection with carriage by a common
carrier by rail).
(2) FAILURE OR REFUSAL OF RESPONSIBLE PARTY.—Subsection (a)
does not apply if the responsible party fails or refuses—
(A) to report the incident as required by law and the
responsible party knows or has reason to know of the
incident;
(B) to provide all reasonable cooperation and assistance
requested by a responsible official in connection with re-
moval activities; or
(C) without sufficient cause, to comply with an order
issued under subsection (c) or (e) of section 311 of the
Federal Water Pollution Control Act (33 U.S.C. 1321), as
amended by this Act, or the Intervention on the High Seas
Act (33 U.S.C. 1471 et seq.).
(3) OCS FACILITY OR VESSEL.—Notwithstanding the limitations
established under subsection (a) and the defenses of section
1003, all removal costs incurred by the United States Govern-
ment or any State or local official or agency in connection with
a discharge or substantial threat of a discharge of oil from any
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PUBLIC LAW 101-380—AUG. 18, 1990
104 STAT. 493
Outer Continental Shelf facility or a vessel carrying oil as cargo
from such a facility shall be borne by the owner or operator of
such facility or vessel.
(d) ADJUSTING LIMITS OF LIABILITY.—
(1) ONSHORE FACILITIES.—Subject to paragraph (2), the Presi-
dent may establish by regulation, with respect to any class or
category of onshore facility, a limit of liability under this section
of less than $350,000,000, but not less than S8,000,000, taking
into account size, storage capacity, oil throughput, proximity to
sensitive areas, type of oil handled, history of discharges, and
other factors relevant to risks posed by the class or category of
facility.
(2) DKEPWATER PORTS AND ASSOCIATED VESSELS.—
(A) STUDY.—The Secretary shall conduct a study of the
relative operational and environmental risks posed by the
transportation of oil by vessel to deepwater ports (as de-
fined in section 3 of the Deepwater Port Act of 1974 (33
U.S.C. 1502)) versus the transportation of oil by vessel to
other ports. The study shall include a review and analysis
of offshore lightering practices used in connection with that
transportation, an analysis of the volume of oil transported
by vessel using those practices, and an analysis of the
frequency and volume of oil discharges which occur in
connection with the use of those practices.
(B) REPORT.—Not later than 1 year after the uate of the
enactment of this Act, the Secretary shall submit to the
Congress a report on the results of the study conducted
under subparagraph (A).
(C) RULEMAKING PROCEEDING.—If the Secretary deter-
mines, based on the results of the study conducted under
this subparagraph (A), that the use of deepwater ports in
connection with the transportation of oil by vessel results hi
a lower operational or environmental risk than the use of
other ports, the Secretary shall initiate, not later than the
180th day following the date of submission of the report to
the Congress under subparagraph (B), a rulemaking
proceeding to lower the limits of liability under this section
for deepwater ports as the Secretary determines appro-
priate. The Secretarv may establish a limit of liability of
less than 5350,000,000, but not less than $50,000,000, in
accordance with paragraph (1).
(3) PERIODIC REPORTS.—The President shall, within 6 months
after the date of the enactment of this Act, and from time to
time thereafter, report to the Congress on the desirability of
adjusting the limits of liability specified in subsection (a).
(4) ADJUSTMENT TO REFLECT CONSUMER PRICE INDEX.—The
President shall, by regulations issued not less often than every 3
years, adjust the limits of liability specified in subsection (a) to
reflect significant increases in the Consumer Price Index.
SEC 1005. INTEREST.
(a) GENERAL RULE.—The responsible party or the responsible
party's guarantor is liable to a claimant for interest on the amount
paid in satisfaction of a claim under this Act for the period described
in subsection (b).
(b) PERIOD.—
President of U.S.
Regulations.
33 USC 2705.
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104 STAT. 494
33 USC 2706.
State and local
governments.
Indians.
President of U.S.
Claims.
PUBLIC LAW 101-380—AUG. 18, 1990
(1) IN GENERAL.—Except as provided in paragraph (2), the
period for which interest shall be paid is the period beginning
on the 30th day following the date on which the claim is
presented to the responsible party or guarantor and ending on
the date on which the claim is paid.
(2) EXCLUSION OF PERIOD DUE TO OFFER BY GUARANTOR.—If the
guarantor offers to the claimant an amount equal to or greater
than that finally paid in satisfaction of the claim, the period
described in paragraph (1) does not include the period beginning
on the date the offer is made and ending on the date the offer is
accepted. If the offer is made within 60 days after the date on
which the claim is presented under section 1013(a), the period
described in paragraph (1) does not include any period before
the offer is accepted.
(3) EXCLUSION OF PERIODS IN INTERESTS OF JUSTICE.—If in any
period a claimant is not paid due to reasons beyond the control
of the responsible party or because it would not serve the
interests of justice, no interest shall accrue under this section
during that period.
(4) CALCULATION OF INTEREST.—The interest paid under this
section shall be calculated at the average of the highest rate for
commercial and finance company paper of maturities of 180
days or less obtaining on each of the days included within the
period for which interest must be paid to the claimant, as
published in the Federal Reserve Bulletin.
(5) INTEREST NOT SUBJECT TO LIABILITY LIMITS.—
(A) IN GENERAL.—Interest (including prejudgment in-
terest) under this paragraph is in addition to damages and
removal costs for which claims may be asserted under
section 1002 and shall be paid without regard to any limita-
tion of liability under section 1004.
(B) PAYMENT BY GUARANTOR.—The payment of interest
under this subsection by a guarantor is subject to section
1016(g).
SEC. 1006. NATURAL RESOURCES.
(a) LIABILITY.—In the case of natural resource damages under
section 1002(bX2XA), liability shall be—
(1) to the United States Government for natural resources
belonging to, managed by, controlled by, or appertaining to the
United States;
(2) to any State for natural resources belonging to, managed
by, controlled by, or appertaining to such State or political
subdivision thereof;
(3) to any Indian tribe for natural resources belonging to,
managed by, controlled by, or appertaining to such Indian tribe;
and
(4) in any case in which section 1007 applies, to the govern-
ment of a foreign country for natural resources belonging to,
managed by, controlled by, or appertaining to such country.
(b) DESIGNATION OF TRUSTEES.—
(1) IN GENERAL.—The President, or the authorized representa-
tive of any State, Indian tribe, or foreign government, shall act
on behalf of the public, Indian tribe, or foreign country as
trustee of natural resources to present a claim for and to
recover damages to the natural resources.
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 495
(2) FEDERAL TRUSTEES.—The President shall designate the
Federal officials who shall act on behalf of the public as trustees
for natural resources under this Act.
(3) STATE TRUSTEES.—The Governor of each State shall des-
ignate State and local officials who may act on behalf of the
public as trustee for natural resources under this Act and shall
notify the President of the designation.
(4) INDIAN TRIBE TRUSTEES.—The governing body of any Indian
tribe shall designate tribal officials who may act on behalf of
the tribe or its members as trustee for natural resources under
this Act and shall notify the President of the designation.
(5) FOREIGN TRUSTEES.—The head of any foreign government
may designate the trustee who shall act on behalf of that
government as trustee for natural resources under this Act.
(c) FUNCTIONS OF TRUSTEES.—
(1) FEDERAL TRUSTEES.—The Federal officials designated
under subsection (bX2)—
(A) shall assess natural resource damages under section
1002(bX2XA) for the natural resources under their trustee-
ship;
(B) may, upon request of and reimbursement from a State
or Indian tribe and at the Federal officials' discretion,
assess damages for the natural resources under the State's
or tribe's trusteeship; and
(C) shall develop and implement a plan for the restora-
tion, rehabilitation, replacement, or acquisition of the
equivalent, of the natural resources under their trustee-
ship.
(2) STATE TRUSTEES.—The State and local officials designated
under subsection (bX3)—
(A) shall assess natural resource damages under section
1002(bX2XA) for the purposes of this Act for the natural
resources under their trusteeship; and
(B) shall develop and implement a plan for the restora-
tion, rehabilitation, replacement, or acquisition of the
equivalent, of the natural resources under their trustee-
ship.
(3) INDIAN TRIBE TRUSTEES.—The tribal officials designated
under subsection (bX4's—
(A) shall assess natural resource damages under section
1002(bX2XA) for the purposes of this Act for the natural
resources under their trusteeship; and
(B) shall develop and implement a plan for the restora-
tion, rehabilitation, replacement, or acquisition of the
equivalent, of the natural resources under their trustee-
ship.
(4) FOREIGN TRUSTEES.—The trustees designated under subsec-
tion (bX5)—
(A) shall assess natural resource damages under section
1002(bX2XA) for the purposes of this Act for the natural
resources under their trusteeship; and
(B) shall develop and implement a plan for the restora-
tion, rehabilitation, replacement, or acquisition of the
equivalent, of the natural resources under their trustee-
ship.
(5) NOTICE AND OPPORTUNITY TO BE HEARD.—Plans shall be
developed and implemented under this section only after ade-
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104 STAT. 496 PUBLIC LAW 101-380—AUG. 18, 1990
quate public notice, opportunity for a hearing, and consider-
ation of all public comment.
(d) MEASURE OF DAMAGES.—
(1) IN GENERAL.—The measure of natural resource damages
under section 1002(bX2XA) is—
(A) the cost of restoring, rehabilitating, replacing, or
acquiring the equivalent of, the damaged natural resources;
(B) the diminution in value of those natural resources
pending restoration; plus
(C) the reasonable cost of assessing those damages.
(2) DETERMINE COSTS WITH RESPECT TO PLANS.—Costs shall be
determined under paragraph (1) with respect to plans adopted
under subsection (c).
(3) No DOUBLE RECOVERY.—There shall be no double recovery
under this Act for natural resource damages, including with
respect to the costs of damage assessment or restoration, re-
habilitation, replacement, or acquisition for the same incident
and natural resource.
President of U.S. (e) DAMAGE ASSESSMENT REGULATIONS.—
(1) REGULATIONS.—The President, acting through the Under
Secretary of Commerce for Oceans and Atmosphere and in
consultation with the Administrator of the Environmental
Protection Agency, the Director of the United States Fish and
Wildlife Service, and the heads of other affected agencies, not
later than 2 years after the date of the enactment of this Act,
shall promulgate regulations for the assessment of natural
resource damages under section 1002(bX2XA) resulting from a
discharge of oil for the purpose of this Act.
(2) REBUTTABLE PRESUMPTION.—Any determination or assess-
ment of damages to natural resources for the purposes of this
Act made under subsection (d) by a Federal, State, or Indian
trustee in accordance with the regulations promulgated under
paragraph (1) shall have the force and effect of a rebuttable
presumption on behalf of the trustee in any administrative or
judicial proceeding under this Act.
(f) USE OF RECOVERED SUMS.—Sums recovered under this Act by a
Federal, State, Indian, or foreign trustee for natural resource dam-
ages under section 1002(bX2XA) shall be retained by the trustee in a
revolving trust account, without further appropriation, for use only
to reimburse or pay costs incurred by the trustee under subsection
(c) with respect to the damaged natural resources. Any amounts in
excess of those required for these reimbursements and costs shall be
deposited in the Fund.
(g) COMPLIANCE.—Review of actions by any Federal official where
there is alleged to be a failure of that official to perform a duty
under this section that is not discretionary with that official may be
had by any person in the district court in which the person resides
or in which the alleged damage to natural resources occurred. The
court may award costs of litigation (including reasonable attorney
and expert witness fees) to any prevailing or substantially prevail-
ing party. Nothing in this subsection shall restrict any right which
any person may have to seek relief under any other provision of law.
33 USC 2707. SEC. 1007. RECOVERY BY FOREIGN CLAIMANTS.
(a) REQUIRED SHOWING BY FOREIGN CLAIMANTS.—
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 497
(1) IN GENERAL.—In addition to satisfying the other require-
ments of this Act, to recover removal costs or fin mages resulting
from an incident a foreign claimant shall demonstrate that—
(A) the claimant has not been otherwise compensated for
the removal costs or damages; and
(B) recovery is authorized by a treaty or executive agree-
ment between the United States and the claimant's coun-
try, or the Secretary of State, in consultation with the
Attorney General and other appropriate officials, has cer-
tified that the claimant's country provides a comparable
remedy for United States claimants.
(2) EXCEPTIONS.—Paragraph (1KB) shall not apply with respect Canads.
to recovery by a resident of Canada in the case of an incident
described in subsection (bX4).
(b) DISCHARGES IN FOREIGN COUNTRIES.—A foreign claimant may
make a claim for removal costs and damages resulting from a
discharge, or substantial threat of a discharge, of oil in or on the
territorial sea, internal waters, or adjacent shoreline of a foreign
country, only if the discharge is from—
(1) an Outer Continental Shelf facility or a deepwater port;
(2) a vessel in the navigable waters;
(3) a vessel carrying oil as cargo between 2 places in the
United States; or
(4) a tanker that received the oil at the terminal of the
pipeline constructed under the Trans-Alaska Pipeline
Authorization Act (43 U.S.C. 1651 et seq.), for transportation to
a place in the United States, and the discharge or threat occurs
prior to delivery of the oil to that place.
(c) FOREIGN CLAIMANT DEFINED.-—In this section, the term "for-
eign claimant" means—
(1) a person residing in a foreign country;
(2) the government of a foreign country; and
(3) an agency or political subdivision of a foreign country.
SEC. 1008. RECOVERY BY RESPONSIBLE PARTY. 33 USC 2708.
(a) IN GENERAL.—The responsible party for a vessel or facility
from which oil is discharged, or which poses the substantial threat
of a discharge of oil. may assert a claim for removal costs and
damages under section 1013 only if the responsible party dem-
onstrates that—
(1) the responsible party is entitled to a defense to liability
under section 1003; or
(2) the responsible party is entitled to a limitation of liability
under section 1004.
(b) EXTENT OF RECOVERY.—A responsible party who is entitled to a
limitation of liability may assert a claim under section 1013 only to
the extent that the sum of the removal costs and damages incurred
by the responsible party plus the amounts paid by the responsible
party, or by the guarantor on behalf of the responsible party, for
claims asserted under section 1013 exceeds the amount to which the
total of the liability under section 1002 and removal costs and
damages incurred by. or on behalf of, the responsible party is
limited under section 1004.
SEC 1009. CONTRIBUTION. 33 USC 2709.
A person may bring a. civil action for contribution against any
other person who is liable or potentially liable under this Act or
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104 STAT. 498
PUBLIC LAW 101-380—AUG. 18, 1990
33 USC 2710.
President of U.S.
State and local
governments.
33 USC 2711.
President of U.S.
33 USC 2712.
another law. The action shall be brought in accordance with section
1017.
SEC. 1010. INDEMNIFICATION AGREEMENTS.
(a) AGREEMENTS Nor PROHIBITED.—Nothing in this Act prohibits
any agreement to insure, hold harmless, or indemnify a party to
such agreement for any liability under this Act.
fr) LIABILITY NOT TRANSFERRED.—No indemnification, hold harm-
less, or similar agreement or conveyance shall be effective to trans-
fer liability imposed under this Act from a responsible party or from
any person who may be liable for an incident under this Act to any
other person.
(c) RELATIONSHIP To OTHER CAUSES OF ACTION.—Nothing in this
Act, including the provisions of subsection (b), bars a cause of action
that a responsible party subject to liability under this Act, or a
guarantor, has or would have, by reason of subrogation or otherwise,
against any person.
SEC. 1011. CONSULTATION ON REMOVAL ACTIONS.
The President shall consult with the affected trustees designated
under section 1006 on the appropriate removal action to be taken in
connection with any discharge of oil. For the purposes of the Na-
tional Contingency Plan, removal with respect to any discharge
shall be considered completed when so determined by the President
in consultation with the Governor or Governors of the affected
States. However, this determination shall not preclude additional
removal actions under applicable State law.
SEC. 1012. USES OF THE FUND.
(a) USES GENERALLY.—The Fund shall be available to the Presi-
dent for—
(1) the payment of removal costs, including the costs of mon-
itoring removal actions, determined by the President to be
consistent with the National Contingency Plan—
(A) by Federal authorities; or
(B) by a Governor or designated State official under
subsection (d);
(2) the payment of costs incurred by Federal, State, or Indian
tribe trustees in carrying out their functions under section 1006
for assessing natural resource damages and for developing and
implementing plans for the restoration, rehabilitation, replace-
ment, or acquisition of the equivalent of damaged resources
determined by the President to be consistent with the National
Contingency Plan;
(3) the payment of removal costs determined by the President
to be consistent with the National Contingency Plan as a result
of, and damages resulting from, a discharge, or a substantial
threat of a discharge, of oil from a foreign offshore unit;
(4) the payment of claims in accordance with section 1013 for
uncompensated removal costs determined by the President to be
consistent with the National Contingency Plan or uncompen-
sated damages;
(5) the payment of Federal administrative, operational, and
personnel costs and expenses reasonably necessary for and
incidental to the implementation, administration, and enforce-
ment of this Act (including, but not limited to, sections
1004(dX2), 1006(e), 4107, 4110, 4111, 4112, 4117, 5006, 8103, and
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 499
title VII) and subsections (b), (c), (d), (j), and (1) of section 311 of
the Federal Water Pollution Control Act (33 U.S.C. 1321), as
amended by this Act, with respect to prevention, removal, and
enforcement related to oil discharges, provided that—
(A) not more than $25,000,000 in each fiscal year shall be Uniformed
available to the Secretary for operating expenses incurred services.
by the Coast Guard;
(B) not more than $30,000,000 each year through the end
of fiscal year 1992 shall be available to establish the Na-
tional Response System under section 311(j) of the Federal
Water Pollution Control Act, as amended by this Act,
including the purchase and prepositioning of oil spill re-
moval equipment; and
(C) not more than $27,250,000 in each fiscal year shall be
available to carry out title VII of this Act.
(b) DEFENSE TO LIABILITY FOR FUND.—The Fund shall not be
available to pay any claim for removal costs or damages to a
particular claimant, to the extent that the incident, removal costs,
or damages are caused by the gross negligence or willful misconduct
of that claimant.
(c) OBLIGATION OF FUND BY FEDERAL OFFICIALS.—The President
may promulgate regulations designating one or more Federal offi-
cials who may obligate money in accordance with subsection (a).
(d) ACCESS TO FUND BY STATE OFFICIALS.—
(1) IMMEDIATE REMOVAL.—In accordance with regulations
promulgated under this section, the President, upon the request
of the Governor of a State or pursuant to an agreement with a
State under paragraph (2), may obligate the Fund for payment
in an amount not to exceed $250,000 for removal costs consist-
ent with the National Contingency Plan required for the imme-
diate removal of a discharge, or the mitigation or prevention of
a substantial threat of a discharge, of oil.
(2) AGREEMENTS.—
(A) IN GENERAL.—The President shall enter into an agree-
ment with the Governor of any interested State to establish
procedures under which the Governor or a designated State
official may receive payments from the Fund for removal
costs pursuant to paragraph (1).
(B) TERMS.—Agreements under this paragraph—
(i) may include such terms and conditions as may be
agreed upon by the President and the Governor of a
State;
(ii) shall provide for political subdivisions of the State
to receive payments for reasonable removal costs: and
(iii) may authorize advance payments from the Fund
to facilitate removal efforts.
(e) REGULATIONS.—The President shall—
(1) not later than 6 months after the date of the enactment of
this Act, publish proposed regulations detailing the manner in
which the authority to obligate the Fund and to enter into
agreements under this subsection shall be exercised; and
(2) not later than 3 months after the close of the comment
period for such proposed regulations, promulgate final regula-
tions for that purpose.
(f) RIGHTS OF SUBROGATION.—Payment of any claim or obligation
by the Fund under this Act shall be subject to the United States
39-139 O-90 -2(380)
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104 STAT. 500 PUBLIC LAW 101-380—AUG. 18, 1990
Government acquiring by subrogation all rights of the claimant or
State to recover from the responsible party.
(g) AUDITS.—The Comptroller General shall audit all payments,
obligations, reimbursements, and other uses of the Fund, to assure
that the Fund is being properly administered and that claims are
Reports. being appropriately and expeditiously considered. The Comptroller
General shall submit to the Congress an interim report one year
after the date of the enactment of this Act. The CpmptroDer General
shall thereafter audit the Fund as is appropriate. Each Federal
agency shall cooperate with the Comptroller General in carrying out
this subsection.
(h) PERIOD OF LIMITATIONS FOR CLAIMS.—
(1) REMOVAL COSTS.—No claim may be presented under this
title for recovery of removal costs for an incident unless the
claim is presented within 6 years after the date of completion of
all removal actions for that incident.
(2) DAMAGES.—No claim may be presented under this section
for recovery of damages unless the claim is presented within 3
years after the date on which the injury and its connection with
the discharge in question were reasonably discoverable with the
exercise of due care, or in the case of natural resource damages
under section 1002(bX2XA), if later, the date of completion of the
natural resources damage assessment under section 1006(e).
(3) MINORS AND INCOMPETENTS.—The time limitations con-
tained in this subsection shall not begin to run—
(A) against a minor until the earlier of the date when
such minor reaches 18 years of age or the date on which a
legal representative is duly appointed for the minor, or
(B) against an incompetent person until the earlier of the
date on which such incompetent's incompetency ends or the
date on which a legal representative is duly appointed for
the incompetent.
(i) LIMITATION ON PAYMENT FOR SAME COSTS.—In any case in
which the President has paid an amount from the Fund for any
removal costs or damages specified under subsection (a), no other
claim may be paid from the Fund for the same removal costs or
damages.
(j) OBLIGATION IN ACCORDANCE WITH PLAN.—
(1) IN GENERAL.—Except as provided in paragraph (2),
amounts may be obligated from the Fund for the restoration,
rehabilitation, replacement, or acquisition of natural resources
only in accordance with a plan adopted under section 1006(c).
(2) EXCEPTION.—Paragraph (1) shall not apply in a situation
requiring action to avoid irreversible loss of natural resources
or to prevent or reduce any continuing danger to natural re-
sources or similar need for emergency action.
(k) PREFERENCE FOR PRIVATE PERSONS IN AREA AFFECTED BY DIS-
CHARGE.—
(1) IN GENERAL.—In the expenditure of Federal funds for
removal of oil, including for distribution of supplies, construc-
tion, and other reasonable and appropriate activities, under a
contract or agreement with a private person, preference shall be
given, to the extent feasible and practicable, to private persons
residing or doing business primarily in the area affected by the
discharge of oil.
(2) LIMITATION.—This subsection shall not be considered to
restrict the use of Department of Defense resources.
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PUBLIC LAW 101-380—AUG. 18, 1990
104 STAT. 501
SEC 1013. CLAIMS PROCEDURE.
(a) PRESENTATION.—Except as provided in subsection (b), all claims
for removal costs or damages shall be presented first to the respon-
sible party or guarantor of the source designated under section
1014(a).
(b) PRESENTATION TO FUND.—
(1) IN GENERAL.—Claims for removal costs or damages may be
presented first to the Fund—
(A) if the President has advertised or otherwise notified
claimants in accordance with section 1014(c);
(B) bv a responsible party who may assert a claim under
section'1008;
(C) by the Governor of a State for removal costs incurred
by that State; or
(D) by a United States claimant in a case where a foreign
offshore unit has discharged oil causing damage for which
the Fund is liable under section 1012(a).
(2) LIMITATION ON PRESENTING CLAIM.—No claim of a person
against the Fund may be approved or certified during the
pendency of an action by the person in court to recover costs
which are the subject of the claim.
(c) ELECTION.—If a claim is presented in accordance with subsec-
tion (a) and—
(1) each person to whom the claim is presented denies all
liability for the claim, or
(2) the claim is not settled by any person by payment within
90 days after the date upon which (A) the claim was presented,
or (B) advertising was begun pursuant to section 1014(b), which-
ever is later,
the claimant may elect to commence an action in court against the
responsible party or guarantor or to present the claim to the Fund.
(d) UNCOMPENSATED DAMAGES.—If a claim is presented in accord-
ance with this section and full and adequate compensation is un-
available, a claim for the uncompensated damages and removal
costs may be presented to the Fund.
(e) PROCEDURE FOR CLAIMS AGAINST FUND.—The President shall
promulgate, and may from time to time amend, regulations for the
presentation, filing, processing, settlement, and adjudication of
claims under this Act against the Fund.
SEC. 1014. DESIGNATION OF SOURCE AND ADVERTISEMENT.
(a) DESIGNATION OF SOURCE AND NOTIFICATION.—When the Presi-
dent receives information of an incident, the President shall, where
possible and appropriate, designate the source or sources of the
discharge or threat. If a designated source is a vessel or a facility,
the President shall immediately notify the responsible party and the
guarantor, if known, of that designation.
(b) ADVERTISEMENT BY RESPONSIBLE PARTY OR GUARANTOR.—If a
responsible party or guarantor fails to inform the President, within
5 days after receiving notification of a designation under subsection
(a), of the party's or the guarantor's denial of the designation, such
party or guarantor shall advertise the designation and the proce-
dures by which claims may be presented, in accordance with regula-
tions promulgated by the President. Advertisement under the
preceding sentence shall begin no later than 15 days after the date
of the designation made under subsection (a). If advertisement is not
otherwise made in accordance with this subsection, the President
33 USC 2713.
President of U.S.
Regulations.
President of U.S.
33 USC 2714
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104 STAT. 502 PUBLIC LAW 101-380—AUG. 18, 1990
shall promptly and at the expense of the responsible party or the
guarantor involved, advertise the designation and the procedures by
which claims may be presented to the responsible party or guaran-
tor. Advertisement under this subsection shall continue for a period
of no less than 30 days.
(c) ADVERTISEMENT BY PRESIDENT.—If—
(1) the responsible party and the guarantor both deny a
designation within 5 days sifter receiving notification of a des-
ignation under subsection (a),
(2) the source of the discharge or threat was a public vessel, or
(3) the President is unable to designate the source or sources
of the discharge or threat under subsection (a),
the President shall advertise or otherwise notify potential claimants
of the procedures by which claims may be presented to the Fund.
33 USC 2715. SEC. 1015. SUBROGATION.
(a) IN GENERAL.—Any person, including the Fund, who pays
compensation pursuant to this Act to any claimant for removal costs
or damages shall be subrogated to all rights, claims, and causes of
action that the claimant has under any other law.
(b) ACTIONS ON BEHALF OF FUND.—At the request of the Secretary,
the Attorney General shall commence an action on behalf of the
Fund to recover any compensation paid by the Fund to any claimant
pursuant to this Act, and all costs incurred by the Fund by reason of
the claim, including interest (including prejudgment interest),
administrative and adjudicative costs, and attorney's fees. Such an
action may be commenced against any responsible party or (subject
to section 1016) guarantor, or against any other person who is liable,
pursuant to any law, to the compensated claimant or to the Fund,
for the cost or damages for which the compensation was paid. Such
an action shall be commenced against the responsible foreign
government or other responsible party to recover any removal costs
or damages paid from the Fund as the result of the discharge, or
substantial threat of discharge, of oil from a foreign offshore unit.
33 USC 2716. SEC. 1016. FINANCIAL RESPONSIBILITY.
(a) REQUIREMENT.—The responsible party for—
(1) any vessel over 300 gross tons (except a non-self-propelled
vessel that does not carry oil as cargo or fuel) using any place
subject to the jurisdiction of the United States; or
(2) any vessel using the waters of the exclusive economic zone
to transship or lighter oil destined for a place subject to the
jurisdiction of the United States;
shall establish and maintain, in accordance with regulations
promulgated by the Secretary, evidence of financial responsibility
sufficient to meet the maximum amount of liability to which, in the
case of a tank vessel, the responsible party could be subject under
section 1004 (aXD or (d) of this Act, or to which, in the case of any
other vessel, the responsible party could be subjected under section
1004 (aX2) or (d), in a case where the responsible party would be
entitled to limit liability under that section. If the responsible party
owns or operates more than one vessel, evidence of financial respon-
sibility need be established only to meet the amount of the maxi-
mum liability applicable to the vessel having the greatest maximum
liability.
(b) SANCTIONS.—
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 503
(1) WrrHHOUHNC CLEARANCE.—The Secretary of the Treasury
shall withhold or revoke the clearance required by section 4197
of the Revised Statutes of the United States of any vessel
subject to this section that does not have the evidence of finan-
cial responsibility required for the vessel under this section.
(2) DENYING ENTRY TO OR DETAINING VESSELS.—The Secretary
may—
(A) deny entry to any vessel to any place in the United
States, or to the navigable waters, or
(B) detain at the place,
any vessel that, upon request, does not produce the evidence of
financial responsibility required for the vessel under this sec-
tion.
(3) SEIZURE OF VESSEL.—Any vessel subject to the require-
ments of this section which is found in the navigable waters
without the necessary evidence of financial responsibility for
the vessel shall be subject to seizure by and forfeiture to the
United States.
(c) OFFSHORE FACILITIES.—
(1) IN GENERAL.—Except as provided in paragraph (2), each
responsible party with respect to an offshore facility shall estab-
lish and maintain evidence of financial responsibility of
$150,000,000 to meet the amount of liability to which the
responsible party could be subjected under section 1004(a) in a
case in which the responsible party would be entitled to limit
liability under that section. In a case in which a person is the
responsible party for more than one facility subject to this
subsection, evidence of financial responsibility need be estab-
lished only to meet the maximum liability applicable to the
facility having the greatest maximum liability.
(2) DEEPWATER PORTS.—Each responsible party with respect to
a deepwater port shall establish and maintain evidence of finan-
cial responsibility sufficient to meet the maximum amount of
liability to which the responsible party could be subjected under
section 1004(a) of this Act in a case where the responsible party
would be entitled to limit liability under that section. If the
Secretary exercises the authority under section 1004(dX2) to
lower the limit of liability for deepwater ports, the responsible
party shall establish and maintain evidence of financial respon-
sibility sufficient to meet the maximum amount of liability so
established. In a case in which a person is the responsible party
for more than one deepwater port, evidence of financial respon-
sibility need be established only to meet the maximum liability
applicable to the deepwater port having the greatest maximum
liability.
(e) METHODS OF FINANCIAL RESPONSIBILITY.—Financial responsibil-
ity under this section may be established by any one, or by any
combination, of the following methods which the Secretary (in the
case of a vessel) or the President (in the case of a facility) determines
to be acceptable: evidence of insurance, surety bond, guarantee,
letter of credit, qualification as a self-insurer, or other evidence of
financial responsibility. Any bond filed shall be issued by a bonding
company authorized to do business in the United States. In promul-
gating requirements under this section, the Secretary or the Presi-
dent, as appropriate, may specify policy' or other contractual terms,
conditions, or defenses which are necessary, or which are unaccept-
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104 STAT. 504 PUBLIC LAW 101-380—AUG. 18, 1990
able, in establishing evidence of financial responsibility to effectuate
the purposes of this Act.
(f) CLAIMS AGAINST GUARANTOR.—Any claim for which liability
may be established under section 1002 may be asserted directly
against any guarantor providing evidence of financial responsibility
for a responsible party liable under that section for removal costs
and damages to which the claim pertains. In defending against such
a claim, the guarantor may invoke (1) all rights and defenses which
would be available to the responsible party under this Act, (2) any
defense authorized under subsection (e), and (3) the defense that the
incident was caused by the willful misconduct of the responsible
party. The guarantor may not invoke any other defense that might
be available in proceedings brought by the responsible party against
the guarantor.
(g) LIMITATION ON GUARANTOR'S LIABILITY.—Nothing in this Act
shall impose liability with respect to an incident on any guarantor
for damages or removal costs which exceed, in the aggregate, the
amount of financial responsibility required under this Act which
that guarantor has provided for a responsible party.
(h) CONTINUATION OF REGULATIONS.—Any regulation relating to
financial responsibility, which has been issued pursuant to any
provision of law repealed or superseded by this Act, and which is in
effect on the date immediately preceding the effective date of this
Act, is deemed and shall be construed to be a regulation issued
pursuant to this section. Such a regulation shall remain in full force
and effect unless and until superseded by a new regulation issued
under this section.
(i) UNIFIED CERTIFICATE.—The Secretary may issue a single uni-
fied certificate of financial responsibility for purposes of this Act
and any other law.
33 USC 2717. SEC. 1017. LITIGATION, JURISDICTION, AND VENUE.
(a) REVIEW OF REGULATIONS.—Review of any regulation promul-
gated under this Act may be had upon application by any interested
person only in the Circuit Court of Appeals of the United States for
the District of Columbia. Any such application shall be made within
90 days from the date of promulgation of such regulations. Any
matter with respect to which review could have been obtained under
this subsection shall not be subject to judicial review in any civil or
criminal proceeding for enforcement or to obtain damages or recov-
ery of response costs.
0j) JURISDICTION.—Except as provided in subsections (a) and (c),
the United States district courts shall have exclusive original juris-
diction over all controversies arising under this Act, without regard
to the citizenship of the parties or the amount in controversy. Venue
shall lie in any district in which the discharge or injury or damages
occurred, or in which the defendant resides, may be found, has its
principal office, or has appointed an agent for service of process. For
the purposes of this section, the Fund shall reside in the District of
Columbia.
(c) STATE COURT JURISDICTION.—A State trial court of competent
jurisdiction over claims for removal costs or damages, as defined
under this Act, may consider claims under this Act or State law and
any final judgment of such court (when no longer subject to ordinary
forms of review) shall be recognized, valid, and enforceable for all
purposes of this Act.
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 505
(d) ASSESSMENT AST> COLLECTION OF TAX.—The provisions of
subsections (a), (b), and (c) shall not apply to any controversy or
other matter resulting from the assessment or collection of any tax,
or to the review of any regulation promulgated under the Internal
Revenue Code of 1986.
(e) SAVINGS PROVISION.—Nothing in this title shall apply to any
cause of action or right of recovery arising from any incident which
occurred prior to the date of enactment of this title. Such claims
shall be adjudicated pursuant to the law applicable on the date of
the incident.
(f) PERIOD OF LIMITATIONS.—
(1) DAMAGES.—Except as provided in paragraphs (3) and (4),
an action for damages under this Act shall be barred unless the
action is brought within 3 years after—
(A) the date on which the loss and the connection of the
loss with the discharge in question are reasonably discover-
able with the exercise of due care, or
(B) in the case of natural resource damages under section
1002(bX2XA>. the date of completion of the natural re-
sources damage assessment under section 1006(c).
(2) REMOVAL COSTS.—An action for recovery of removal costs
referred to in section 1002(bXl) must be commenced within 3
years after completion of the removal action. In any such action
described in this subsection, the court shall enter a declaratory-
judgment on liability for removal costs or damages that will be
binding on any subsequent action or actions to recover further
removal costs or damages. Except as otherwise provided in this
paragraph, an action may be commenced under this title for
recovery of removal costs at any time after such costs have been
incurred.
(3) CONTRIBUTION.—No action for contribution for any re-
moval costs or damages may be commenced more than 3 years
after—
(A) the date of judgment in any action under this Act for
recovery of such costs or damages, or
(B) the date of entry of a judicially approved settlement
with respect to such costs or damages.
(4) SUBROGATION.—No action based on rights subrogated
pursuant to this Act by reason of payment of a claim may be
commenced under this Act more than 3 years after the date of
payment of such claim.
(5) COMMENCEMENT.—The tune limitations contained herein
shall not begin to run—
(A) against a minor until the earlier of the date when
such minor reaches 18 years of age or the date on which a
legal representative is duly appointed for such minor, or
(B) against an incompetent person until the earlier of the
date on which such incompetent's incompetency ends or the
date on which a legal representative is duly appointed for
such incompetent.
SEC. 1018. RELATIONSHIP TO OTHER LAW. 33 USC 2718.
(a) PRESERVATION OF STATE AUTHORITIES; SOLID WASTE DISPOSAL
ACT.—Nothing in this Act or the Act of March 3, 1851 shall—
(1) affect, or be construed or interpreted as preempting, the
authority of any State or political subdivision thereof from
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104 STAT. 506 PUBLIC LAW 101-380—AUG. 18, 1990
imposing any additional liability or requirements with respect
to—
(A) the discharge of oil or other pollution by oil within
such State; or
(B) any removal activities in connection with such a
discharge; or
(2) affect, or be construed or interpreted to affect or modify in
any way the obligations or liabilities of any person under the
Solid Waste Disposal Act (42 U.S.C. 6901 et seq.) or State law,
including common law.
(b) PRESERVATION OF STATE FUNDS.—Nothing in this Act or in
section 9509 of the Internal Revenue Code of 1986 (26 U.S.C. 9509)
shall in any way affect, or be construed to affect, the authority of
any State—
(1) to establish, or to continue in effect, a fund any purpose of
which is to pay for costs or damages arising out of, or directly
resulting from, oil pollution or the substantial threat of oil
pollution; or
(2) to require any person to contribute to such a fund.
(c) ADornoNAi REQUIREMENTS AND LIABILITIES; PENALTIES.—Noth-
ing in this Act, the Act of March 3, 1851 (46 U.S.C. 183 et seq.), or
section 9509 of the Internal Revenue Code of 1986 (26 U.S.C. 9509),
shall in any way affect, or be construed to affect, the authority of
the United States or any State or political subdivision thereof—
(1) to impose additional liability or additional requirements;
or
(2) to impose, or to determine the amount of, any fine or
penalty (whether criminal or civil in nature) for any violation of
law;
relating to the discharge, or substantial threat of a discharge, of oil.
(d) FEDERAL EMPLOYEE LIABILITY.—For purposes of section
2679(bX2XB) of title 28, United States Code, nothing in this Act shall
be construed to authorize or create a cause of action against a
Federal officer or employee in the officer's or employee's personal or
individual capacity for any act or omission while acting within the
scope of the officer's or employee's office or employment.
33 USC 2719. SEC. 1019. STATE FINANCIAL RESPONSIBILITY.
A State may enforce, on the navigable waters of the State, the
requirements for evidence of financial responsibility under section
1016.
33 USC 2701 SEC. 1020. APPLICATION.
This Act shall apply to an incident occurring after the date of the
enactment of this Act.
TITLE II—CONFORMING AMENDMENTS
SEC. 2001. INTERVENTION ON THE HIGH SEAS ACT.
Section 17 of the Intervention on the High Seas Act (33 U.S.C.
1486) is amended to read as follows:
"SEC. 17. The Oil Spill Liability Trust Fund shall be available to
the Secretary for actions taken under sections 5 and 7 of this Act."
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PUBLIC LAW 101-380—AUG. 18, 1990
104 STAT. 507
SEC Z002. FEDERAL WATER POLLUTION CONTROL ACT.
(a) APPLICATION.—Subsections (f), (g), Oh), and (i) of section 311 of
the Federal Water Pollution Control Act (33 U.S.C. 1321) shall not
apply with respect to any incident for which liability is established
under section 1002 of this Act.
(b) CONFORMING AMENDMENTS.—Section 311 of the Federal Water
Pollution Control Act (33 U.S.C. 1321) is amended as follows:
(1) Subsection (i) is amended by striking "(1)" after "(i)" and
by striking paragraphs (2) and (3).
(2) Subsection (k) is repealed. Any amounts remaining in the
revolving fund established under that subsection shall be depos-
ited in the Fund. The Fund shall assume all liability incurred
by the revolving fund established under that subsection.
(3) Subsection (1) is amended by striking the second sentence.
(4) Subsection (p) is repealed.
(5) The following is added at the end thereof:
"(s) The Oil Spill Liability Trust Fund established under section
9509 of the Internal Revenue Code of 1986 (26 U.S.C. 9509) shall be
available to carry out subsections (b), (c), (d), (j), and (1) as those
subsections apply to discharges, and substantial threats of dis-
charges, of oil. Any amounts received by the United States under
this section shall be deposited in the Oil S'pill Liability Trust Fund.".
SEC. 2003. DEEPWATER PORT ACT.
(a) CONFORMING AMENDMENTS.—The Deepwater Port Act of 1974
(33 U.S.C. 1502 et seqj is amended—
(1) in section 4(cXD by striking "section 18(1) of this Act;" and
inserting "section 1016" of the Oil Pollution Act of 1990"; and
(2) by striking section 18.
(b) AMOUNTS REMAINING IN DEEPWATER PORT FUND.—Any
amounts remaining in the Deepwater Port Liability Fund estab-
lished under section 18(f) of the Deepwater Port Act of 1974 (33
U.S.C. 1517(f)) shall be deposited in the Oil Spill Liability Trust
Fund established under section 9509 of the Internal Revenue Code of
1986 (26 U.S.C. 9509). The Oil Spill Liability Trust Fund shall
assume all liability incurred by the Deepwater Port Liability Fund.
SEC. 2004. OUTER CONTINENTAL SHELF LANDS ACT AMENDMENTS OF
1978.
Title III of the Outer Continental Shelf Lands Act Amendments of
1978 (43 U.S.C. 1811-1824) is repealed. Any amounts remaining in
the Offshore Oil Pollution Compensation Fund established under
section 302 of that title (43 U.S.C. 1812) shall be deposited in the Oil
Spill Liability Trust Fund established under section 9509 of the
Internal Revenue Code of 1986 (26 U.S.C. 9509j. The Oil Spill
Liability Trust Fund shall assume all liability incurred by the
Offshore Oil Pollution Compensation Fund.
33 USC 1321
note.
33 USC 1321
note.
33 USC 1503.
33 USC 15J7.
26 USC 9509
note.
Repeal.
26 USC 9509
note.
TITLE III—INTERNATIONAL OIL
POLLUTION PREVENTION AND REMOVAL
SEC 3001. SENSE OF CONGRESS REGARDING PARTICIPATION IN INTER-
NATIONAL REGIME.
It is the sense of the Congress that it is in the best interests of the
United States to participate in an international oil pollution liabil-
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104 STAT. 508 PUBLIC LAW 101-380—AUG. 18, 1990
ity and compensation regime that is at least as effective as Federal
and State laws in preventing incidents and in guaranteeing full and
prompt compensation for damages resulting from incidents.
SEC. 3002. UNITED STATES-CANADA GREAT LAKES OIL SPILL COOPERA-
TION.
(a) REVIEW.—The Secretary of State shall review relevant inter-
national agreements and treaties with the Government of Canada,
including the Great Lakes Water Quality Agreement, to determine
whether amendments or additional international agreements are
necessary to—
(1) prevent discharges of oil on the Great Lakes;
(2) ensure an immediate and effective removal of oil on the
Great Lakes; and
(3) fully compensate those who are injured by a discharge of
oil on the Great Lakes.
(b) CONSULTATION.—In carrying out this section, the Secretary of
State shall consult with the Department of Transportation, the
Environmental Protection Agency, the National Oceanic and At-
mospheric Administration, the Great Lakes States, the Inter-
national Joint Commission, and other appropriate agencies.
(c) REPORT.—The Secretary of State shall submit a report to the
Congress on the results of the review under this section within 6
months after the date of the enactment of this Act.
SEC. 3003. UNITED STATES-CANADA LAKE CHAMPLAIN OIL SPILL CO-
OPERATION.
(a) REVIEW.—The Secretary of State shall review relevant inter-
national agreements and treaties with the Government of Canada,
to determine whether amendments or additional international
agreements are necessary to—
(1) prevent discharges of oil on Lake Champlain;
(2) ensure an immediate and effective removal of oil on Lake
Champlain; and
(3) fully compensate those who are injured by a discharge of
oil on Lake Champlain.
Vermont (b) CONSULTATION.—In carrying out this section, the Secretary of
New York. State shall consult with the Department of Transportation, the
Environmental Protection Agency, the National Oceanic and At-
mospheric Administration, the States of Vermont and New York,
the International Joint Commission, and other appropriate agencies.
(c) REPORT.—The Secretary of State shall submit a report to the
Congress on the results of the review under this section within 6
months after the date of the enactment of this Act.
SEC. 3004. INTERNATIONAL INVENTORY OF REMOVAL EQUIPMENT AND
PERSONNEL.
The President shall encourage appropriate international organiza-
tions to establish an international inventory of spill removal equip-
ment and personnel.
SEC. 3005. NEGOTIATIONS WITH CANADA CONCERNING TUG ESCORTS IN
PUGET SOUND.
Congress urges the Secretary of State to enter into negotiations
with the Government of Canada to ensure that tugboat escorts are
required for all tank vessels with a capacity over 40,000 deadweight
tons in the Strait of Juan de Fuca and in Haro Strait.
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 509
TITLE IV—PREVENTION AND REMOVAL
Subtitle A—Prevention
SEC. 4101. REVIEW OF ALCOHOL AND DRUG ABUSE AND OTHER MATTERS
IN ISSUING LICENSES. CERTIFICATES OF REGISTRY. AND
MERCHANT MARINERS' DOCUMENTS.
(a) LICENSES AND CERTIFICATES OF REGISTRY.—Section 7101 of title
46, United States Code, is amended by adding at the end the
following:
"(g) The Secretary may not issue a license or certificate of registry
under this section unless an individual applying for the license or
certificate makes available to the Secretary, under section 206(bX7)
of the National Driver Register Act of 1982 (23 U.S.C. 401 note), any
information contained in the National Driver Register related to an
offense described in section 205(aX3) (A) or (B) of that Act committed
by the individual.
"(h) The Secretary may review the criminal record of an individ-
ual who applies for a license or certificate of registry under this
section.
"(i) The Secretary shall require the testing of an individual who
applies for issuance or renewal of a license or certificate of registry
under this chapter for use of a dangerous drug in violation of law or
Federal regulation.".
(b) MERCHANT MARINERS' DOCUMENTS.—Section 7302 of title 46,
United States Code, is amended by adding at the end the following:
"(c) The Secretary may not issue a merchant mariner's document
under this chapter unless the individual applying for the document
makes available to the Secretary, under section 206(bX7j of the
National Driver Register Act of 1982 (23 U.S.C. 401 note), any
information contained in the National Driver Register related to an
offense described in section 205(aX3) (A) or (B) of that Act committed
by the individual.
"(d) The Secretary may review the criminal record of an individ-
ual who applies for a merchant mariner's document under this
section.
"(e) The Secretary shall require the testing of an individual
applying for issuance or renewal of a merchant mariner's document
under this chapter for the use of a dangerous drug in violation of
law or Federal regulation.".
SEC. 4102. TERM OF LICENSES. CERTIFICATES OF REGISTRY. AND MER-
CHANT MARINERS' DOCUMENTS; CRIMINAL RECORD RE-
VIEWS IN RENEWALS.
(a) LICENSES.—Section 7106 of title 46, United States Code, is
amended by inserting "and may be renewed for additional 5-year
periods" after "is valid for 5 years".
(b) CERTIFICATES OF REGISTRY.—Section 7107 of title 46, United
States Code, is amended by striking "is not limited in duration." and
inserting "is valid for 5 years and may be renewed for additional 5-
year periods.".
(c) MERCHANT MARINERS' DOCUMENTS.—Section 7302 of title 46,
United States Code, is amended by adding at the end the following:
"(f) A merchant mariner's document issued under this chapter is
valid for 5 years and may be renewed for additional 5-year periods.".
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104 STAT. 510 PUBLIC LAW 101-380—AUG. 18, 1990
46 use 7106 (d) TERMINATION OF EXISTING LICENSES, CERTIFICATES, AND Docu-
note- MENTS.—A license, certificate of registry, or merchant mariner's
document issued before the date of the enactment of this section
terminates on the day it would have expired if—
(1) subsections (a), (b), and (c) were in effect on the date it was
issued; and
(2) it was renewed at the end of each 5-year period under
section 7106, 7107, or 7302 of title 46, United States Code.
(e) CRIMINAL RECORD REVIEW IN RENEWALS OF LICENSES AND
CERTIFICATES OF REGISTRY.—
(1) IN GENERAL.—Section 7109 of title 46, United States Code,
is amended to read as follows:
"§ 7109. Review of criminal records
"The Secretary may review the criminal record of each holder of a
license or certificate of registry issued under this part who applies
for renewal of that license or certificate of registry.'.
(2) CLERICAL AMENDMENT.—The analysis for chapter 71 of title
46, United States Code, is amended by striking the item relating
to section 7109 and inserting the following:
"7109. Review of criminal records.".
SEC. 4183. SUSPENSION AND REVOCATION OF LICENSES, CERTIFICATES
OF REGISTRY, AND MERCHANT MARINERS' DOCUMENTS FOR
ALCOHOL AND DRUG ABUSE.
(a) AVAILABILITY OF INFORMATION IN NATIONAL DRIVER REG-
ISTER.—
(1) IN GENERAL.—Section 7702 of title 46, United States Code,
is amended by adding at the end the following:
"(cXD The Secretary shall request a holder of a license, certificate
of registry, or merchant mariner's document to make available to
the Secretary, under section 206(bX4) of the National Driver Reg-
ister Act of 1982 (23 U.S.C. 401 note), all information contained in
the National Driver Register related to an offense described in
section 205(aX3) (A) or (B) of that Act committed by the individual.
"(2) The Secretary shall require the testing of the holder of a
license, certificate of registry, or merchant mariner's document for
use of alcohol and dangerous drugs in violation of law or Federal
regulation. The testing may include preemployment (with respect to
dangerous drugs only), periodic, random, reasonable cause, and post
accident testing.
"(dXD The Secretary may temporarily, for not more than 45 days,
suspend and take possession of the license, certificate of registry, or
merchant mariner's document held by an individual if, when acting
under the authority of that license, certificate, or document—
"(A) that individual performs a safety sensitive function on a
vessel, as determined by the Secretary; and
"(B) there is probable cause to believe that the individual—
"(i) has performed the safety sensitive function in viola-
tion of law or Federal regulation regarding use of alcohol or
a dangerous drug;
"(ii) has been convicted of an offense that would prevent
the issuance or renewal of the license, certificate, or docu-
ment; or
"(iii) within the 3-year period preceding the initiation of a
suspension proceeding, has been convicted of an offense
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 511
described in section 205(aX3) (A) or (B) of the National
Driver Register Act of 1982.
"(2) If a license, certificate, or document is temporarily suspended
under this section, an expedited hearing under subsection (a) of this
section shall be held within 30 days after the temporary suspen-
sion.".
(2) DEFINITION OF DANGEROUS DRUG.—
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104 STAT. 512 PUBLIC LAW 101-380—AUG. 18, 1990
mate, or operator licensed under section 7101(c) (1) or (3) of this title
shall—
"(1) temporarily relieve the master or individual in charge;
"(2) temporarily take command of the vessel;
"(3) in the case of a vessel required to have a log under
chapter 113 of this title, immediately enter the details of the
incident in the log; and
"(4) report those details to the Secretary—
"(A) by the most expeditious means available; and
"(B) in written form transmitted within 12 hours after
the vessel arrives at its next port.".
SEC. 4105. ACCESS TO NATIONAL DRIVER REGISTER.
(a) ACCESS TO REGISTER.—Section 206(b) of the National Driver
Register Act of 1982 (23 U.S.C. 401 note) is amended—
(1) by redesignating the second paragraph (5) (as added to the
end of that section by section 4(bXD of the Rail Safety Improve-
ment Act of 1988) as paragraph (6); and
(2) by adding at the end the following:
"(7XA) Any individual who holds or who has applied for a license
or certificate of registry under section 7101 of title 46, United States
Code, or a merchant mariner's document under section 7302 of title
46, United States Code, may request the chief driver licensing
official of a State to transmit to the Secretary of the department in
which the Coast Guard is operating in accordance with subsection
(a) information regarding the motor vehicle driving record of the
individual.
"(B) The Secretary—
"(i) may receive information transmitted by the chief driver
licensing official of a State pursuant to a request under subpa; a-
graph (A);
"(ii) shall make the information available to the individual for
review and written comment before denying, suspending, or
revoking the license, certificate of registry, or merchant mari-
ner's document of the individual based on that information and
before using that information in any action taken under chap-
ter 77 of title 46, United States Code; and
"(iii) may not otherwise divulge or use that information,
except for the purposes of section 7101, 7302, or 7703 of title 46,
United States Code.
"(C) Information regarding the motor vehicle driving record of an
individual may not be transmitted to the Secretary under this
paragraph if the information was entered in the Register more than
3 years before the date of the request for the information, unless the
information relates to revocations or suspensions that are still in
effect on the date of the request. Information submitted to the
Register by States under the Act of July 14, 1960 (74 Stat. 526), or
under this title shall be subject to access for the purpose of this
paragraph during the transition to the Register described under
section 203(c) of this title.".
(b) CONFORMING AMENDMENTS.—
(1) REVIEW OF INFORMATION RECEIVED FROM REGISTER. Chap-
ter 75 of title 46, United States Code, is amended by adding at
the end the following:
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 513
" § 7505. Review of information in National Driver Register
"The Secretary shall make information received from the Na-
tional Driver Register under section 206(bX7) of the National Driver
Register Act of 1982 (23 U.S.C. 401 note) available to an individual
for review and written comment before denying, suspending, revok-
ing, or taking any other action relating to a license, certificate of
registry, or merchant mariner's document authorized to be issued
for that individual under this part, based on that information.".
(2) PENALTY FOR NEGLIGENT OPERATION OF VESSEL.—Section
2302(c) of title 46, United States Code, is amended by striking
"intoxicated" and inserting "under the influence of alcohol, or a
dangerous drug in violation of a law of the United States".
(c) CLERICAL AMENDMENT.—The analysis for chapter 75 of title 46,
United States Code, is amended by adding at the end the following:
"7505. Review of information in National Driver Register.".
SEC 4106. MANNING STANDARDS FOR FOREIGN TANK VESSELS.
(a) STANDARDS FOR FOREIGN TANK VESSELS.—Section 9101(a) of
title 46, United States Code, is amended to read as follows:
"(aXl) The Secretary shall evaluate the manning, training, quali-
fication, and watchkeeping standards of a foreign country that
issues documentation for any vessel to which chapter 37 of this title
applies—
"(A) on a periodic basis; and
"(B) when the vessel is involved in a marine casualty required
to be reported under section 6101(a) (4) or (5) of "this title.
"(2) After each evaluation made under paragraph (1) of this
subsection, the Secretary shall determine whether—
"(A) the foreign country has standards for licensing and
certification of seamen that are at least equivalent to United
States law or international standards accepted by the United
States; and
"(B) those standards are being enforced.
"(3) If the Secretary determines under this subsection that a
country has failed to maintain or enforce standards at least equiva-
lent to United States law or international standards accepted by the
United States, the Secretary shall prohibit vessels issued docu-
mentation by that country from entering the United States until the
Secretary determines those standards have been established and are
being enforced.
"(4) The Secretary may allow provisional entry of a vessel prohib-
ited from entering the United States under paragraph (3) of this
subsection if—
"(A) the owner or operator of the vessel establishes, to the
satisfaction of the Secretary, that the vessel is not unsafe or a
threat to the marine environment; or
"(B) the entry is necessary for the safety of the vessel or
individuals on the vessel.".
CD) REPORTING MARINE CASUALTIES.—
(1) REPORTING REQUIREMENT.—Section 6101(a) of title 46,
United States Code, is amended by adding at the end the
following:
"(5) significant harm to the environment.".
(2) APPLICATION TO FOREIGN VESSELS.—Section 6101(d) of title
46, United States Code, is amended—
(A) by inserting "(1)" before 'This part"; and
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104 STAT. 514 PUBLIC LAW 101-380—AUG. 18, 1990
(B) by adding at the end the following:
"(2) This part applies, to the extent consistent with generally
recognized principles of international law, to a foreign vessel con-
structed or adapted to carry, or that carries, oil in bulk as cargo or
cargo residue involved in a marine casualty described under subsec-
tion (a) (4) or (5) in waters subject to the jurisdiction of the United
States, including the Exclusive Economic Zone.".
(c) TECHNICAL AND CONFORMING AMENDMENTS.—Section 9(a) of
the Ports and Waterways Safety Act (33 U.S.C. 1228(a)) is
amended—
(1) in the matter preceding paragraph (1), by striking "section
4417a of the Revised Statutes, as amended," and inserting
"chapter 37 of title 46, United States Code,";
(2) in paragraph (2), by striking "section 4417a of the Revised
Statutes, as amended," and inserting "chapter 37 of title 46,
United States Code,"; and
(3) in paragraph (5), by striking "section 4417a(ll) of the
Revised Statutes, as amended," and inserting "section 9101 of
title 46, United States Code,".
SEC. 4107. VESSEL TRAFFIC SERVICE SYSTEMS.
(a) IN GENERAL.—Section 4(a) of the Ports and Waterways Safety
Act (33 U.S.C. 1223(a)) is amended—
(1) by striking "Secretary may—" and inserting "Secre-
ary—";
(2) in paragraph (1) by striking "establish, operate, and main-
tain" and inserting "may construct, operate, maintain, improve,
or expand";
(3) in paragraph (2) by striking "require" and inserting "shall
require appropriate";
(4) in paragraph (3) by inserting "may" before "require";
(5) in paragraph (4) by inserting "may" before "control'; and
(6) in paragraph (5) by inserting "may" before "require".
(b) DIRECTION OF VESSEL MOVEMENT.—
(1) STUDY.—The Secretary shall conduct a study—
(A) of whether the Secretary should be given additional
authority to direct the movement of vessels on navigable
waters and should exercise such authority; and
(B) to determine and prioritize the United States ports
and channels that are in need of new, expanded, or im-
proved vessel traffic service systems, by evaluating—
(i) the nature, volume, and frequency of vessel traffic;
(ii) the risks of collisions, spills, and damages associ-
ated with that traffic;
(iii) the impact of installation, expansion, or improve-
ment of a vessel traffic service system; and
(iv) all other relevant costs and data.
(2) REPORT.—Not later than 1 year after the date of the
enactment of this Act, the Secretary shall submit to the Con-
gress a report on the results of the study conducted under
paragraph (1) and recommendations for implementing the re-
sults of that study.
SEC. 4108. GREAT LAKES PILOTAGE.
(a) INDIVIDUALS WHO MAY SERVE AS PILOT ON UNDESIGNATED
GREAT LAKE WATERS.—Section 9302(b) of title 46, United States
Code, is amended to read as follows:
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PUBLIC LAW 101-380—AUG. 18, 1990
104 STAT. 515
"(b) A member of the complement of a vessel of the United States
operating on register or of a vessel of Canada may serve as the pilot
required on waters not designated by the President if the member is
licensed under section 7101 of this title, or under equivalent provi-
sions of Canadian law, to direct the navigation of the vessel on the
waters being navigated.".
(b) PENALTIES.—Section 9308 of title 46, United States Code, is
amended in each of subsections (a), (b), and (c) by striking "S500"
and inserting "no more than $10,000".
SEC. 4109. PERIODIC GAUGING OF PLATING THICKNESS OF COMMERCIAL
VESSELS.
Not later than 1 year after the date of the enactment of this Act, Regulations.
the Secretary shall issue regulations for vessels constructed or
adapted to carry, or that carry, oil in bulk as cargo or cargo
residue—
(1) establishing minimum standards for plating thickness; and
(2) requiring, consistent with generally recognized principles
of international law, periodic gauging of the plating thickness of
all such vessels over 30 years old operating on the navigable
waters or the waters of the exclusive economic zone.
46 USC 3703
note
SEC 4110. OVERFILL AND TANK LEVEL OR PRESSURE MONITORING DE-
VICES.
(a.) STANDARDS.—Not later than 1 year after the date of the
enactment of this Act, the Secretary shall establish, by regulation,
minimum standards for devices for warning persons of overfills and
tank levels of oil in cargo tanks and devices for monitoring the
pressure of oil cargo tanks.
(b) USE.—Not later than 1 year after the date of the enactment of
this Act, the Secretary shall issue regulations establishing, consist-
ent with generally recognized principles of international law,
requirements concerning the use of—
(1) overfill devices, and
(2) tank level or pressure monitoring devices,
which are referred to in subsection (a) and which meet the standards
established by the Secretary under subsection (a), on vessels con-
structed or adapted to carry, or that carry, oil in bulk as cargo or
cargo residue on the navigable waters and the waters of the exclu-
sive economic zone.
SEC 4111. STUDY ON TANKER NAVIGATION SAFETY STANDARDS.
(a) IN GENERAL.—Not later than 1 year after the date of enact-
ment of this Act, the Secretary shall initiate a study to determine
whether existing laws and regulations are adequate to ensure the
safe navigation of vessels transporting oil or hazardous substances
in JDulk on the navigable waters and the waters of the exclusive
economic zone.
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104 STAT. 516 PUBLIC LAW 101-380—AUG. 18, 1990
(4) evaluate the adequacy of navigation equipment and sys-
tems on tankers (including sonar, electronic chart display, and
satellite technology);
(5) evaluate and test electronic means of position-reporting
and identification on tankers, consider the minimum standards
suitable for equipment for that purpose, and determine whether
to require that equipment on tankers;
(6) evaluate the adequacy of navigation procedures under
different operating conditions, including such variables as
speed, daylight, ice, tides, weather, and other conditions;
(7) evaluate whether areas of navigable waters and the exclu-
sive economic zone should be designated as zones where the
movement of tankers should be limited or prohibited;
(8) evaluate whether inspection standards are adequate;
(9) review and incorporate the results of past studies, includ-
ing studies conducted by the Coast Guard and the Office of
Technology Assessment;
(10) evaluate the use of computer simulator courses for train-
ing bridge officers and pilots of vessels transporting oil or
hazardous substances on the navigable waters and waters of the
exclusive economic zone, and determine the feasibility and
practicality of mandating such training;
(11) evaluate the size, cargo capacity, and flag nation of
tankers transporting oil or hazardous substances on the navi-
gable waters and the waters of the exclusive economic zone—
(A) identifying changes occurring over the past 20 years
in such size and cargo capacity and in vessel navigation and
technology; and
(B) evaluating the extent to which the risks or difficulties
associated with tanker navigation, vessel traffic control,
accidents, oil spills, and the containment and cleanup of
such spills are influenced by or related to an increase in
tanker size and cargo capacity; and
(12) evaluate and test a program of remote alcohol testing for
masters and pilots aboard tankers carrying significant quan-
tities of oil.
(c) REPORT.—Not later than 2 years after the date of enactment of
this Act, the Secretary shall transmit to the Congress a report on
the results of the study conducted under subsection (a), including
recommendations for implementing the results of that study.
SEC. 4112. DREDGE MODIFICATION STUDY.
(a) STUDY.—The Secretary of the Army shall conduct a study and
demonstration to determine the feasibility of modifying dredges to
make them usable in removing discharges of oil and hazardous
substances.
(b) REPORT.—Not later than 1 year after the date of enactment of
this Act, the Secretary of the Army shall submit to the Congress a
report on the results of the study conducted under subsection (a) and
recommendations for implementing the results of that study.
President of U.S. SEC. 4113. USE OF LINERS.
(a) STUDY.—The President shall conduct a study to determine
whether liners or other secondary means of containment should be
used to prevent leaking or to aid in leak detection at onshore
facilities used for the bulk storage of oil and located near navigable
waters.
39-139 O - 90 - 2 i3»i
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 517
(b) REPORT.—Not later than 1 year after the date of enactment of
this Act, the President shall submit to the Congress a report on the
results of the study conducted under subsection (a) and rec-
ommendations to implement the results of the study.
(c) IMPLEMENTATION.—Not later than 6 months after the date the
report required under subsection (b) is submitted to the Congress,
the President shall implement the recommendations contained in
the report.
SEC 4114. TANK VESSEL MANNING. 46 USC 3703
(a) RULEMAKING.—In order to protect life, property, and the
environment, the Secretary shall initiate a rulemaking proceeding
within 180 days after the date of the enactment of this Act to define
the conditions under, and designate the waters upon, which tank
vessels subject to section 3703 of title 46, United States Code, may
operate in the navigable waters with the auto-pilot engaged or
with an unattended engine room.
CD) WATCHES.—Section 8104 of title 46, United States Code, is
amended by adding at the end the following new subsection:
"(n) On a tanker, a licensed individual or seaman may not be
permitted to work more than 15 hours in any 24-hour period, or
more than 36 hours in any 72-hour period, except in an emergency
or a drill. In this subsection, 'work' includes any administrative
duties associated with the vessel whether performed on board the
vessel or onshore.".
(c) MANNING REQUIHEMENT.—Section 8l01(a) of title 46, United
States Code, is amended—
(1) by striking "and" at the end of paragraph (1);
(2) by striking the period at the end of paragraph (2) and
inserting "; and'; and
(3) by adding at the end the following new paragraph:
"(3) a tank vessel shall consider the navigation, cargo han-
dling, and maintenance functions of that vessel for protection of
life, property, and the environment.".
(d) STANDARDS.—Section 9102(a) of title 46, United States Code, is
amended—
(1) by striking "and" at the end of paragraph (6);
(2) by striking the period at the end of paragraph (7) and
inserting "; and"; and
(3) by adding at the end the following new paragraph:
"(8) instruction in vessel maintenance functions.".
(e) RECORDS.—Section 7502 of title 46, United States Code, is
amended by striking "maintain records" and inserting "maintain
computerized records".
SEC. 4115. ESTABLISHMENT OF DOUBLE HULL REQUIREMENT FOR TANK
VESSELS.
(a) DOUBLE HULL REQUIREMENT.—Chapter 37 of title 46, United
States Code, is amended by inserting after section 3703 the following
new section:
"§ 3703a, Tank vessel construction standards
"(a) Except as otherwise provided in this section, a vessel to which
this chapter applies shall be equipped with a double hull—
"(1) if it is constructed or adapted to carry, or carries, oil in
bulk as cargo or cargo residue; and
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104 STAT. 518 PUBLIC LAW 101-380—AUG. 18, 1990
"(2) when operating on the waters subject to the jurisdiction
of the United States, including the Exclusive Economic Zone.
"(b) This section does not apply to—
"(1) a vessel used only to respond to a discharge of oil or a
hazardous substance;
"(2) a vessel of less than 5,000 gross tons equipped with a
double containment system determined by the Secretary to be
as effective as a double hull for the prevention of a discharge of
oil; or
"(3) before January 1,2015—
"(A) a vessel unloading oil in bulk at a deepwater port
licensed under the Deepwater Port Act of 1974 (33 U.S.C.
1501 et seq.); or
"(B) a delivering vessel that is offloading in lightering
activities—
"(i) within a lightering zone established under section
3715(bX5) of this title; and
"(ii) more than 60 miles from the baseline from
which the territorial sea of the United States is meas-
ured.
"(cXD In this subsection, the age of a vessel is determined from
the later of the date on which the vessel—
"(A) is delivered after original construction;
"(B) is delivered after completion of a major conversion; or
"(C) had its appraised salvage value determined by the Coast
Guard and is qualified for documentation under section 4136 of
the Revised Statutes of the United States (46 App. U.S.C. 14).
"(2) A vessel of less than 5,000 gross tons for which a building
contract or contract for major conversion was placed before June 30,
1990, and that is delivered under that contract before January 1,
1994, and a vessel of less than 5,000 gross tons that had its appraised
salvage value determined by the Coast Guard before June 30, 1990,
and that qualifies for documentation under section 4136 of the
Revised Statutes of the United States (46 App. U.S.C. 14) before
January 1, 1994, may not operate in the navigable waters or the
Exclusive Economic Zone of the United States after January 1, 2015,
unless the vessel is equipped with a double hull or with a double
containment system determined by the Secretary to be as effective
as a double hull for the prevention of a discharge of oil.
"(3) A vessel for which a building contract or contract for major
conversion was placed before June 30, 1990, and that is delivered
under that contract before January 1, 1994, and a vessel that had its
appraised salvage value determined by the Coast Guard before June
30, 1990, and that qualifies for documentation under section 4136 of
the Revised Statutes of the United States (46 App. U.S.C. 14) before
January 1, 1994, may not operate in the navigable waters or Exclu-
sive Economic Zone of the United States unless equipped with a
double hull—
"(A) in the case of a vessel of at least 5,000 gross tons but less
than 15,000 gross tons—
"(i) after January 1, 1995, if the vessel is 40 years old or
older and has a single hull, or is 45 years old or older and
has a double bottom or double sides;
"(ii) after January 1, 1996, if the vessel is 39 years old or
older and has a single hull, or is 44 years old or older and
has a double bottom or double sides;
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 519
"(iii) after January 1, 1997, if the vessel is 38 years old or
older and has a single hull, or is 43 years old or older and
has a double bottom or double sides;
"(iv) after January 1,1998, if the vessel is 37 years old or
older and has a single hull, or is 42 years old or older and
has a double bottom or double sides;
"(v) after January 1, 1999, if the vessel is 36 years old or
older and has a single hull, or is 41 years old or older and
has a double bottom or double sides;
"(vi) after January 1, 2000, if the vessel is 35 years old or
older and has a single hull, or is 40 years old or older and
has a double bottom or double sides; and
"(vii) after January 1, 2005, if the vessel is 25 years old or
older and has a single hull, or is 30 years old or older and
has a double bottom or double sides;
"(B) in the case of a vessel of at least 15,000 gross tons but less
than 30,000 gross tons—
"(i) after January 1, 1995, if the vessel is 40 years old or
older and has a single hull, or is 45 years old or older and
has a double bottom or double sides;
"(ii) after January 1, 1996, if the vessel is 38 years old or
older and has a single hull, or is 43 years old or older and
has a double bottom or double sides;
"(iii) after January 1, 1997, if the vessel is 36 years old or
older and has a single hull, or is 41 years old or older and
has a double bottom or double sides;
"(iv) after January 1, 1998, if the vessel is 34 years old or
older and has a single hull, or is 39 years old or older and
has a double bottom or double sides;
"(v) after January 1, 1999, if the vessel is 32 years old or
older and has a single hull, or 37 years old or older and has
a double bottom or double sides;
"(vi) after January 1, 2000, if the vessel is 30 years old or
older and has a single hull, or is 35 years old or older and
has a double bottom or double sides;
"(vii) after January 1, 2001, if the vessel is 29 years old or
older and has a single hull, or is 34 years old or older and
has a double bottom or double sides;
"(viii) after January 1, 2002, if the vessel is 28 years old or
older and has a single hull, or is 33 years old or older and
has a double bottom or double sides;
"(be) after January 1, 2003, if the vessel is 27 years old or
older and has a single hull, or is 32 years old or older and
has a double bottom or double sides;
"(x) after January 1, 2004, if the vessel is 26 years old or
older and has a single hull, or is 31 years old or older and
has a double bottom or double sides; and
"(xi) after January 1, 2005, if the vessel is 25 years old or
older and has a single hull, or is 30 years old or older and
has a double bottom or double sides; and
"(C) in the case of a vessel of at least 30,000 gross tons—
"(i) after January 1. 1995, if the vessel is 28 years old or
older and has a single hull, or 33 years old or older and has
a double bottom or double sides;
"(ii) after January 1, 1996, if the vessel is 27 years old or
older and has a single hull, or is 32 years old or older and
has a double bottom or double sides;
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104 STAT. 520 PUBLIC LAW 101-380—AUG. 18, 1990
"(iii) after January 1, 1997, if the vessel is 26 years old or
older and has a single hull, or is 31 years old or older and
has a double bottom or double sides;
"(iv) after January 1, 1998, if the vessel is 25 years old or
older and has a single hull, or is 30 years old or older and
has a double bottom or double sides;
"(v) after January 1, 1999, if the vessel is 24 years old or
older and has a single hull, or 29 years old or older and has
a double bottom or double sides; and
"(vi) after January 1, 2000, if the vessel is 23 years old or
older and has a single hull, or is 28 years old or older and
has a double bottom or double sides.
"(4) Except as provided in subsection (b) of this section—
"(A) a vessel that has a single hull may not operate after
January 1, 2010; and
"(B) a vessel that has a double bottom or double sides may not
operate after January 1, 2015.".
46 USC 3703a (b) RuLEMAKiNG.—The Secretary shall, within 12 months after the
note. date of the enactment of this Act, complete a rulemaking proceeding
and issue a final rule to require that tank vessels over 5,000 gross
tons affected by section 3703a of title 46, United States Code, as
added by this section, comply until January 1, 2015, with structural
and operational requirements that the Secretary determines will
provide as substantial protection to the environment as is economi-
cally and technologically feasible.
(c) CLERICAL AMENDMENT.—The analysis for chapter 37 of title 46,
United States Code, is amended by inserting after the item relating
to section 3703 the following:
"3703a. Tank vessel construction standards.".
(d) LIGHTERING REQUIREMENTS.—Section 3715(a) of title 46, United
States Code, is amended—
(1) in paragraph (1), by striking "; and" and inserting a
semicolon;
(2) in paragraph (2), by striking the period and inserting
"; and"; and
(3) by adding at the end the following:
"(3) the delivering and the receiving vessel had on board at
the time of transfer, a certificate of financial responsibility as
would have been required under section 1016 of the Oil Pollu-
tion Act of 1990, had the transfer taken place in a place subject
to the jurisdiction of the United States;
"(4) the delivering and the receiving vessel had on board at
the time of transfer, evidence that each vessel is operating in
compliance with section 311(j) of the Federal Water Pollution
Control Act (33 U.S.C. 1321(j)); and
"(5) the delivering and the receiving vessel are operating in
compliance with section 3703a of this title.".
46 USC 3703a (e) SECRETARIAL STUDIES.—
(D OTHER REQUIREMENTS.—Not later than 6 months after the
date of enactment of this Act, the Secretary shall determine,
based on recommendations from the National Academy of Sci-
ences or other qualified organizations, whether other structural
and operational tank vessel requirements will provide protec-
tion to the marine environment equal to or greater than that
provided by double hulls, and shall report to the Congress that
determination and recommendations for legislative action.
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 521
(2) REVIEW AND ASSESSMENT.—The Secretary shall—
(A) periodically review recommendations from the Na-
tional Academy of Sciences and other qualified organiza-
tions on methods for further increasing the environmental
and operational safety of tank vessels;
(B) not later than 5 years after the date of enactment of
this Act, assess the impact of this section on the safety of
the marine environment and the economic viability and
operational makeup of the maritime oil transportation in-
dustry; and
(C) report the results of the review and assessment to the Reports.
Congress with recommendations for legislative or other
action.
(f) VESSEL FINANCING.—Section 1104 of the Merchant Marine Act
of 1936 (46 App. U.S.C-1274) is amended—
(1) by striking "SEC. 1104." and inserting "SEC. 1104A."; and
(2) by inserting after section 1104A (as redesignated by para-
graph (1)) the following:
"Sec. 1104B. (a) Notwithstanding the provisions of this title, 46 USC app.
except as provided in subsection (d) of this section, the Secretary, 1274a
upon the terms the Secretary may prescribe, may guarantee or
make a commitment to guarantee, payment of the principal of and
interest on an obligation which aids in financing and refinancing,
including reimbursement to an obligor for expenditures previously
made, of a contract for construction or reconstruction of a vessel or
vessels owned by citizens of the United States which are designed
and to be employed for commercial use in the coastwise or
intercoastal trade or in foreign trade as defined in section 905 of this
Act if—
"(1) the construction or reconstruction by an applicant is
made necessary to replace vessels the continued operation of
which is denied by virtue of the imposition of a statutorily
mandated change in standards for the operation of vessels, and
where, as a matter of law, the applicant would otherwise be
denied the right to continue operating vessels in the trades in
which the applicant operated prior to the taking effect of the
statutory or regulatory change;
"(2) the applicant is presently engaged in transporting car-
goes in vessels of the type and class that will be constructed or
reconstructed under this section, and agrees to employ vessels
constructed or reconstructed under this section as replacements
only for vessels made obsolete by changes in operating stand-
ards imposed by statute;
"(3) the capacity of the vessels to be constructed or re-
constructed under this title will not increase the cargo carrying
capacity of the vessels being replaced;
"(4) the Secretary has not made a determination that the
market demand for the vessel over its useful life will diminish
so as to make the granting of the guarantee fiduciarily im-
prudent; and
"(5) the Secretary- has considered the provisions of section
1104A(dXlXA) (iii), dv), and (v) of this title.
"(b) For the purposes of this section—
"(1) the maximum term for obligations guaranteed under this
program may not exceed 25 years;
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104 STAT. 522 PUBLIC LAW 101-380—AUG. 18, 1990
"(2) obligations guaranteed may not exceed 75 percent of the
actual cost or depreciated actual cost to the applicant for the
construction or reconstruction of the vessel; and
"(3) reconstruction cost obligations may not be guaranteed
unless the vessel after reconstruction will have a useful life of
at least 15 years.
"(cXD The Secretary shall by rule require that the applicant
provide adequate security against default. The Secretary may, in
addition to any fees assessed under section 1104A(e), establish a
Vessel Replacement Guarantee Fund into which shall be paid by
obligors under this section—
"(A) annual fees which may be an additional amount on the
loan guarantee fee in section 1104A(e) not to exceed an addi-
tional 1 percent; or
"(B) fees based on the amount of the obligation versus the
percentage of the obligor's fleet being replaced by vessels con-
structed or reconstructed under this section.
"(2) The Vessel Replacement Guarantee Fund shall be a
subaccount in the Federal Ship Financing Fund, and shall—
"(A) be the depository for all moneys received by the Sec-
retary under sections 1101 through 1107 of this title with
respect to guarantee or commitments to guarantee made under
this section;
"(B) not include investigation fees payable under section
1104A(f) which shall be paid to the Federal Ship Financing
Fund; and
"(C) be the depository, whenever there shall be outstanding
any notes or obligations issued by the Secretary under section
1105(d) with respect to the Vessel Replacement Guarantee
Fund, for all moneys received by the Secretary under sections
1101 through 1107 from applicants under this section.
"(d) The program created by this section shall, in addition to the
requirements of this section, be subject to the provisions of sections
1101 through 1103; 1104A(b) (1), (4), (5), (6); 1104A(e); 1104A(f);
1104A(h); and 1105 through 1107; except that the Federal Ship
Financing Fund is not liable for any guarantees or commitments to
guarantee issued under this section.".
SEC. 4116. PILOTAGE.
(a) PILOT REQUIRED.—Section 8502(g) of title 46, United States
Code, is amended to read as follows:
Regulations "(gXD The Secretary shall designate by regulation the areas of the
Alaska. approaches to and waters of Prince William Sound, Alaska, if any,
on which a vessel subject to this section is not required to be under
the direction and control of a pilot licensed under section 7101 of
this title.
"(2) In any area of Prince William Sound, Alaska, where a vessel
subject to this section is required to be under the direction and
control of a pilot licensed under section 7101 of this title, the pilot
may not be a member of the crew of that vessel and shall be a pilot
licensed by the State of Alaska who is operating under a Federal
license, when the vessel is navigating waters between 60°49' North
latitude and the Port of Valdez, Alaska.".
(b) SECOND PERSON REQUIRED.—Section 8502 of title 46, United
States Code, is amended by adding at the end the following:
"(h) The Secretary shall designate waters on which tankers over
1,600 gross tons subject to this section shall have on the bridge a
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PUBLIC LAW 101-380—AUG. 18, 1990
104 STAT. 523
master or mate licensed to direct and control the vessel under
section 7101lcXD of this title who is separate and distinct from the
pilot required under subsection (a) of this section.".
(c) ESCORTS FOR CERTAIN TANKERS.—Not later than 6 months after
the date of the enactment of this Act, the Secretary shall initiate
issuance of regulations under section 3703(aX3) of title 46, United
States Code, to define those areas, including Prince William Sound,
Alaska, and Rosario Strait and Puget Sound, Washington (including
those portions of the Strait of Juan de Fuca east of Port Angeles,
Haro Strait, and the Strait of Georgia subject to United States
jurisdictionJ, on which single hulled tankers over 5,000 gross tons
transporting oil in bulk shall be escorted by at least two towing
vessels (as defined under section 2101 of title 46, United States Code)
or other vessels considered appropriate by the Secretary.
(d) TANKER DEFINED.—In this section the term "tanker" has the
same meaning the term has in section 2101 of title 46, United States
Code.
SEC 4117. MARITIME POLLUTION PREVENTION TRAINING PROGRAM
STUDY.
The Secretary shall conduct a study to determine the feasibility of
a Maritime Oil Pollution Prevention Training program to be carried
out in cooperation with approved maritime training institutions.
The study shall assess the costs and benefits of transferring suitable
vessels to selected maritime training institutions, equipping the
vessels for oil spill response, and training students in oil pollution
response skills. The study shall be completed and transmitted to the
Congress no later than one year after the date of the enactment of
this Act.
SEC 411S. VESSEL COMMUNICATION EQUIPMENT REGULATIONS.
The Secretary shall, not later than one year after the date of the
enactment of this Act, issue regulations necessary to ensure that
vessels subject to the Vessel Bridge-to-Bridge Radiotelephone Act of
1971 (33 U.S.C. 1203) are also equipped as necessary to—
(1) receive radio marine navigation safety warnings; and
(2) engage in radio communications on designated frequencies
with the Coast Guard, and such other vessels and stations as
may be specified by the Secretary.
Subtitle B—Removal
Regulations.
Alaska.
Washington.
46 USC 3703
note.
46 USC 3703
note.
46 USC app.
1295 note.
33 USC 1203
note.
SEC 4201. FEDERAL REMOVAL AUTHORITY.
(a) IN GENERAL.—Subsection (c) of section 311 of the Federal
Water Pollution Control Act (33 U.S.C. 1321(c)j is amended to read
as follows:
"(c) FEDERAL REMOVAL AUTHORITY.—
"(1) GENERAL REMOVAL REQUIREMENT.—(A) The President
shall, in accordance with the National Contingency Plan and
any appropriate Area Contingency Plan, ensure effective and
immediate removal of a discharge, and mitigation or prevention
of a substantial threat of a discharge, of oil or a hazardous
substance—
"(i) into or on the navigable waters;
"(ii) on the adjoining shorelines to the navigable waters;
President of U.S.
Hazardous
materials.
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104 STAT. 524 PUBLIC LAW 101-380—AUG. 18, 1990
"(iii) into or on the waters of the exclusive economic zone;
or
"(iv) that may affect natural resources belonging to, ap-
pertaining to, or under the exclusive management author-
ity of the United States.
"(B) In carrying out this paragraph, the President may—
"(i) remove or arrange for the removal of a discharge, and
mitigate or prevent a substantial threat of a discharge, at
any time;
"(ii) direct or monitor all Federal, State, and private
actions to remove a discharge; and
"(iii) remove and, if necessary, destroy a vessel discharg-
ing, or threatening to discharge, by whatever means are
available.
"(2) DISCHARGE POSING SUBSTANTIAL THREAT TO PUBLIC HEALTH
OR WELFARE.—(A) If a discharge, or a substantial threat of a
discharge, of oil or a hazardous substance from a vessel, offshore
facility, or onshore facility is of such a size or character as to be
a substantial threat to the public health or welfare of the
United States (including but not limited to fish, shellfish, wild-
life, other natural resources, and the public and private beaches
and shorelines of the United States), the President shall direct
all Federal, State, and private actions to remove the discharge
or to mitigate or prevent the threat of the discharge.
"(B) In carrying out this paragraph, the President may, with-
out regard to any other provision of law governing contracting
procedures or employment of personnel by the Federal Govern-
ment— .
"(i) remove or arrange for the removal of the discharge,
or mitigate or prevent the substantial threat of the dis-
charge; and
"(ii) remove and, if necessary, destroy a vessel discharg-
ing, or threatening to discharge, by whatever means are
available.
"(3) ACTIONS IN ACCORDANCE WITH NATIONAL CONTINGENCY
PLAN.—(A) Each Federal agency, State, owner or operator, or
other person participating in efforts under this subsection shall
act in accordance with the National Contingency Plan or as
directed by the President.
"(B) An owner or operator participating in efforts under this
subsection shall act in accordance with the National Contin-
gency Plan and the applicable response plan required under
subsection (j), or as directed by the President.
"(4) EXEMPTION FROM LIABILITY.—(A) A person is not liable for
removal costs or damages which result from actions taken or
omitted to be taken in the course of rendering care, assistance,
or advice consistent with the National Contingency Plan or as
otherwise directed by the President.
"(B) Subparagraph (A) does not apply—
"(i) to a responsible party;
"(ii) to a response under the Comprehensive Environ-
mental Response, Compensation, and Liability Act of 1980
(42 U.S.C. 9601 et seq.);
"(iii) with respect to personal injury or wrongful death; or
"(iv) if the person is grossly negligent or engages in
willful misconduct.
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 525
"(C) A responsible party is liable for any removal costs and
damages that another person is relieved of under Bubparagraph
(A).
"(5) OBLIGATION AND LIABILITY OF OWNER OR OPERATOR NOT
AFFECTED.—Nothing in this subsection affects—
"(A) the obligation of an owner or operator to respond
immediately to a discharge, or the threat of a discharge, of
oil; or
"(B) the liability of a responsible party under the Oil
Pollution Act of 1990.
"(6) RESPONSIBLE PARTY DEFINED.—For purposes of this subsec-
tion, the term 'responsible party' has the meaning given that
term under section 1001 of the Oil Pollution Act of 1990.".
(b) NATIONAL CONTINGENCY PLAN.—Subsection (d) of section 311 of
the Federal Water Pollution Control Act (33 U.S.C. I321(d)) is
amended to read as follows:
"(d) NATIONAL CONTINGENCY PLAN.—
"(1) PREPARATION BY PRESIDENT.—The President shall prepare
and publish a National Contingency Plan for removal of oil and
hazardous substances pursuant to this section.
"(2) CONTENTS.—The National Contingency Plan shall provide
for efficient, coordinated, and effective action to minimize
damage from oil and hazardous substance discharges, including
containment, dispersal, and removal of oil and hazardous sub-
stances, and shall include, but not be limited to, the following:
"(A) Assignment of duties and responsibilities among
Federal departments and agencies in coordination with
State and local agencies and port authorities including, but
not limited to, water pollution control and conservation and
trusteeship of natural resources (including conservation of
fish and wildlife).
"(B) Identification, procurement, maintenance, and stor-
age of equipment and supplies.
"(C) Establishment or designation of Coast Guard strike
teams, consisting of—
"(i) personnel who shall be trained, prepared, and
available to provide necessary services to carry out the
National Contingency Plan;
"(ii) adequate oil and hazardous substance pollution
control equipment and material; and
"(iii) a detailed oil and hazardous substance pollution
and prevention plan, including measures to protect
fisheries and wildlife.
"(D) A system of surveillance and notice designed to
safeguard against as well as ensure earliest possible notice
of discharges of oil and hazardous substances and imminent
threats of such discharges to the appropriate State and
Federal agencies.
"(E) Establishment of a national center to provide co-
ordination and direction for operations in carrying out the
Plan.
"(F) Procedures and techniques to be employed in identi-
fying, containing, dispersing, and removing oil and hazard-
ous substances.
"(G) A schedule, prepared in cooperation with the States,
identifying—
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104 STAT. 526
Fish and fishing.
Wildlife.
PUBLIC LAW 101-380—AUG. 18, 1990
"(i) dispersants, other chemicals, and other spill miti-
gating devices and substances, if any, that may be used
in carrying out the Plan,
"(ii) the waters in which such dispersants, other
chemicals, and other spill mitigating devices and sub-
stances may be used, and
"(iii) the quantities of such dispersant, other chemi-
cals, or other spill mitigating device or substance which
can be used safely in such waters,
which schedule shall provide in the case of any dispersant,
chemical, spill mitigating device or substance, or waters not
specifically identified in such schedule that the President,
or his delegate, may, on a case-by-case basis, identify the
dispersants, other chemicals, and other spill mitigating
devices and substances which may be used, the waters in
which they may be used, and the quantities which can be
used safely in such waters.
"(H) A system whereby the State or States affected by a
discharge of oil or hazardous substance may act where
necessary to remove such discharge and such State or
States may be reimbursed in accordance with the Oil Pollu-
tion Act of 1990, in the case of any discharge of oil from a
vessel or facility, for the reasonable costs incurred for that
removal, from the Oil Spill Liability Trust Fund.
"(I) Establishment of criteria and procedures to ensure
immediate and effective Federal identification of, and re-
sponse to, a discharge, or the threat of a discharge, that
results in a substantial threat to the public health or
welfare of the United States, as required under subsection
(cX2).
"(J) Establishment of procedures and standards for
removing a worst case discharge of oil, and for mitigating or
preventing a substantial threat of such a discharge.
"(K) Designation of the Federal official who shall be the
Federal On-Scene Coordinator for each area for which an
Area Contingency Plan is required to be prepared under
subsection (j).
"(L) Establishment of procedures for the coordination of
activities of—
"(i) Coast Guard strike teams established under
subparagraph (C);
"(ii) Federal On-Scene Coordinators designated under
subparagraph (K);
"(iii) District Response Groups established under
subsection (j); and
"(iv) Area Committees established under subsection
(j).
"(M) A fish and wildlife response plan, developed in
consultation with the United States Fish and Wildlife Serv-
ice, the National Oceanic and Atmospheric Administration,
and other interested parties (including State fish and wild-
life conservation officials), for the immediate and effective
protection, rescue, and rehabilitation of, and the minimiza-
tion of risk of damage to, fish and wildlife resources and
their habitat that are harmed or that may be jeopardized by
a discharge.
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 527
"(3) REVISIONS AND AMENDMENTS.—The President may, from
time to time, as the President deems advisable, revise or other-
wise amend the National Contingency Plan.
"(4) ACTIONS IN ACCORDANCE WITH NATIONAL CONTINGENCY
PLAN.—After publication of the National Contingency Plan, the
removal of oil and hazardous substances and actions to mini-
mize damage from oil and hazardous substance discharges shall,
to the greatest extent possible, be in accordance with the Na-
tional Contingency Plan.".
(b) DEFINITIONS.— Section 31 Ha) of the Federal Water Pollution
Control Act (33 U.S.C. 1321(a)) is amended—
(1) in paragraph (8), by inserting "containment and" after
"refers to"; and
(2) in paragraph (16) by striking the period at the end and
inserting a semicolon;
(3) in paragraph (17)—
(A) by striking "Otherwise" and inserting "otherwise";
and
(B) by striking the period at the end and inserting a
semicolon; and
(4) by adding at the end the following:
"(18) 'Area Committee' means an Area Committee established
under subsection (j);
"(19) 'Area Contingency Plan' means an Area Contingency
Plan prepared under subsection (j);
"(20) 'Coast Guard District Response Group' means a Coast
Guard District Response Group established under subsection (j);
"(21) 'Federal On-Scene Coordinator' means a Federal On-
Scene Coordinator designated in the National Contingency
Plan;
"(22) 'National Contingency Plan' means the National Contin-
gency Plan prepared and published under subsection (d);
"(23) 'National Response Unit' means the National Response
Unit established under subsection (j); and
"(24) 'worst case discharge' means—
"(A) in the case of a vessel, a discharge in adverse
weather conditions of its entire cargo; and
"(B) in the case of an offshore facility or onshore facility,
the largest foreseeable discharge in adverse weather condi-
tions.".
(c) REVISION OF NATIONAL CONTINGENCY PLAN.—Not later than 33 USC 1321
one year after the date of the enactment of this Act, the President note-
shall revise and republish the National Contingency Plan nrepared
under section 311(cX2) of the Federal Water Pollution Control Act
(as in effect immediately before the date of the enactment of this
Act) to implement the amendments made by this section and section
4202.
SEC. 4202. NATIONAL PLANNING AND RESPONSE SYSTEM.
(a) IN GENERAL.—Subsection (j) of section 311 of the Federal Water
Pollution Control Act (33 U.S.C. 1321(j)) is amended—
(1) by striking "(j)" and inserting the following:
"(j) NATIONAL RESPONSE SYSTEM.—";
(2) by moving paragraph (1) so as to begin immediately below
the heading for subsection 0") (as added by paragraph (1) of this
subsection);
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104 STAT. 528
Uniformed
services.
North Carolina.
Public
information.
Records.
PUBLIC LAW 101-380—AUG. 18, 1990
(3) by moving paragraph (1) two ems to the right, so the left
margin of that paragraph is aligned with the left margin of
paragraph (2) of that subsection (as added by paragraph (6) of
this subsection);
(4) in paragraph (1) by striking "(1)" and inserting the follow-
ing:
"(1) IN GENERAL.—";
(5) by striking paragraph (2); and
(6) by adding at the end the following:
"(2) NATIONAL RESPONSE UNIT.—The Secretary of the depart-
ment in which the Coast Guard' is operating shall establish a
National Response Unit at Elizabeth City, North Carolina. The
Secretary, acting through the National Response Unit—
"(A) shall compile and maintain a comprehensive com-
puter list of spill removal resources, personnel, and equip-
ment that is available worldwide and within the areas
designated by the President pursuant to paragraph (4),
which shall be available to Federal and State agencies and
the public;
"(B) shall provide technical assistance, equipment, and
other resources requested by a Federal On-Scene Coordina-
tor;
"(C) shall coordinate use of private and public personnel
and equipment to remove a worst case discharge, and to
mitigate or prevent a substantial threat of such a discharge,
from a vessel, offshore facility, or onshore facility operating
in or near an area designated by the President pursuant to
paragraph (4);
"(D) may provide technical assistance in the preparation
of Area Contingency Plans required under paragraph (4);
"(E) shall administer Coast Guard strike teams estab-
lished under the National Contingency Plan;
"(F) shall maintain on file all Area Contingency Plans
approved by the President under this subsection; and
"(G) shall review each of those plans that affects its
responsibilities under this subsection.
"(3) COAST GUARD DISTRICT RESPONSE GROUPS.—(A) The Sec-
retary of the department in which the Coast Guard is operating
shall establish in each Coast Guard district a Coast Guard
District Response Group.
"(B) Each Coast Guard District Response Group shall consist
of—
"(i) the Coast Guard personnel and equipment, including
firefighting equipment, of each port within the district;
"(ii) additional preposiuoned equipment; and
"(iii) a district response advisory staff.
"(C) Coast Guard district response groups—
"(i) shall provide technical assistance, equipment, and
other resources when required by a Federal On-Scene
Coordinator;
"(ii) shall maintain all Coast Guard response equipment
within its district;
"(iii) may provide technical assistance in the preparation
of Area Contingency Plans required under paragraph (4);
and
"(iv) shall review each of those plans that affect its area
of geographic responsibility.
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PUBLIC LAW 101-380—AUG. 18, 1990
104 STAT. 529
"(4) AREA COMMITTEES AND AREA CONTINGENCY PLANS.^— prepare for its area the Area Contingency Plan re-
quired under subparagraph (C);
"i'ii) work with State and local officials to enhance the
contingency planning of those officials and to assure
preplanning of joint response efforts, including appropriate
procedures for mechanical recovery, dispersal, shoreline
cleanup, protection of sensitive environmental areas, and
protection, rescue, and rehabilitation of fisheries and wild-
life: and
"(iii) work with State and local officials to expedite deci-
sions for the use of dispersants and other mitigating sub-
stances and devices.
"(C) Each Area Committee shall prepare and submit to the
President for approval an Area Contingency Plan for its area.
The Area Contingency Plan shall—
"(i) when implemented in conjunction with the National
Contingency Plan, be adequate to remove a worst case
discharge, and to mitigate or prevent a substantial threat of
such a discharge, from a vessel, offshore facility, or onshore
facility operating in or near the area;
"(ii) describe the area covered by the plan, including the
areas of special economic or environmental importance that
might be damaged by a discharge;
"viii) describe in detail the responsibilities of an owner or
operator and of Federal, State, and local agencies in remov-
ing a discharge, and in mitigating or preventing a suostan-
tial threat of a discharge;
"(iv) list the equipment (including firefighting equip-
ment), dispersants or other mitigating substances and de-
vices, and personnel available to an owner or operator and
Federal, State, and local agencies, to ensure an effective
and immediate removal of a discharge, and to ensure miti-
gation or prevention of a substantial threat of a discharge;
'Yv) describe the procedures to be followed for obtaining
an expedited decision regarding the use of dispersants;
"ivi) describe in detail how the plan is integrated into
other Area Contingency Plans and vessel, offshore facility,
and onshore facility response plans approved under this
subsection, and into operating procedures of the National
Response Unit;
"(vii) include any other information the President re-
quires; and
"(viii) be updated periodically by the Area Committee.
"(D) The President shall—
"(i) review and approve Area Contingency Plans under
this paragraph; and
"(ii) periodically review Area Contingency Plans so ap-
proved.
"(5) TANK VESSEL AND FACILITY RESPONSE PLANS.—(A) The Regulations.
President shall issue regulations which require an owner or
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104 STAT. 530
President of U.S.
PUBLIC LAW 101-380—AUG. 18, 1990
operator of a tank vessel or facility described in subparagraph
(B) to prepare and submit to the President a plan for respond-
ing, to the maximum extent practicable, to a worst case dis-
charge, and to a substantial threat of such a discharge, of oil or
a hazardous substance.
"(B) The tank vessels and facilities referred to in subpara-
graph (A) are the following:
"(i) A tank vessel, as defined under section 2101 of title
46, United States Code.
"(ii) An offshore facility.
"(iii) An onshore facility that, because of its location,
could reasonably be expected to cause substantial harm to
the environment by discharging into or on the navigable
waters, adjoining shorelines, or the exclusive economic
zone.
"(C) A response plan required under this paragraph shall—
"(i) be consistent with the requirements of the National
Contingency Plan and Area Contingency Plans;
"(ii) identify the qualified individual having full author-
ity to implement removal actions, and require immediate
communications between that individual and the appro-
priate Federal official and the persons providing personnel
and equipment pursuant to clause (iii);
"(iii) identify, and ensure by contract or other means
approved by the President the availability of, private
personnel and equipment necessary to remove to the maxi-
mum extent practicable a worst case discharge (including a
discharge resulting from fire or explosion), and to mitigate
or prevent a substantial threat of such a discharge;
"(iv) describe the training, equipment testing, periodic
unannounced drills, and response actions of persons on the
vessel or at the facility, to be carried out under the plan to
ensure the safety of the vessel or facility and to mitigate or
prevent the discharge, or the substantial threat of a dis-
charge;
"(v) be updated periodically; and
"(vi) be resubmitted for approval of each significant
change.
"(D) With respect to any response plan submitted under this
paragraph for an onshore facility that, because of its location,
could reasonably be expected to cause significant and substan-
tial harm to the environment by discharging into or on the
navigable waters or adjoining shorelines or the exclusive eco-
nomic zone, and with respect to each response plan submitted
under this paragraph for a tank vessel or offshore facility, the
President shall—
"(i) promptly review such response plan;
"(ii) require amendments to any plan that does not meet
the requirements of this paragraph;
"(iii) approve any plan that meets the requirements of
this paragraph; and
"(iv) review each plan periodically thereafter.
"(E) A tank vessel, offshore facility, or onshore facility re-
quired to prepare a response plan under this subsection may not
handle, store, or transport oil unless—
"(i) in the case of a tank vessel, offshore facility, or
onshore facility for which a response plan is reviewed by
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PUBLIC LAW 101-380—AUG. 18, 1990
104 STAT. 531
President of U-S
the President under subparagraph (D), the plan has been
approved by the President; and
(ii) the vessel or facility is operating in compliance with
the plan.
"(D Notwithstanding subparagraph (E), the President may
authorize a tank vessel, offshore facility, or onshore facility to
operate without a response plan approved under this para-
graph, until not later than 2 years after the date of the submis-
sion to the President of a plan for the tank vessel or facility, if
the owner or operator certifies that the owner or operator has
ensured by contract or other means approved by the President
the availability of private personnel and equipment necessary
to respond, to the maximum extent practicable, to a worst case
discharge or a substantial threat of such a discharge.
"(G) The owner or operator of a tank vessel, offshore facility,
or onshore facility may not claim as a defense to liability under
title I of the Oil Pollution Act of 1990 that the owner or operator
was acting in accordance with an approved response plan.
"(H) The Secretary shall maintain, in the Vessel Identifica-
tion System established under chapter 125 of title 46, United
States Code, the dates of approval and review of a response plan
under this paragraph for each tank vessel that is a vessel of the
United States.
"(6) EQUIPMENT REQUIREMENTS AND INSPECTION.—Not later
than 2 years after the date of enactment of this section, the
President shall require—
"(A) periodic inspection of containment booms, skimmers,
vessels, and other major equipment used to remove dis-
charges; and
"(B) vessels operating on navigable waters and carrying
oil or a hazardous substance in bulk as cargo to carry
appropriate removal equipment that employs the best tech-
nology economically feasible and that is compatible with
the safe operation of the vessel.
"(7) AREA DRILLS.—The President shall periodically conduct President of ILS.
drills of removal capability, without prior notice, in areas for
which Area Contingency Plans are required under this subsec-
tion and under relevant tank vessel and facility response plans.
The drills may include participation by Federal, State, and local
agencies, the owners and operators of vessels and facilities in
the area, and private industry. The President may publish
annual reports on these drills, including assessments of the
effectiveness of the plans and a list of amendments made to
improve plans.
"(8) UNITED STATES GOVERNMENT NOT LIABLE.—The United
States Government is not liable for any damages arising from
its actions or omissions relating to any response plan required
by this section.".
(b) IMPLEMENTATION.—
(1) AREA COMMITTEES AND CONTINGENCY PLANS.—(A) Not later
than 6 months after the date of the enactment of this Act, the
President shall designate the areas for which Area Committees
are established under section 311(jX4) of the Federal Water
Pollution Control Act, as amended by this Act. In designating
such areas, the President shall ensure that all navigable waters,
adjoining shorelines, and waters of the exclusive economic zone
are subject to an Area Contingency Plan under that section.
33 USC 1321
note.
President of U 5
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104 STAT. 532
PUBLIC LAW 101-380—AUG. 18, 1990
(B) Not later than 18 months after the date of the enactment
of this Act, each Area Committee established under that section
shall submit to the President the Area Contingency Plan re-
quired under that section.
(C) Not later than 24 months after the date of the enactment
of this Act, the President shall—
(i) promptly review each plan;
(ii) require amendments to any plan that does not meet
the requirements of section 3ll(jX4.) of the Federal Water
Pollution Control Act; and
(iii) approve each plan that meets the requirements of
that section.
Establishment. (2) NATIONAL RESPONSE UNIT.—Not later than one year after
the date of the enactment of this Act, the Secretary of the
department in which the Coast Guard is operating shall estab-
lish a National Response Unit in accordance with section
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 533
SEC. 4205. COASTWISE OIL SPILL RESPONSE COOPERATIVES.
Section 12106 of title 46, United States Code, is amended by
adding at the end the following:
"(dXl) A vessel may be issued a certificate of documentation with
a coastwise endorsement if—
"(A) the vessel is owned by a not-for-profit oil spill response
cooperative or by members of such a cooperative who dedicate
the vessel to use by the cooperative;
"(B) the vessel is at least 50 percent owned by persons or
entities described in section 12102(a) of this title;
"(C) the vessel otherwise qualifies under section 12106 to be
employed in the coastwise trade; and
"(D) use of the vessel is restricted to—
"(i) the deployment of equipment, supplies, and personnel
to recover, contain, or transport oil discharged into the
navigable waters of the United States, or within the Exclu-
sive Economic Zone, or
"(ii) for training exercises to prepare to respond to such a
discharge.
"(2) For purposes of the first proviso of section 27 of the Merchant
Marine Act, 1920, section 2 of the Shipping Act of 1916, and section
12102(a) of this title, a vessel meeting the criteria of this subsection
shall be considered to be owned exclusively by citizens of the United
States.".
Subtitle C—Penalties and Miscellaneous
SEC 4301. FEDERAL WATER POLLUTION CONTROL ACT PENALTIES.
(a) NOTICE TO STATE AND FAILURE To REPORT.—Section 311(bX5) of
the Federal Water Pollution Control Act (33 U.S.C. !321(bX5)) is
amended—
(1) by inserting after the first sentence the following: "The
Federal agency shall immediately notify the appropriate State
agency of any State which is, or may reasonably be expected to
be, affected by the discharge of oil or a hazardous substance.";
(2) by striking "fined not more than $10,000, or imprisoned for
not more than one year, or both" and inserting "fined in
accordance with title 18, United States Code, or imprisoned for
not more than 5 years, or both"; and
(3) in the last sentence by—
(A) striking "or information obtained by the exploitation
of such notification"; and
(B) inserting "natural" before "person".
(b) PENALTIES FOR DISCHARGES AND VIOLATIONS OF REGULATIONS.—
Section 311(b) of the Federal Water Pollution Control Act (33 U.S.C.
1321(b)) is amended by striking paragraph (6) and inserting the
following new paragraphs:
"(6) ADMINISTRATIVE PENALTIES.—
"(A) VIOLATIONS.—Any owner, operator, or person in
charge of any vessel, onshore facility, or offshore facility—
"(i) from which oil or a hazardous substance is dis-
charged in violation of paragraph (3), or
"(ii) who fails or refuses to comply with any regula-
tion issued under subsection (j) to which that owner,
operator, or person in charge is subject,
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104 STAT. 534
Federal Register,
publication.
PUBLIC LAW 101-380—AUG. 18, 1990
may be assessed a class I or class II civil penalty by the
Secretary of the department in which the Coast Guard is
operating or the Administrator.
"(B) CLASSES OF PENALTIES.—
"(i) CLASS i.—The amount of a class I civil penalty
under subparagraph (A) may not exceed $10,000 per
violation, except that the maximum amount of any
class I civil penalty under this subparagraph shall not
exceed $25,000. Before assessing a civil penalty under
this clause, the Administrator or Secretary, as the case
may be, shall give to the person to be assessed such
penalty written notice of the Administrator's or Sec-
retary s proposal to assess the penalty and the oppor-
tunity to request, within 30 days of the date the notice
is received by such person, a hearing on the proposed
penalty. Such hearing shall not be subject to section
554 or 556 of title 5, United States Code, but shall
provide a reasonable opportunity to be heard and to
present evidence.
"(ii) CLASS n.—The amount of a class II civil penalty
under subparagraph (A) may not exceed $10,000 per
day for each day during which the violation continues;
except that the maximum amount of any class II civil
penalty under this subparagraph shall not exceed
$125,000. Except as otherwise provided in this subsec-
tion, a class II civil penalty shall be assessed and
collected in the same manner, and subject to the same
provisions, as in the case of civil penalties assessed and
collected after notice and opportunity for a hearing on
the record in accordance with section 554 of title 5,
United States Code. The Administrator and Secretary
may issue rules for discovery procedures for hearings
under this paragraph.
"(C) RIGHTS OF INTERESTED PERSONS.—
"(i) PUBLIC NOTICE.—Before issuing an order assess-
ing a class II civil penalty under this paragraph the
Administrator or Secretary, as the case may be, shall
provide public notice of and reasonable opportunity to
comment on the proposed issuance of such order.
"(ii) PRESENTATION OF EVIDENCE.—Any person who
comments on a proposed assessment of a class II civil
penalty under this paragraph shall be given notice of
any hearing held under this paragraph and of the order
assessing such penalty. In any hearing held under this
paragraph, such person shall have a reasonable oppor-
tunity to be heard and to present evidence.
"(iii) RIGHTS OF INTERESTED PERSONS TO A HEARING.—
If no hearing is held under subparagraph (Bt before
issuance of an order assessing a class II civil penalty
under this paragraph, any person who commented on
the proposed assessment may petition, within 30 days
after the issuance of such order, the Administrator or
Secretary, as the case may be, to set aside such order
and to provide a hearing on the penalty. If the evidence
presented by the petitioner in support of the petition is
material and was not considered in the issuance of the
order, the Administrator or Secretary shall imme-
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 535
diately set aside such order and provide a hearing in
accordance with subparagraph (BXii). If the Adminis-
trator or Secretary denies a hearing under this clause,
the Administrator or Secretary shall provide to the
petitioner, and publish in the Federal Register, notice
of and the reasons for such denial.
"(D) FINALITY or ORDER.—An order assessing a class n
civil penalty under this paragraph shall become final 30
days after its issuance unless a petition for judicial review
is filed under subparagraph (G) or a hearing is requested
under subparagraph (CXiii)- If such a hearing is denied,
such order shall become final 30 days after such denial.
"(E) EFFECT OF ORDER.—Action taken by the Adminis-
trator or Secretary, as the case may be, under this para-
graph shall not affect or limit the Administrator's or Sec-
retary's authority to enforce any provision of this Act;
except that any violation—
"(i) with respect to which the Administrator or Sec-
retary has commenced and is diligently prosecuting an
action to assess a class II civil penalty under this
paragraph, or
"(ii) for which the Administrator or Secretary has
issued a final order assessing a class II civil penalty not
subject to further judicial review and the violator has
paid a penalty assessed under this paragraph,
shall not be the subject of a civil penalty action under
section 309(d), 309(g), or 505 of this Act or under paragraph
(7).
"(F) EFFECT OF ACTION ON COMPLIANCE.—No action by the
Administrator or Secretary under this paragraph shall
affect any person's obligation to comply with any section of
this Act.
"(G) JUDICIAL REVIEW.—Any person against whom a civil
penalty is assessed under this paragraph or who com-
mented on the proposed assessment of such penalty in
accordance with subparagraph (C) may obtain review of
such assessment—
"(i) in the case of assessment of a class I civil penalty, District of
in the United States District Court for the District of
Columbia or in the district in which the violation is
alleged to have occurred, or
"(ii) in the case of assessment of a class II civil
penalty, in United States Court of Appeals for the
District of Columbia Circuit or for any other circuit in
which such person resides or transacts business,
by filing a notice of appeal in such court within the 30-day
period beginning on the date the civil penalty order is
issued and by simultaneously sending a copy of such notice
by certified mail to the Administrator or Secretary, as the
case may be, and the Attorney General. The Administrator
or Secretary shall promptly file in such court a certified
copy of the record on which the order was issued. Such
court shall not set aside or remand such order unless there
is not substantial evidence in the record, taken as a whole,
to support the finding of a violation or unless the Adminis-
trator's or Secretary's assessment of the penalty constitutes
an abuse of discretion and shall not impose additional civil
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Hazardous
materials.
PUBLIC LAW 101-380—AUG. 18, 1990
penalties for the same violation unless the Administrator's
or Secretary's assessment of the penalty constitutes an
abuse of discretion.
"(H) COLLECTION.—If any person fails to pay an assess-
ment of a civil penalty—
"(i) after the assessment has become final, or
"(ii) after a court in an action brought under
subparagraph (G) has entered a final judgment in favor
of the Administrator or Secretary, as the case may be,
the Administrator or Secretary shall request the Attorney
General to bring a civil action in an appropriate district
court to recover the amount assessed (plus interest at cur-
rently prevailing rates from the date of the final order or
the date of the final judgment, as the case may be). In such
an action, the validity, amount, and appropriateness of such
penalty shall not be subject to review. Any person who fails
to pay on a timely basis the amount of an assessment of a
civil penalty as described in the first sentence of this
subparagraph shall be required to pay, in addition to such
amount and interest, attorneys fees and costs for collection
proceedings and a quarterly nonpayment penalty for each
quarter during which such failure to pay persists. Such
nonpayment penalty shall be in an amount equal to 20
percent of the aggregate amount of such person's penalties
and nonpayment penalties which are unpaid as of the
beginning of such quarter.
"(I) SUBPOENAS.—The Administrator or Secretary, as the
case may be, may issue subpoenas for the attendance and
testimony of witnesses and the production of relevant
papers, books, or documents in connection with hearings
under this paragraph. In case of contumacy or refusal to
obey a subpoena issued pursuant to this subparagraph and
served upon any person, the district court of the United
States for any district in which such person is found, re-
sides, or transacts business, upon application by the United
States and after notice to such person, shall have jurisdic-
tion to issue an order requiring such person to appear and
give testimony before the administrative law judge or to
appear and produce documents before the administrative
law judge, or both, and any failure to obey such order of the
court may be punished by such court as a contempt thereof.
"(7) ClVIL PENALTY ACTION.—
"(A) DISCHARGE, GENERALLY.—Any person who is the
owner, operator, or person in charge of any vessel, onshore
facility, or offshore facility from which oil or a hazardous
substance is discharged in violation of paragraph (3), shall
be subject to a civil penalty in an amount up to $25,000 per
day of violation or an amount up to $1,000 per barrel of oil
or unit of reportable quantity of hazardous substances dis-
charged.
"(B) FAILURE TO REMOVE OR COMPLY.—Any person de-
scribed in subparagraph (A) who, without sufficient cause—
"(i) fails to properly carry out removal of the dis-
charge under an order of the President pursuant to
subsection (c); or
"(ii) fails to comply with an order pursuant to subsec-
tion (eXIXB);
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 537
shall be subject to a civil penalty in an amount up to
$25,000 per day of violation or an amount up to 3 times the
costs incurred by the Oil Spill Liability Trust Fund as a
result of such failure.
"(C) FAILURE TO COMPLY WITH REGULATION.—Any person
who fails or refuses to comply with any regulation issued
under subsection (j) shall be subject to a civil penalty in an
amount up to $25,000 per day of violation.
"(D) GROSS NEGLIGENCE.—In any case in which a violation
of paragraph (3) was the result of gross negligence or willful
misconduct of a person described in subparagraph (A), the
person shall be subject to a civil penalty of not less than
$100,000, and not more than $3,000 per barrel of oil or unit
of reportable quantity of hazardous substance discharged.
"(E) JURISDICTION.—An action to impose a civil penalty Couru, U.S.
under this paragraph may be brought in the district court
of the United States for the district in which the defendant
is located, resides, or is doing business, and such court shall
have jurisdiction to assess such penalty.
"(F) LIMITATION.—A person is not liable for a civil pen-
alty under this paragraph for a discharge if the person has
been assessed a civil penalty under paragraph (6) for the
discharge.
"(8) DETERMINATION or AMOUNT.—In determining the amount
of a civil penalty under paragraphs (6) and (7), the Adminis-
trator, Secretary, or the court, as the case may be, shall consider
the seriousness of the violation or violations, the economic
benefit to the violator, if any, resulting from the violation, the
degree of culpability involved, any other penalty for the same
incident, any history of prior violations, the nature, extent, and
degree of success of any efforts of the violator to minimize or
mitigate the effects of the discharge, the economic impact of the
penalty on the violator, and any other matters as justice may
require.
"(9) MITIGATION OF nAMAGE.—In addition to establishing a Hazardous
penalty for the discharge of oil or a hazardous substance, the materials.
Administrator or the Secretary of the department in which the
Coast Guard is operating may act to mitigate the damage to the
public health or welfare caused by such discharge. The cost of
such mitigation shall be deemed a cost incurred under subsec-
tion (c) of this section for the removal of such substance by the
United States Government.
"(10) RECOVERY OF REMOVAL COSTS.—Any costs of removal
incurred in connection with a discharge excluded by subsection
(aX2XC) of this section shall be recoverable from the owner or
operator of the source of the discharge in an action brought
under section 309(b) of this Act.
"(11) LIMITATION.—Civil penalties shall not be assessed under
both this section and section 309 for the same discharge.".
(c) CRIMINAL PENALTIES.—Section 309(c) of the Federal Water
Pollution Control Act (33 U.S.C. 1319(c)) is amended by inserting
after "308," each place it appears the following: "311(bX3),".
SEC 4302. OTHER PENALTIES.
(a) NEGLIGENT OPERATIONS.—Section 2302 of title 46, United
States Code, is amended—
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104 STAT. 538 PUBLIC LAW 101-380—AUG. 18, 1990
(1) in subsection (b) by striking "shall be fined not more than
$5,000, imprisoned for not more than one year, or both.", and
inserting "commits a class A misdemeanor.'; and
(2) in subsection (c)—
(A) by striking ", shall be" in the matter preceding
paragraph (1);
(B) by inserting "is" before "liable" in paragraph (1); and
(C) by amending paragraph (2) to read as follows:
"(2) commits a class A misdemeanor.".
(b) INSPECTIONS.—Section 3318 of title 46, United States Code, is
amended—
(1) in subsection (b) by striking "shall be fined not more than
$10,000, imprisoned for not more than 5 years, or both." and
inserting "commits a class D felony.";
(2) in subsection (c) by striking "shall be fined not more than
$5,000, imprisoned for not more than 5 years, or both." and
inserting "commits a class D felony.";
(3) in subsection (d) by striking "shall be fined not more than
$5,000, imprisoned for not more than 5 years, or both." arid
inserting "commits a class D felony.";
(4) in subsection (e) by striking "shall be fined not more than
$10,000, imprisoned for not more than 2 years, or both." and
inserting "commits a class A misdemeanor. '; and
(5) in the matter preceding paragraph (1) of subsection (f) by
striking "shall be fined not less than $1,000 but not more than
$10,000, and imprisoned for not less than 2 years but not more
than 5 years," and inserting "commits a class D felony.".
(c) CARRIAGE OF LIQUID BULK DANGEROUS CARGOES.—Section 37 IS
of title 46, United States Code, is amended—
(1) in subsection (b) by striking "shall be fined not more than
$50,000, imprisoned for not more than 5 years, or both." and
inserting "commits a class D felony."; and
(2) in subsection (c) by striking "shall be fined not more than
$100,000, imprisoned for not more than 10 years, or both." and
inserting "commits a class C felony.".
(d) LOAD LINES.—Section 5116 of title 46, United States Code, is
amended—
(1) in subsection (d) by striking "shall be fined not more than
$10,000, imprisoned for not more than one year, or both." and
inserting "commits a class A misdemeanor."; and
(2) in subsection (e) by striking "shall be fined not more than
$10,000, imprisoned for not more than 2 years, or both." and
inserting "commits a class A misdemeanor.".
(e) COMPLEMENT OF INSPECTED VESSELS.—Section 8101 of title 46,
United States Code, is amended—
(1) in subsection (e) by striking "$50" and inserting "$1,000'";
(2) in subsection (f) by striking "SlOO, or, for a deficiency of a
licensed individual, a penalty of $500." and inserting "$10,000.";
and
(3) in subsection (g) by striking "$500." and inserting
"$10,000.".
(f) WATCHES.—Section 8104 of title 46, United States Code, is
amended—
(1) in subsection (i) by striking "$100." and inserting
"$10,000."; and
(2) in subsection (j) by striking "$500." and inserting
"$10,000.".
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 539
r) COASTWISE PILOTAGE.—Section 8502 of title 46, United States
le, is amended—
(1) in subsection (e) by striking "$500." and inserting
"$10,000."; and
(2) in subsection (f) by striking "$500." and inserting
"$10,000.".
(h) FOREIGN COMMERCE PILOTAGE.—Section 8503(e) of title 46,
United States Code, is amended by striking "shall be fined not more
than $50,000, imprisoned for not more than five years, or both." and
inserting "commits a class D felony.".
(i) CREW REQUIREMENTS.—Section 8702(e) of title 46, United States
Code, is amended by striking "$500." and inserting "$10,000.".
(j) PORTS AND WATERWAYS SAFETY ACT.—Section 13(b) of the Port
and Waterways Safety Act (33 U.S.C. 1232(b)) is amended—
(1) in paragraph (1) by striking "shall be fined not more than
$50,000 for each violation or imprisoned for not more than five
years, or both." and inserting "commits a class D felony."; and
(2) in paragraph (2) by striking "shall, in lieu of the penalties
prescribed in paragraph (1), be fined not more than 5100,000, or
imprisoned for not more than 10 years, or both." and inserting
"commits a class C felony.".
(k) VESSEL NAVIGATION.—Section 4 of the Act of April 28, 1908 (33
U.S.C. 1236) is amended—
(1) in subsection (b) by striking "S500." and inserting
"$5,000.";
(2) in subsection (c) by striking "S500," and inserting
"$5,000,"; and
(3) in subsection (d) by striking "$250." and inserting
"$2,500.".
(1) INTERVENTION ON THE HIGH SEAS ACT.—Section 12(a) of the
Intervention of the High Seas Act (33 U.S.C. 1481(a)) is amended—
(1) in the matter preceding paragraph (1) by striking "Any
person who" and inserting "A person commits a class A mis-
demeanor if that person"; and
(2) in paragraph (3) by striking ", shall be fined not more than
$10,000 or imprisoned not more than one year, or both".
(m) DEEPWATER PORT ACT OF 1974.—Section 15(a) of the Deep-
water Port Act of 1974 (33 U.S.C. 1514(a)) is amended by striking
"shall on conviction be fined not more than $25,000 for each day of
violation or imprisoned for not more than 1 year, or both." and
inserting "commits a class A misdemeanor for each day of viola-
tion.".
(n) ACT To PREVENT POLLUTION FROM SHIPS.—Section 9(a) of the
Act to Prevent Pollution from Ships (33 U.S.C. !908(aX) is amended
by striking "shall, for each violation, be fined not more than $50,000
or be imprisoned for net more than 5 years, or both." and inserting
"commits a class D felony.".
SEC. 4303. FINANCIAL RESPONSIBILITY CIVIL PENALTIES. President of U.S.
33 USC2716a.
(a) ADMINISTRATIVE.—AJIV person who, after notice and an oppor-
tunity for a hearing, is found to have failed to comply with the
requirements of section 1016 or the regulations issued under that
section, or with a denial or detention order issued under subsection
(cX2) of that section, shall be liable to the United States for a civil
penalty, not to exceed $25,000 per day of violation. The amount of
the civil penalty shall be assessed by the President by written
notice. In determining the amount of the penalty, the President
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104 STAT. 540 PUBLIC LAW 101-380—AUG. 18, 1990
shall take into account the nature, circumstances, extent, and grav-
ity of the violation, the degree of culpability, any history of prior
violation, ability to pay, and such other matters as justice may
require. The President may compromise, modify, or remit, with or
without conditions, any civil penalty which is subject to imposition
or which had been imposed under this paragraph. If any person
fails to pay an assessed civil penalty after it has become final,
the President may refer the matter to the Attorney General for
collection.
(b) JUDICIAL.—In addition to, or in lieu of, assessing a penalty
under subsection (a), the President may request the Attorney Gen-
eral to secure such relief as necessary to compel compliance with
this section 1016, including a judicial order terminating operations.
The district courts of the United States shall have jurisdiction to
grant any relief as the public interest and the equities of the case
may require.
26 USC 9509 SEC. 4304. DEPOSIT OF CERTAIN PENALTIES INTO OIL SPILL LIABILITY
note. TRUST FUND.
Penalties paid pursuant to section 311 of the Federal Water
Pollution Control Act, section 309(c) of that Act, as a result of
violations of section 311 of that Act, and the Deep water Port Act of
1974, shall be deposited in the Oil Spill Liability Trust Fund created
under section 9509 of the Internal Revenue Code of 1986 (26 U.S.C.
9509).
SEC. 4305. INSPECTION AND ENTRY.
Section 31 Km) of the Federal Water Pollution Control Act (33
U.S.C. 1321(m)) is amended to read as follows:
"(m) ADMINISTRATIVE PROVISIONS.—
"(1) FOR VESSELS.—Anyone authorized by the President to
enforce the provisions of this section with respect to any vessel
may, except as to public vessels—
"(A) board and inspect any vessel upon the navigable
waters of the United States or the waters of the contiguous
zone,
"(B) with or without a warrant, arrest any person who in
the presence or view of the authorized person violates the
provisions of this section or any regulation issued there-
under, and
"(C) execute any warrant or other process issued by an
officer or court of competent jurisdiction.
"(2) FOR FACILITIES.—
"(A) RECORDKEEPING.—Whenever required to carry out
the purposes of this section, the Administrator or the Sec-
retary of the Department in which the Coast Guard is
operating shall require the owner or operator of a facility to
which this section applies to establish and maintain such
records, make such reports, install, use, and maintain such
monitoring equipment and methods, and provide such other
information as the Administrator or Secretary, as the case
may be, may require to carry out the objectives of this
section.
"(B) ENTRY AND INSPECTION.—Whenever required to carry
out the purposes of this section, the Administrator or the
Secretary of the Department in which the Coast Guard is
operating or an authorized representative of the Adminis-
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 541
trator or Secretary, upon presentation of appropriate
credentials, may—
"(i) enter and inspect any facility to which this sec-
tion applies, including any facility at which any records
are required to be maintained under subparagraph (A);
and
"(ii) at reasonable times, have access to and copy any
records, take samples, and inspect any monitoring
equipment or methods required under subparagraph
(A).
"(C) ARRESTS AND EXECUTION OF WARRANTS.—Anyone au-
thorized by the Administrator or the Secretary of the
department in which the Coast Guard is operating to en-
force the provisions of this section with respect to any
facility may—
"(i) with or without a warrant, arrest any person who
violates the provisions of this section or any regulation
issued thereunder in the presence or view of the person
so authorized; and
"(ii) execute any warrant or process issued by an
officer or court of competent jurisdiction.
"CD) PUBLIC ACCESS.—Any records, reports, or information
obtained under this paragraph shall be subject to the same
public access and disclosure requirements which are ap-
plicable to records, reports, and information obtained
pursuant to section 308.".
SEC. 43%. CIVIL ENFORCEMENT UNDER FEDERAL WATER POLLUTION
CONTROL ACT.
Section 311(e) of the Federal Water Pollution Control Act (33
U.S.C. 1321) is amended to read as follows:
"(e) CIVIL ENFORCEMENT.— State and local
"(1) ORDERS PROTECTING PUBLIC HEALTH.—In addition to any s°vernmentB-
action taken by a State or local government, when the President
determines that there may be an imminent and substantial
threat to the public health or welfare of the United States,
including fish, shellfish, and wildlife, public and private prop-
erty, shorelines, beaches, habitat, and other living and
nonliving natural resources under the jurisdiction or control of
the United States, because of an actual or threatened discharge
of oil or a hazardous substance from a vessel or facility in
violation of subsection (b), the President may—
"(A; require the Attorney General to secure any relief
from any person, including the owner or operator of the
vessel or facility, as may be necessary to abate such
endangerment; or
"(B) after notice to the affected State, take any other
action under this section, including issuing administrative
orders, that may be necessary to protect the public health
and welfare.
"(2) JURISDICTION OF DISTRICT COURTS.—The district courts of
the United States shall have jurisdiction to grant any relief
under this subsection that the public interest and the equities of
the case may require.".
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104 STAT. 542 PUBLIC LAW 101-380— AUG. 18, 1990
and TITLE V— PRINCE WILLIAM SOUND
development PROVISIONS
33 USC 2731. SEC. 5001. OIL SPILL RECOVERY INSTITUTE.
(a) ESTABLISHMENT OF INSTITUTE. — The Secretary of Commerce
shall provide for the establishment of a Prince William Sound Oil
Spill Recovery Institute (hereinafter in this section referred to as
the "Institute") to be administered by the Secretary of Commerce
through the Prince William Sound Science and Technology Institute
and located in Cordova, Alaska.
(b) FUNCTIONS. — The Institute shall conduct research and carry
out educational and demonstration projects designed to —
(1) identify and develop the best available techniques, equip-
ment, and materials for dealing with oil spills in the arctic and
subarctic marine environment; and
(2) complement Federal and State damage assessment efforts
and determine, document, assess, and understand the long-
range effects of the EXXON VALDEZ oil spill on the natural
resources of Prince William Sound and its adjacent waters (as
generally depicted on the map entitled "EXXON VALDEZ oil
spill dated March 1990"), and the environment, the economy,
and the lifestyle and well-being of the people who are dependent
on them, except that the Institute shall not conduct studies or
make recommendations on any matter which is not directly
related to the EXXON VALDEZ oil spill or the effects thereof.
(c) ADVISORY BOARD. —
(1) IN* GENERAL. — The policies of the Institute shall be deter-
mined by an advisory board, composed of 18 members appointed
as follows:
(A) One representative appointed by each of the Commis-
sioners of Fish and Game, Environmental Conservation,
Natural Resources, and Commerce and Economic Develop-
ment of the State of Alaska, all of whom shall be State
employees.
(B) One representative appointed by each of —
(i) the Secretaries of Commerce, the Interior, Agri-
culture, Transportation, and the Navy; and
(ii) the Administrator of the Environmental Protec-
tion Agency;
all of whom shall be Federal employees.
(C) 4 representatives appointed by the Secretary of Com-
merce from among residents of communities in Alaska that
were affected by the EXXON VALDEZ oil spill who are
knowledgeable about fisheries, other local industries, the
marine environment, wildlife, public health, safety, or edu-
cation. At least 2 of the representatives shall be appointed
from among residents of communities located in Prince
William Sound. The Secretary shall appoint residents to
serve terms of 2 years each, from a list of 8 qualified
individuals to be submitted by the Governor of the State of
Alaska based on recommendations made by the governing
body of each affected community. Each affected community
may submit the names of 2 qualified individuals for the
Governor's consideration. No more than 5 of the 8 qualified
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 543
persons recommended by the Governor shall be members of
the same political party.
(D) 3 Alaska Natives who represent Native entities af-
fected by the EXXON VALDEZ oil spill, at least one of
whom represents an entity located in Prince William
Sound, to serve terms of 2 years each from a list of 6
qualified individuals submitted by the Alaska Federation of
Natives.
(E) One nonvoting representative of the Institute of
Marine Science.
(F) One nonvoting representative appointed by the Prince
William Sound Science and Technology Institute.
(2) CHAIRMAN.—The representative of the Secretary of Com-
merce shall serve as Chairman of the Advisory Board.
(3) POLICIES.—Policies determined by the Advisory Board
under this subsection shall include policies for the conduct and
support, through contracts and grants awarded on a nationally
competitive basis, of research, projects, and studies to be sup-
ported by the Institute in accordance with the purposes of this
section.
(d) SCIENTIFIC AND TECHNICAL COMMITTEE.— Establishment.
(1) IN GENERAL.—The Advisory Board shall establish a sci-
entific and technical committee, composed of specialists in mat-
ters relating to oil spill containment and cleanup technology,
arctic and subarctic marine ecology, and the living resources
and socioeconomics of Prince William Sound and its adjacent
waters, from the University of Alaska, the Institute of Marine
Science, the Prince William Sound Science and Technology
Institute, and elsewhere in the academic community.
(2) FUNCTIONS.—The Scientific and Technical Committee shall
provide such advice to the Advisory Board as the Advisory
Board shall request, including recommendations regarding the
conduct and support of research, projects, and studies in accord-
ance with the purposes of this section. The Advisory Board shall
not request, and the Committee shall not provide, any advice
which is not directly related to the EXXON VALDEZ oil spill or
the effects thereof.
(e) DIRECTOR.—The Institute shall be administered by a Director
appointed by the Secretary of Commerce. The Prince William Sound
Science and Technology Institute, the Advisory Board, and the
Scientific and Technical Committee may each submit independent
recommendations for the Secretary's consideration for appointment
as Director. The Director may hire such staff and incur such ex-
penses on behalf of the Institute as are authorized by the Advisory
Board.
(f) EVALUATION.—The Secretary of Commerce may conduct an
ongoing evaluation of the activities of the Institute to ensure that
funds received by the Institute are used in a manner consistent with
this section.
(g) AUDIT.—The Comptroller General of the United States, and
any of his or her duly authorized representatives, shall have access,
for purposes of audit and examination, to any books, documents,
papers, and records of the Institute and its administering agency
that are pertinent to the funds received and expended by the
Institute and its administering agency.
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104 STAT. 544
PUBLIC LAW 101-380—AUG. 18, 1990
Public
information.
Oil Terminal
and Oil Tanker
Environmental
Oversight and
Monitoring Act
of 1990.
33 USC 2732.
(h) STATUS OF EMPLOYEES.—Employees of the Institute shall not,
by reason of such employment, be considered to be employees of the
Federal Government for any purpose.
(i) TERMINATION.—The Institute shall terminate 10 years after the
date of the enactment of this Act.
(j) USE OF FUNDS.—All funds authorized for the Institute shall be
provided through the National Oceanic and Atmospheric Adminis-
tration. No funds made available to carry out this section may be
used to initiate litigation. No funds made available to carry out this
section may be used for the acquisition of real property (including
buildings) or construction of any building. No more than 20 percent
of funds made available to carry out this section may be used to
lease necessary facilities and to administer the Institute. None of
the funds authorized by this section shall be used for any purpose
other than the functions specified in subsection (b).
(k) RESEARCH.—The Institute shall publish and make available to
any person upon request the results of all research, educational, and
demonstration projects conducted by the Institute. The Adminis-
trator shall provide a copy of all research, educational, and dem-
onstration projects conducted by the Institute to the National Oce-
anic and Atmospheric Administration.
(1) DEFINITIONS.—In this section, the term "Prince William Sound
and its adjacent waters" means such sound and waters as generally
depicted on the map entitled "EXXON VALDEZ oil spill dated
March 1990".
SEC. 5002. TERMINAL AND TANKER OVERSIGHT AND MONITORING.
(a) SHORT TITLE AND FINDINGS.—
(1) SHORT TITLE.—This section may be cited as the "Oil Termi-
nal and Oil Tanker Environmental Oversight and Monitoring
Act of 1990".
(2) FINDINGS.—The Congress finds that—
(A) the March 24, 1989, grounding and rupture of the
fully loaded oil tanker, the EXXON VALDEZ, spilled 11
million gallons of crude oil in Prince William Sound, an
environmentally sensitive area;
(B) many people believe that complacency on the part of
the industry and government personnel responsible for
monitoring the operation of the Valdez terminal and vessel
traffic in Prince William Sound was one of the contributing
factors to the EXXON VALDEZ oil spill;
(C) one way to combat this complacency is to involve local
citizens in the process of preparing, adopting, and revising
oil spill contingency plans;
(D) a mechanism should be established which fosters the
long-term partnership of industry, government, and local
communities in overseeing compliance with environmental
concerns in the operation of crude oil terminals;
(E) such a mechanism presently exists at the Sullom Voe
terminal in the Shetland Islands and this terminal should
serve as a model for others;
(F) because of the effective partnership that has devel-
oped at Sullom Voe, Sullom Voe is considered the safest
terminal in Europe;
(G) the present system of regulation and oversight of
crude oil terminals in the United States has degenerated
into a process of continual mistrust and confrontation;
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 545
(H) only when local citizens are involved in the process
will the trust develop that is necessary to change the
present system from confrontation to consensus;
OD a pilot program patterned after Sullom Voe should be
established in Alaska to further refine the concepts and
relationships involved; and
(J) similar programs should eventually be established in
other major crude oil terminals in the United States be-
cause the recent oil spills in Texas, Delaware, and Rhode
Island indicate that the safe transportation of crude oil is a
national problem.
(b) DEMONSTRATION PROGRAMS.—
(1) ESTABLISHMENT.—There are established 2 Oil Terminal
and Oil Tanker Environmental Oversight and Monitoring Dem-
onstration Programs (hereinafter referred to as "Programs") to
be carried out in the State of Alaska.
(2) ADVISORY FUNCTION.—The function of these Programs
shall be advisory only.
(3) PURPOSE.—The Prince William Sound Program shall be
responsible for environmental monitoring of the terminal facili-
ties in Prince William Sound and the crude oil tankers operat-
ing in Prince William Sound. The Cook Inlet Program shall be
responsible for environmental monitoring of the terminal facili-
ties and crude oil tankers operating in Cook Inlet located South
of the latitude at Point Possession and North of the latitude at
Amatuli Island, including offshore facilities in Cook Inlet.
(4) SUITS BARRED.—No program, association, council, commit-
tee or other organization created by this section may sue any
person or entity, public or private, concerning any matter aris-
ing under this section except for the performance of contracts.
(c) OIL TERMINAL FACILITIES AND OIL TANKER OPERATIONS
ASSOCIATION.—
(1) ESTABLISHMENT.—There is established an Oil Terminal
Facilities and Oil Tanker Operations Association (hereinafter in
this section referred to as the "Association") for each of the
Programs established under subsection (b).
(2) MEMBERSHIP.—Each Association shall be comprised of 4
individuals as follows:
(A) One individual shall be designated by the owners and
operators of the terminal facilities and shall represent
those owners and operators.
(B) One individual shall be designated by the owners and
operators of the crude oil tankers calling at the terminal
facilities and shall represent those owners and operators.
(C) One individual shall be an employee of the State of
Alaska, shall be designated by the Governor of the State of
Alaska, and shall represent the State government.
(D) One individual shall be an employee of the Federal
Government, shall be designated by the President, and
shall represent the Federal Government.
(3) RESPONSIBILITIES.—Each Association shall be responsible
for reviewing policies relating to the operation and mainte-
nance of the oil terminal facilities and crude oil tankers which
affect or may affect the environment in the vicinity of their
respective terminals. Each Association shall provide a forum
among the owners and operators of the terminal facilities, the
owners and operators of crude oil tankers calling at those
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104 STAT. 546 PUBLIC LAW 101-380—AUG. 18, 1990
facilities, the United States, and the State of Alaska to discuss
and to make recommendations concerning all permits, plans,
and site-specific regulations governing the activities and actions
of the terminal facilities which affect or may affect the environ-
ment in the vicinity of the terminal facilities and of crude oil
tankers calling at those facilities.
(4) DESIGNATION OF EXISTING ORGANIZATION.—The Secretary
may designate an existing nonprofit organization as an Associa-
tion under this subsection if the organization is organized to
meet the purposes of this section and consists of at least the
individuals listed in paragraph (2).
(d) REGIONAL CITIZENS' ADVISORY COUNCILS.—
(1) MEMBERSHIP.—There is established a Regional Citizens'
Advisory Council (hereinafter in this section referred to as the
"Council") for each of the programs established by subsection
(b).
(2) MEMBERSHIP.—Each Council shall be composed of voting
members and nonvoting members, as follows:
(A) VOTING MEMBERS.—Voting members shall be Alaska
residents and, except as provided in clause (vii) of this
paragraph, shall be appointed by the Governor of the State
of Alaska from a list of nominees provided by each of the
following interests, with one representative appointed to
represent each of the following interests, taking into consid-
eration the need for regional balance on the Council:
(i) Local commercial fishing industry organizations,
the members of which depend on the fisheries re-
sources of the waters in the vicinity of the terminal
facilities.
(ii) Aquaculture associations in the vicinity of the
terminal facilities.
(iii) Alaska Native Corporations and other Alaska
Native organizations the members of which reside in
the vicinity of the terminal facilities.
(iv) Environmental organizations the members of
which reside in the vicinity of the terminal facilities.
(v) Recreational organizations the members of which
reside in or use the vicinity of the terminal facilities.
(vi) The Alaska State Chamber of Commerce, to rep-
resent the locally based tourist industry.
(viiXI) For the Prince William Sound Terminal Facili-
ties Council, one representative selected by each of the
following municipalities: Cordova, Whittier, Seward,
Valdez, Kodiak, the Kodiak Island Borough, and the
Kenai Peninsula Borough.
(II) For the Cook Inlet Terminal Facilities Council,
one representative selected by each of the following
municipalities: Homer, Seldovia, Anchorage. Kenai,
Kodiak. the Kodiak Island Borough, and the Kenai
Peninsula Borough.
(B) NONVOTING MEMBERS.—One ex-officio, nonvoting rep-
resentative shall be designated by, and represent, each of
the following:
(i) The Environmental Protection Agency.
(ii) The Coast Guard.
(iii) The National Oceanic and Atmospheric Adminis-
tration.
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PUBLIC LAW 101-380—AUG. 18,1990 104 STAT. 547
(iv) The United States Forest Service.
(v) The Bureau of Land Management.
(vi) The Alaska Department of Environmental Con-
servation.
(vii) The Alaska Department of Fish and Game.
(viii) The Alaska Department of Natural Resources.
(ix) The Division of Emergency Services, Alaska
Department of Military and Veterans Affairs.
(3) TERMS.—
(A) DURATION OF COUNCILS.—The term of the Councils
shall continue throughout the life of the operation of the
Trans-Alaska Pipeline System and so long as oil is trans-
ported to or from Cook Inlet.
(B) THHEE YEARS.—The voting members of each Council
shall be appointed for a term of 3 years except as provided
for in subparagraph (C).
(C) INITIAL APPOINTMENTS.—The terms of the first
appointments shall be as follows:
(i) For the appointments by the Governor of the State
of Alaska, one-third shall serve for 3 years, one-third
shall serve for 2 years, and one-third shall serve for one
year.
(ii) For the representatives of municipalities required
by subsection (dX2XAXvii), a drawing of lots among the
appointees shall determine that one-third of that group
serves for 3 years, one-third serves for 2 years, and the
remainder serves for 1 year.
(4) SELF-GOVERNING.—Each Council shall elect its own chair-
person, select its own staff, and make policies with regard to its
internal operating procedures. After the initial organizational
meeting called by the Secretary under subsection (i), each Coun-
cil shall be self-governing.
(5) DUAL MEMBERSHIP AND CONFLICTS OF INTEREST PROHIB-
ITED.—(A) No individual selected as a member of the Council
shall serve on the Association.
(B) No individual selected as a voting member of the Council
shall be engaged in any activity which might conflict with such
individual carrying out his functions as a member thereof.
(6) DUTIES.—Each Council shall—
(A) provide advice and recommendations to the Associa-
tion on policies, permits, and site-specific regulations relat-
ing to the operation and maintenance of terminal facilities
and crude oil tankers which affect or may affect the
environment in the vicinity of the terminal facilities;
(B) monitor through the committee established under
subsection (e), the environmental impacts of the operation
of the terminal facilities and crude oil tankers;
(Cj monitor those aspects of terminal facilities' and crude
oil tankers' operations and maintenance which affect or
may affect the environment in the vicinity of the terminal
facilities;
(D) review through the committee established under
subsection (f), the adequacy of oil spill prevention and
contingency plans for the terminal facilities and the ade-
quacy of oil spill prevention and contingency plans for
crude oil tankers, operating in Prince William Sound or in
Cook Inlet;
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104 STAT. 548 PUBLIC LAW 101-380—AUG. 18, 1990
(E) provide advice and recommendations to the Associa-
tion on port operations, policies and practices;
(F) recommend to the Association—
(i) standards and stipulations for permits and site-
specific regulations intended to minimize the impact of
the terminal facilities' and crude oil tankers oper-
ations in the vicinity of the terminal facilities;
(ii) modifications of terminal facility operations and
maintenance intended to minimize the risk and miti-
gate the impact of terminal facilities, operations in the
vicinity of the terminal facilities and to minimize the
risk of oil spills;
(iii) modifications of crude oil tanker operations and
maintenance in Prince William Sound and Cook Inlet
intended to minimize the risk and mitigate the impact
of oil spills; and
(iv) modifications to the oil spill prevention and
contingency plans for terminal facilities and for crude
oil tankers in Prince William Sound and Cook Inlet
intended to enhance the ability to prevent and respond
to an oil spill; and
(G) create additional committees of the Council as nec-
essary to carry out the above functions, including a sci-
entific and technical advisory committee to the Prince Wil-
liam Sound Council.
(7) No ESTOPPEL.—No Council shall be held liable under State
or Federal law for costs or damages as a result of rendering
advice under this section. Nor shall any advice given by a voting
member of a Council, or program representative or agent, be
grounds for estopping the interests represented by the voting
Council members from seeking damages or other appropriate
relief.
(8) SCIENTIFIC WORK.—In carrying out its research, develop-
ment and monitoring functions, each Council is authorized to
conduct its own scientific research and shall review the sci-
entific work undertaken by or on behalf of the terminal opera-
tors or crude oil tanker operators as a result of a legal require-
ment to undertake that work. Each Council shall also review
the relevant scientific work undertaken by or on behalf of any
government entity relating to the terminal facilities or crude oil
tankers. To the extent possible, to avoid unnecessary duplica-
tion, each Council shall coordinate its independent scientific
work with the scientific work performed by or on behalf of the
terminal operators and with the scientific work performed by or
on behalf of the operators of the crude oil tankers.
(e) COMMITTEE FOR TERMINAL AND OIL TANKER OPERATIONS AND
ENVIRONMENTAL MONITORING.—
(1) MONITORING COMMITTEE.—Each Council shall establish a
standing Terminal and Oil Tanker Operations and Environ-
mental Monitoring Committee (hereinafter in this section re-
ferred to as the "Monitoring Committee") to devise and manage
a comprehensive program of monitoring the environmental
impacts of the operations of terminal facilities and of crude oil
tankers while operating in Prince William Sound and Cook
Inlet. The membership of the Monitoring Committee shall be
made up of members of the Council, citizens, and recognized
scientific experts selected by the Council.
39-139 O - 90 - 3 (380)
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 549
(2) DUTIES.—In fulfilling its responsibilities, the Monitoring
Committee shall—
(A) advise the Council on a monitoring strategy that will
permit early detection of environmental impacts of termi-
nal facility operations and crude oil tanker operations
while in Prince Willing Sound and Cook Inlet;
(B) develop monitoring programs and make recommenda-
tions to the Council on the implementation of those pro-
grams;
(C) at its discretion, select and contract with universities
and other scientific institutions to carry out specific mon-
itoring projects authorized by the Council pursuant to an
approved monitoring strategy;
CD) complete any other tasks assigned by the Council; and
(E) provide written reports to the Council which interpret Reports.
and assess the results of all monitoring programs.
(f) COMMITTEE FOR OIL SPILL PREVENTION, SAFETY, AND EMER-
GENCY RESPONSE.—
(1) TECHNICAL OIL SPILL COMMITTEE.—Each Council shall
establish a standing technical committee (hereinafter referred
to as "Oil Spill Committee") to review and assess measures
designed to prevent oil spills and the planning and prepared-
ness for responding to, containing, cleaning up, and mitigating
impacts of oil spills. The membership of the Oil Spill Committee
shall be made up of members of the Council, citizens, and
recognized technical experts selected by the Council.
(2) DUTIES.—In fulfilling its responsibilities, the Oil Spill
Committee shall—
(A) periodically review the respective oil spill prevention
and contingency plans for the terminal facilities and for the
crude oil tankers while in Prince William Sound or Cook
Inlet, in light of new technological developments and
changed circumstances;
(B) monitor periodic drills and testing of the oil spill
contingency plans for the terminal facilities and for crude
oil tankers while in Prince William Sound and Cook Inlet;
(C) study wind and water currents and other environ-
mental factors in the vicinity of the terminal facilities
which may affect the ability to prevent, respond to, contain,
and clean up an oil spill;
(D) identify highly sensitive areas which may require
specific protective measures in the event of a spill in Prince
William Sound or Cook Inlet;
(E) monitor developments in oil spill prevention, contain-
ment, response, and cleanup technology;
(F) periodically review port organization, operations, in-
cidents, and the adequacy and maintenance of vessel traffic
service systems designed to assure safe transit of crude oil
tankers pertinent to terminal operations;
(G) periodically review the standards for tankers bound
for, loading at, exiting from, or otherwise using the termi-
nal facilities;
(H) complete any other tasks assigned by the Council; and Reports.
(I) provide written reports to the Council outlining its
findings and recommendations.
(g) AGENCY COOPERATION.—On and after the expiration of the 180-
day period following the date of the enactment of this section, each
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104 STAT. 550 PUBLIC LAW 101-380—AUG. 18, 1990
Federal department, agency, or other instrumentality shall, with
respect to all permits, site-specific regulations, and other matters
governing the activities and actions of the terminal facilities which
affect or may affect the vicinity of the terminal facilities, consult
with the appropriate Council prior to taking substantive action with
respect to the permit, site-specific regulation, or other matter. This
consultation shall be carried out with a view to enabling the appro-
priate Association and Council to review the permit, site-specific
regulation, or other matters and make appropriate recommenda-
tions regarding operations, policy or agency actions. Prior consulta-
tion shall not be required if an authorized Federal agency represent-
ative reasonably believes that an emergency exists requiring action
without delay.
(h) RECOMMENDATIONS OF THE COUNCIL.—In the event that the
Association does not adopt, or significantly modifies before adoption,
any recommendation of the Council made pursuant to the authority
granted to the Council in subsection (d), the Association shall pro-
vide to the Council, in writing, within 5 days of its decision, notice of
its decision and a written statement of reasons for its rejection or
significant modification of the recommendation.
(i) ADMINISTRATIVE ACTIONS.—Appointments, designations, and
selections of individuals to serve as members of the Associations and
Councils under this section shall be submitted to the Secretary prior
to the expiration of the 120-day period following the date of the
enactment of this section. On or before the expiration of the 180-day
period following that date of enactment of this section, the Secretary
shall call an initial meeting of each Association and Council for
organizational purposes.
(j) LOCATION AND COMPENSATION.—
(1) LOCATION.—Each Association and Council established by
this section shall be located in the State of Alaska.
(2) COMPENSATION.—No member of an Association or Council
shall be compensated for the member's services as a member of
the Association or Council, but shall be allowed travel expenses,
including per diem in lieu of subsistence, at a rate established
by the Association or Council not to exceed the rates authorized
for employees of agencies under sections 5702 and 5703 of title 5,
United States Code. However, each Council may enter into
contracts to provide compensation and expenses to members of
the committees created under subsections (d), (e), and (f).
(k) FUNDING.—
(1) REQUIREMENT.—Approval of the contingency plans re-
quired of owners and operators of the Cook Inlet and Prince
William Sound terminal facilities and crude oil tankers while
operating in Alaskan waters in commerce with those terminal
facilities shall be effective only so long as the respective Associa-
tion and Council for a facility are funded pursuant to paragraph
(2).
(2) PRINCE WILLIAM SOUND PROGRAM.—The owners or opera-
tors of terminal facilities or crude oil tankers operating in
Prince William Sound shall provide, on an annual basis, an
aggregate amount of not more than $2,000,000, as determined
by the Secretary. Such amount—
(A) shall provide for the establishment and operation on
the environmental oversight and monitoring program in
Prince William Sound;
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 551
(B) shall be adjusted Annually by the Anchorage
Consumer Price Index; and
(C) may be adjusted periodically upon the mutual consent
of the owners or operators of terminal facilities or crude oil
tankers operating in Prince William Sound and the Prince
William Sound terminal facilities Council.
(3) COOK INLET PROGRAM.—The owners or operators of termi-
nal facilities, offshore facilities, or crude oil tankers operating
in Cook Inlet shall provide, on an annual basis, an aggregate
amount of not more than $1,000,000, as determined by the
Secretary. Such amount—
(A) ahj*11 provide for the establishment and operation of
the environmental oversight and monitoring program in
Cook Inlet;
(B) shall be adjusted annually by the Anchorage
Consumer Price Index; and
(C) may be adjusted periodically upon the mutual consent
of the owners or operators of terminal facilities, offshore
facilities, or crude oil tankers operating in Cook Inlet and
the Cook Inlet Council.
0) REPORTS.—
(1) ASSOCIATIONS AND COUNCILS.—Prior to the expiration of
the 36-month period following the date of the enactment of this
section, each Association and Council established by this section
shall report to the President and the Congress concerning its
activities under this section, together with its recommendations.
(2) GAO.—Prior to the expiration of the 3&-month period
following the date of the enactment of this section, the General
Accounting Office shall report to the President and the Con-
gress as to the handling of funds, including donated funds, by
the entities carrying out the programs under this section, and
the effectiveness of the demonstration programs carried out
under this section, together with its recommendations.
(m) DEFiNrnoNS.—As used in this section, the term—
(1) "terminal facilities" means—
(A) in the case of the Prince William Sound Program, the
entire oil terminal complex located in Valdez, Alaska,
consisting of approximately 1,000 acres including all build-
ings, docks (except docks owned by the City of Valdez if
those docks are not used for loading of crude oil), pipes,
piping, roads, ponds, tanks, crude oil tankers only while at
the terminal dock, tanker escorts owned or operated by the
operator of the terminal, vehicles, and other facilities asso-
ciated with, and necessary for, assisting tanker movement
of crude oil into and out of the oil terminal complex; and
(B) in the case of the Cook Inlet Program, the entire oil
terminal complex including all buildings, docks, pipes,
piping, roads, ponds, tanks, vessels, vehicles, crude oil tank-
ers only while at the terminal dock, tanker escorts owned
or operated by the operator of the terminal, emergency spill
response vessels owned or operated by the operator of the
terminal, and other facilities associated with, and necessary
for, assisting tanker movement of crude oil into and out of
the oil terminal complex;
(2) "crude oil tanker" means a tanker (as that term is defined
under section 2101 of title 46, United States Code)—
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104 STAT. 552 PUBLIC LAW 101-380—AUG. 18, 1990
(A) in the case of the Prince William Sound Program,
calling at the terminal facilities for the purpose of receiving
and transporting oil to refineries, operating north of
Middleston Island and bound for or exiting from Prince
William Sound; and
(B) in the case of the Cook Inlet Program, calling at the
terminal facilities for the purpose of receiving and
transporting oil to refineries and operating in Cook Inlet
and the Gulf of Alaska north of Amatuli Island, including
tankers transiting to Cook Inlet from Prince William
Sound;
(3) "vicinity of the terminal facilities" means that geographi-
cal area surrounding the environment of terminal facilities
which is directly affected or may be directly affected by the
operation of the terminal facilities; and
(4) "Secretary" means the Secretary of Transportation.
(n) SAVINGS CLAUSE.—
(1) REGULATORY AUTHORITY.—Nothing in this section shall be
construed as modifying, repealing, superseding, or preempting
any municipal, State or Federal law or regulation, or in any
way affecting litigation arising from oil spills or the rights and
responsibilities of the United States or the State of Alaska, or
municipalities thereof, to preserve and protect the environment
through regulation of land, air, and water uses, of safety, and of
related development. The monitoring provided for by this sec-
tion shall be designed to help assure compliance with applicable
laws and regulations and shall only extend to activities—
(A) that would affect or have the potential to affect the
vicinity of the terminal facilities and the area of crude oil
tanker operations included in the Programs; and
(B) are subject to the United States or State of Alaska, or
municipality thereof, law, regulation, or other legal require-
ment.
(2) RECOMMENDATIONS.—This subsection is not intended to
prevent the Association or Council from recommending to
appropriate authorities that existing legal requirements should
be modified or that new legal requirements should be adopted.
Contracts. (Q) ALTERNATIVE VOLUNTARY ADVISORY GROUP IN LlEU OF COUN-
CIL.—The requirements of subsections (c) through (1), as such subsec-
tions apply respectively to the Prince William Sound Program and
the Cook Inlet Program, are deemed to have been satisfied so long as
the following conditions are met:
(1) PRINCE WILLIAM SOUND.—With respect to the Prince Wil-
liam Sound Program, the Alyeska Pipeline Service Company or
any of its owner companies enters into a contract for the
duration of the operation of the Trans-Alaska Pipeline System
with the Alyeska Citizens Advisory Committee in existence on
the date of enactment of this section, or a successor organiza-
tion, to fund that Committee or organization on an annual basis
in the amount provided for by subsection (kX2XA) and the
President annually certifies that the Committee or organization
fosters the general goals and purposes of this section and is
broadly representative of the communities and interests in the
vicinity of the terminal facilities and Prince William Sound.
(2) COOK INLET.—With respect to the Cook Inlet Program, the
terminal facilities, offshore facilities, or crude oil tanker owners
and operators enter into a contract with a voluntary advisory
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PUBLIC LAW 101-380—AUG. 18, 1990
104 STAT. 553
organization to fund that organization on an annual basis and
the President annually certifies that the organization fosters
the general goals and purposes of this section and is broadly
representative of the communities and interests in the vicinity
of the terminal facilities and Cook Inlet.
SEC. 6003. BLIGH REEF LIGHT. 33 USC 2733.
The Secretary of Transportation shall within one year after the
date of the enactment of this title install and ensure operation of an
automated navigation light on or adjacent to Bligh Reef in Prince
William Sound, Alaska, of sufficient power and height to provide
long-range warning of the location of Bligh Reef.
SEC. 6004. VESSEL TRAFFIC SERVICE SYSTEM. 33 USC 2734.
The Secretary of Transportation shall within one year after the
date of the enactment of this title—
(1) acquire, install, and operate such additional equipment Regulations.
(which may consist of radar, closed circuit television, satellite
tracking systems, or other shipboard dependent surveillance),
train and locate such personnel, and issue such final regulations
as are necessary to increase the range of the existing VTS
system in the Port of Valdez, Alaska, sufficiently to track the
locations and movements of tank vessels carrying oil from the
Trans-Alaska Pipeline when such vessels are transiting Prince
William Sound, Alaska, and to sound an audible alarm when
such tankers depart from designated navigation routes; and
(2) submit to the Committee on Commerce, Science, and Report*.
Transportation of the Senate and the Committee on Merchant
Marine and Fisheries of the House of Representatives a report
on the feasibility and desirability of instituting positive control
of tank vessel movements in Prince William Sound by Coast
Guard personnel using the Port of Valdez, Alaska, VTS system,
as modified pursuant to paragraph (1).
SEC. 5005. EQUIPMENT AND PERSONNEL REQUIREMENTS UNDER TANK 33 USC 2735.
VESSEL AND FACILITY RESPONSE PLANS.
(a) IN GENERAL.—In addition to the requirements for response
plans for vessels established by section 3110") of the Federal Water
Pollution Control Act, as amended by this Act, a response plan for a
tank vessel operating on Prince William Sound, or a facility per-
mitted under the Trans-Alaska Pipeline Authorization Act (43
U.S.C. 1651 et seq.), shall provide for—
(1) prepositioned oil spill containment and removal equipment
in communities and other strategic locations within the geo-
graphic boundaries of Prince William Sound, including escort
vessels with skimming capability; barges to receive recovered
oil; heavy duty sea boom, pumping, transferring, and lightering
equipment; and other appropriate removal equipment for the
protection of the environment, including fish hatcheries;
(2) the establishment of an oil spill removal organization at
appropriate locations in Prince William Sound, consisting of
trained personnel in sufficient numbers to immediately remove,
to the maximum extent practicable, a worst case discharge or a
discharge of 200,000 barrels of oil, whichever is greater;
(3) training in oil removal techniques for local residents and
individuals engaged in the cultivation or production of fish or
fish products in Prince William Sound;
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104 STAT. 554 PUBLIC LAW 101-380—AUG. 18, 1990
(4) practice exercises not less than 2 times per year which test
the capacity of the equipment and personnel required under
this paragraph; and
(5) periodic testing and certification of equipment required
under this paragraph, as required by the Secretary.
fb) DEFINITIONS.—In this section—
(1) the term "Prince William Sound" means all State and
Federal waters within Prince William Sound, Alaska, including
the approach to Hinchenbrook Entrance out to and encompass-
ing Seal Rocks; and
(2) the term "worst case discharge" means—
(A) in the case of a vessel, a discharge in adverse weather
conditions of its entire cargo; and
(B) in the case of a facility, the largest foreseeable dis-
charge in adverse weather conditions.
33 USC 2736. SEC. 5006. FUNDING.
fa) SECTION 5001.—Amounts in the Fund shall be available, sub-
ject to appropriations, and shall remain available until expended, to
carry out section 5001 as follows:
(1) $5,000,000 shall be available for the first fiscal year begin-
ning after the date of enactment of this Act.
(2) $2,000,000 shall be available for each of the 9 fiscal years
following the fiscal year described in paragraph (1).
(b) SECTIONS 5003 AND 5004.—Amounts in the Fund shall be
available, without further appropriations and without fiscal year
limitation, to carry out sections 5003 and 5004, in an amount not to
exceed $5,000,000.
33 USC 2737 SEC. 5007. LIMITATION.
Notwithstanding any other law, tank vessels that have spilled
more than 1,000,000 gallons of oil into the marine environment after
March 22, 1989, are prohibited from operating on the navigable
waters of Prince William Sound, Alaska.
TITLE VI—MISCELLANEOUS
33 USC 2751 SEC. 6001. SAVINGS PROVISIONS.
fa) CROSS-REFERENCES.—A reference to a law replaced by this Act,
including a reference in a regulation, order, or other law, is deemed
to refer to the corresponding provision of this Act.
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 555
(1) admiralty and maritime law; or
(2) the jurisdiction of the district courts of the United States
with respect to civil actions under admiralty and maritime
jurisdiction, saving to suitors in all cases all other remedies to
which they are otherwise entitled.
SEC. 6002. ANNUAL APPROPRIATIONS. 33 USC 2752.
(a) REQUIRED.—Except as provided in subsection (b), amounts in
the Fund shall be available only as provided in annual appropria-
tion Acts.
(b) EXCEPTIONS.—Subsection (a) shall not apply to sections 1006(0,
1012(aX4). or 5006(b), and shall not apply to an amount not to exceed
$50,000,000 in any fiscal year which the President may make avail-
able from the Fund to carry out section 311(c) of the Federal Water
Pollution Control Act, as amended by this Act, and to initiate the
assessment of natural resources damages required under section
1006. Sums to which this subsection applies shall remain available
until expended.
SEC. 6003. OUTER BANKS PROTECTION. Outer Banks
(a) SHORT TITLE.—This section may be cited as the "Outer Banks North Carolina
Protection Act". 33 USC 2753.
(b) FINDINGS.—The Congress finds that—
(1) the Outer Banks of North Carolina is an area of excep-
tional environmental fragility and beauty;
(2) the annual economic benefits of commercial and rec-
reational fishing activities to North Carolina, which could be
adversely affected by oil or gas development offshore the State's
coast, exceeds $1,000,000,000;
(3) the major industry in coastal North Carolina is tourism,
which is subject to potentially significant disruption by offshore
oil or gas development;
(4) the physical oceanographic characteristics of the area
offshore North Carolina between Cape Hatteras and the mouth
of the Chesapeake Bay are not well understood, being affected
by Gulf Stream western boundary perturbations and accom-
panying warm filaments, warm and cold core rings which sepa-
rate from the Gulf Stream, wind stress, outflow from the Chesa-
peake Bay, Gulf Stream meanders, and intrusions of Virginia
coastal waters around and over the Diamond shoals;
(5) diverse and abundant fisheries resources occur in the
western boundary area of the Gulf Stream offshore North Caro-
lina, but little is understood of the complex ecological relation-
ships between the life histories of those species and their phys-
ical, chemical, and biological environment;
(6) the environmental impact statements prepared for Outer
Continental Shelf lease sales numbered 56 (1981) and 78 (1983)
contain insufficient and outdated environmental information
from which to make decisions on approval of additional oil and
gas leasing, exploration, and development activities;
(7) the draft environmental report, dated November 1, 1989,
and the preliminary final environmental report dated June 1,
1990, prepared pursuant to a July 14, 1989 memorandum of
understanding between the State of North Carolina, the Depart-
ment of the Interior, and the Mobil Oil Company, have not
allayed concerns about the adequacy of the environmental
information available to determine whether to proceed with
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104 STAT. 556 PUBLIC LAW 101-380—AUG. 18, 1990
additional offshore leasing, exploration, or development off-
shore North Carolina; and
(8) the National Research Council report entitled "The Ade-
quacy of Environmental Information for Outer Continental
Shelf Oil and Gas Decisions: Florida and California", issued in
1989, concluded that—
(A) information with respect to those States, which have
received greater scrutiny than has North Carolina, is inad-
equate; and
(B) there are serious generic defects in the Minerals
Management Service's methods of environmental analysis,
reinforcing concerns about the adequacy of the scientific and
technical information which are the basis for a. decision to lease
additional tracts or approve an exploration plan offshore North
Carolina, especially with respect to oceanographic, ecological,
and socioeconomic information.
(c) PROHIBITION OF OIL AND GAS LEASING, EXPLORATION, AND
DEVELOPMENT.—
(1) PROHIBITION.—The Secretary of the Interior shall not—
(A) conduct a lease sale;
(B) issue any new leases;
(C) approve any exploration plan;
(D) approve any development and production plan;
(E) approve any application for permit to drill; or
(F) permit any drilling,
for oil or gas under the Outer Continental Shelf Lands Act on
any lands of the Outer Continental Shelf offshore North Caro-
lina.
(2) BOUNDARIES.—For purposes of paragraph (1), the term
"offshore North Carolina" means the area within the lateral
seaward boundaries between areas offshore North Carolina and
areas offshore—
(A) Virginia as provided in the joint resolution entitled
"Joint resolution granting the consent of Congress to an
agreement between the States of North Carolina and Vir-
ginia establishing their lateral seaward boundary" ap-
proved October 27, 1972 (86 Stat. 1298); and
(B) South Carolina as provided in the Act entitled "An
Act granting the consent of Congress to the agreement
between the States of North Carolina and South Carolina
establishing their lateral seaward boundary" approved
October 9, 1981 (95 Stat. 988).
(3) DURATION OF PROHIBITION.—
(A) IN GENERAL.—The prohibition under paragraph (1)
shall remain in effect until the later of—-
(i) October 1, 1991; or
Reports. (ii) 45 days of continuous session of the Congress after
submission of a written report to the Congress by the
Secretary of the Interior, made after consideration of
the findings and recommendations of the Environ-
mental Sciences Review Panel under subsection (e)—
(I) certifying that the information available,
including information acquired pursuant to subsec-
tion (d), is sufficient to enable the Secretary to
carry out his responsibilities under the Outer Con-
tinental Shelf Lands Act with respect to authoriz-
ing the activities described in paragraph (1); and
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 557
(II) including a detailed explanation of any dif-
ferences between such certification and the find-
ings and recommendations of the Environmental
Sciences Review Panel under subsection (e), and a
detailed justification of each such difference.
(B) CONTINUOUS SESSION OF CONGRESS.—In computing any
45-day period of continuous session of Congress under
subparagraph (AXii)—
(i) continuity of session is broken only by an adjourn-
ment of the Congress sine die; and
(ii) the days on which either House of Congress is not
in session because of an adjournment of more than 3
days to a day certain are excluded.
(d) ADDITIONAL ENVIRONMENTAL INFORMATION.—The Secretary of
the Interior shall undertake ecological and socioeconomic studies,
additional physical oceanographic studies, including actual field
work and the correlation of existing data, and other additional
environmental studies, to obtain sufficient information about all
significant conditions, processes, and environments which influence,
or may be influenced by, oil and gas leasing, exploration, and
development activities offshore North Carolina to enable the Sec-
retary to carry out his responsibilities under the Outer Continental
Shelf Lands Act with respect to authorizing the activities described
in subsection (cXD- During the time that the Environmental Sci-
ences Review Panel established under subsection (e) is in existence,
the Secretary of the Interior shall consult with such Panel in
carrying out this subsection.
(e) ENVIRONMENTAL SCIENCES REVIEW PANEL.— Establishment.
(1) ESTABLISHMENT AND MEMBERSHIP.—There shall be estab-
lished an Environmental Sciences Review Panel, to consist of—
(A) 1 marine scientist selected by the Secretary of the
Interior;
(B) 1 marine scientist selected by the Governor of North
Carolina; and
(C) 1 person each from the disciplines of physical oceanog-
raphy, ecology, and social science, to be selected jointly by
the Secretary of the Interior and the Governor of North
Carolina from a list of individuals nominated by the Na-
tional Academy of Sciences.
(2) FUNCTIONS.—Not later than 6 months after the date of the
enactment of this Act, the Environmental Sciences Review
Panel shall—
(A) prepare and submit to the Secretary of the Interior
findings and recommendations—
(i) assessing the adequacy of available physical
oceanographic, ecological, and socioeconomic informa-
tion in enabling the Secretary to carry out his respon-
sibilities under the Outer Continental Shelf Lands Act
with respect to authorizing the activities described in
subsection (cXD; and
(ii) if such available information is not adequate for
such purposes, indicating what additional information
is required to enable the Secretary to carry out such
responsibilities; and
(B) consult with the Secretary of the Interior as provided
in subsection (d).
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104 STAT. 558 PUBLIC LAW 101-380—AUG. 18, 1990
(3) EXPENSES.—Each member of the Environmental Sciences
Review Panel shall be reimbursed for actual travel expenses
and shall receive per diem in lieu of subsistence for each day
such member is engaged in the business of the Environmental
Sciences Review Panel.
(4) TERMINATION.—The Environmental Sciences Review Panel
shall be terminated after the submission of all findings and
recommendations required under paragraph (2XA).
(f) AUTHORIZATION OF APPROPRIATIONS.—There are authorized to
be appropriated to the Secretary of the Interior to carry out this
section not to exceed §500,000 for fiscal year 1991, to remain avail-
able until expended.
SEC. 6004. COOPERATIVE DEVELOPMENT OF COMMON HYDROCARBON-
BEARING AREAS.
(a) AMENDMENT TO OUTER CONTINENTAL SHELF LANDS ACT.—Sec-
tion 5 of the Outer Continental Shelf Lands Act, as amended (43
U.S.C. 1334), is amended by adding a new subsection (j) as follows:
"(j) COOPERATIVE DEVELOPMENT OF COMMON HYDROCARBON-BEAR-
ING AREAS.—
"(1) FINDINGS.—
"(A) The Congress of the United States finds that the
unrestrained competitive production of hydrocarbons from
a common hydrocarbon-bearing geological area underlying
the Federal and State boundary may result in a number of
harmful national effects, including—
"(i) the drilling of unnecessary wells, the installation
of unnecessary facilities and other imprudent operating
practices that result in economic waste, environmental
damage, and damage to life and property;
"(ii) the physical waste of hydrocarbons and an un-
necessary reduction in the amounts of hydrocarbons
that can be produced from certain hydrocarbon-bearing
areas; and
"(iii) the loss of correlative rights which can result in
the reduced value of national hydrocarbon resources
and disorders in the leasing of Federal and State
resources.
"(2) PREVENTION OF HARMFUL EFFECTS.—The Secretary shall
prevent, through the cooperative development of an area, the
harmful effects of unrestrained competitive production of
hydrocarbons from a common hydrocarbon-bearing area under-
lying the Federal and State boundary.".
Louisiana. (b) EXCEPTION FOR WEST DELTA FIELD.—Section 5(j) of the Outer
1334 Continental Shelf Lands Act, as added by this section, shall not be
applicable with respect to Blocks 17 and 18 of the West Delta Field
offshore Louisiana.
(c) AUTHORIZATION OF APPROPRIATIONS.—There are hereby au-
thorized to be appropriated such sums as may be necessary to
provide compensation, including interest, to the State of Louisiana
and its lessees, for net drainage of oil and gas resources as deter-
mined in the Third Party Factfinder Louisiana Boundary Study
dated March 21, 1989. For purposes of this section, such lessees shall
include those persons with an ownership interest in State of Louisi-
ana leases SL10087, SL10088 or SL10187, or ownership interests in
the production or proceeds therefrom, as established by assignment,
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 559
contract or otherwise. Interest shall be computed for the period
March 21,1989 until the date of payment.
TITLE VII—OIL POLLUTION RESEARCH
AND DEVELOPMENT PROGRAM
SEC 7001. OIL POLLUTION RESEARCH AND DEVELOPMENT PROGRAM. 33 USC 2761.
(a) INTERAGENCY COORDINATING COMMITTEE ON OIL POLLUTION
RESEARCH.—
(1) ESTABLISHMENT.—There is established an Interagency Co-
ordinating Committee on Oil Pollution Research (hereinafter in
this section referred to as the "Interagency Committee").
(2) PURPOSES.—The Interagency Committee shall coordinate a
comprehensive program of oil pollution research, technology
development, and demonstration among the Federal agencies,
in cooperation and coordination with industry, universities,
research institutions, State governments, and other nations, as
appropriate, and shall foster cost-effective research mecha-
nisms, including the joint funding of research.
(3) MEMBERSHIP.—The Interagency Committee shall include
representatives from the Department of Commerce (including
the National Oceanic and Atmospheric Administration and the
National Institute of Standards and Technology), the Depart-
ment of Energy, the Department of the Interior (including the
Minerals Management Service and the United States Fish and
Wildlife Service), the Department of Transportation (including
the United States Coast Guard, the Maritime Administration,
and the Research and Special Projects Administration), the
Department of Defense (including the Army Corps of Engineers
and the Navy), the Environmental Protection Agency, the Na-
tional Aeronautics and Space Administration, and the United
States Fire Administration in the Federal Emergency Manage-
ment Agency, as well as such other Federal agencies as the
President may designate.
A representative of the Department of Transportation shall serve as
Chairman.
(b) OIL POLLUTION RESEARCH AND TECHNOLOGY PLAN.—
(1) IMPLEMENTATION PLAN.—Within 180 days after the date of
enactment of this Act, the Interagency Committee shall submit
to Congress a plan for the implementation of the oil pollution
research, development, and demonstration program established
pursuant to subsection (c). The research plan shall—
(A) identify agency roles and responsibilities;
(B) assess the current status of knowledge on oil pollution
prevention, response, and mitigation technologies and ef-
fects of oil pollution on the environment;
(C) identify significant oil pollution research gaps includ-
ing an assessment of major technological deficiencies in
responses to past oil discharges;
CD) establish research priorities and goals for oil pollution
technology development related to prevention, response,
mitigation, and environmental effects;
(E) estimate the resources needed to conduct the oil
pollution research and development program established
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104 STAT. 560 PUBLIC LAW 101-380—AUG. 18, 1990
pursuant to subsection (c), and timetables for completing
research tasks; and
(F) identify, in consultation with the States, regional oil
pollution research needs and priorities for a coordinated,
multidisciplinary program of research at the regional level.
Contracts. (2) ADVICE AND GUIDANCE.—The Chairman, through the
Department of Transportation, shall contract with the National
Academy of Sciences to—
(A) provide advice and guidance in the preparation and
development of the research plan; and
Reports. (B) assess the adequacy of the plan as submitted, and
submit a report to Congress on the conclusions of such
assessment.
The National Institute of Standards and Technology shall pro-
vide the Interagency Committee with advice and guidance on
issues relating to quality assurance and standards measure-
ments relating to its activities under this section.
(c) OIL POLLUTION RESEARCH AND DEVELOPMENT PROGRAM.—
(1) ESTABLISHMENT.—The Interagency Committee shall coordi-
nate the establishment, by the agencies represented on the
Interagency Committee, of a program for conducting oil pollu-
tion research and development, as provided in this subsection.
(2) INNOVATIVE OIL POLLUTION TECHNOLOGY.—The program
established under this subsection shall provide for research,
development, and demonstration of new or improved tech-
nologies which are effective in preventing or mitigating oil
discharges and which protect the environment, including—
(A) development of improved designs for vessels and
facilities, and improved operational practices;
(B) research, development, and demonstration of im-
proved technologies to measure the ullage of a vessel tank,
prevent discharges from tank vents, prevent discharges
during lightering and bunkering operations, contain dis-
charges on the deck of a vessel, prevent discharges through
the use of vacuums in tanks, and otherwise contain dis-
charges of oil from vessels and facilities;
(C) research, development, and demonstration of new or
improved systems of mechanical, chemical, biological, and
other methods (including the use of dispersants, solvents,
and bioremediation) for the recovery, removal, and disposal
of oil, including evaluation of the environmental effects of
the use of such systems;
Texas. (D) research and training, in consultation with the Na-
tional Response Team, to improve industry's and Govern-
ment's ability to quickly and effectively remove an oil
discharge, including the long-term use, as appropriate, of
the National Spill Control School in Corpus Christi, Texas;
(E) research to improve information systems for decision-
making, including the use of data from coastal mapping,
baseline data, and other data related to the environmental
effects of oil discharges, and cleanup technologies;
(F) development of technologies and methods to protect
public health and safety from oil discharges, including the
population directly exposed to an oil discharge;
(G) development of technologies, methods, and standards
for protecting removal personnel, including training, ade-
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 561
quate supervision, protective equipment, maximum expo-
sure limits, and decontamination procedures;
(H) research and development of methods to restore and
rehabilitate natural resources damaged by oil discharges;
(I) research to evaluate the relative effectiveness and
environmental impacts of bioremediation technologies; and
(J) the demonstration of a satellite-based, dependent
surveillance vessel traffic system in Narragansett Bay to
evaluate the utility of such system in reducing the risk of
oil discharges from vessel collisions and groundings in con-
fined waters.
(3) OIL POLLUTION TECHNOLOGY EVALUATION.—The program
established under this subsection shall provide for oil pollution
prevention and mitigation technology evaluation including—
(A) the evaluation and testing of technologies developed
independently of the research and development program
established under this subsection;
(B) the establishment, where appropriate, of standards
and testing protocols traceable to national standards to
measure the performance of oil pollution prevention or
mitigation technologies; and
(C) the use, where appropriate, of controlled field testing
to evaluate real-world application of oil discharge preven-
tion or mitigation technologies.
(4) OIL POLLUTION EFFECTS RESEARCH.—
-------
104 STAT. 562
State listing.
New Jersev.
Grants.
Schools and
colleges.
PUBLIC LAW 101-380—AUG. 18, 1990
Narragansett Bay where oil was discharged by the WORLD
PRODIGY; the Houston Ship Channel where oil was discharged
by the RACHEL B; the Delaware River, where oil was dis-
charged by the PRESIDENTS RIVERA, and Huntington Beach,
California, where oil was discharged by the AMERICAN
TRADER.
(C) Research conducted under this paragraph by, or through,
the United States Fish and Wildlife Service shall be directed
and coordinated by the National Wetland Research Center.
(5) MARINE SIMULATION RESEARCH.—The program established
under this subsection shall include research on the greater use
and application of geographic and vessel response simulation
models, including the development of additional data bases and
updating of existing data bases using, among others, the re-
sources of the National Maritime Research Center. It shall
include research and vessel simulations for—
(A) contingency plan evaluation and amendment;
(B) removal and strike team training;
(C) tank vessel personnel training; and
(D) those geographic areas where there is a significant
likelihood of a major oil discharge.
(6) DEMONSTRATION PROJECTS.—The United States Coast
Guard, in conjunction with other such agencies in the Depart-
ment of Transportation as the Secretary of Transportation may
designate, shall conduct 3 port oil pollution minimization dem-
onstration projects, one each with (A) the Port Authority of New
York and New Jersey, (B) the Ports of Los Angeles and Long
Beach, California, and (C) the Port of New Orleans, Louisiana,
for the purpose of developing and demonstrating integrated port
oil pollution prevention and cleanup systems which utilize the
information and implement the improved practices and tech-
nologies developed from the research, development, and dem-
onstration program established in this section. Such systems
shall utilize improved technologies and management practices
for reducing the risk of oil discharges, including, as appropriate,
improved data access, computerized tracking of oil shipments,
improved vessel tracking and navigation systems, advanced
technology to monitor pipeline and tank conditions, improved
oil spill response capability, improved capability to predict the
flow and effects of oil discharges in both the inner and outer
harbor areas for the purposes of making infrastructure deci-
sions, and such other activities necessary to achieve the pur-
poses of this section.
(7) SIMULATED ENVIRONMENTAL TESTING.—Agencies rep-
resented on the Interagency Committee shall ensure the long-
term use and operation of the Oil and Hazardous Materials
Simulated Environmental Test Tank (OHMSETT) Research
Center in New Jersey for oil pollution technology testing and
evaluations.
(8) REGIONAL RESEARCH PROGRAM.—(A) Consistent with the
research plan in subsection (b), the Interagency Committee
shall coordinate a program of competitive grants to universities
or other research institutions, or groups of universities or re-
search institutions, for the purposes of conducting a coordinated
research program related to the regional aspects of oil pollution,
such as prevention, removal, mitigation, and the effects of
discharged oil on regional environments. For the purposes of
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 563
this paragraph, a region means a Coast Guard district as set out
in part 3 of title 33, Code of Federal Regulations (1989).
(B) The Interagency Committee shall coordinate the publica-
tion by the agencies represented on the InteragencyCoinmittee
of a solicitation for grants under this subsection. The applica-
tion shall be in such form and contain such information as may
be required in the published solicitation. The applications shall
be reviewed by the Interagency Committee, which shall make
recommendations to the appropriate granting agency rep-
resented on the Interagency Committee for awarding the grant.
The granting agency shall award the grants recommended by
the Interagency Committee unless the agency decides not to
award the grant due to budgetary or other compelling consider-
ations and publishes its reasons for such a determination in the
Federal Register. No grants may be made by any agency from
any funds authorized for this paragraph unless such grant
award has first been recommended by the Interagency Commit-
tee.
(C) Any university or other research institution, or group of
universities or research institutions, may apply for a grant for
the regional research program established by this paragraph.
The applicant must be located in the region, or in a State a part
of which is in the region, for which the project is proposed as
part of the regional research program. With respect to a group
application, the entity or entities which will carry out the
substantial portion of the proposed research must be located in
the region, or in a State a part of which is in the region, for
which the project is proposed as part of the regional research
program.
(D) The Interagency Committee shall make recommendations
on grants in such a manner as to ensure an appropriate balance
within a region among the various aspects of oil pollution
research, including prevention, removal, mitigation, and the
effects of discharged oil on regional environments. In addition,
the Interagency Committee shall make recommendations for
grants based on the following criteria:
(i) There is available to the applicant for carrying out this
paragraph demonstrated research resources.
(ii) The applicant demonstrates the capability of making
a significant contribution to regional research needs.
(iii) The projects which the applicant proposes to carry
out under the grant are consistent with the research plan
under subsection (bXIXF) and would further the objectives
of the research and development program established in
this section.
(E) Grants provided under this paragraph shall be for a period
up to 3 years, subject to annual review by the granting agency,
and provide not more than 80 percent of the costs of the
research activities carried out in connection with the grant.
(F) No funds made available to carry out this subsection may
be used for the acquisition of real property (including buildings)
or construction of any building.
(G) Nothing in this paragraph is intended to alter or abridge
the authority under existing law of any Federal agency to make
grants, or enter into contracts or cooperative agreements, vising
funds other than those authorized in this Act for the purposes of
carrying out this paragraph.
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104 STAT. 564 PUBLIC LAW 101-380—AUG. 18, 1990
(9) FUNDING.—For each of the fiscal years 1991, 1992, 1993,
1994, and 1995, $6,000,000 of amounts in the Fund shall be
available to carry out the regional research program in para-
graph (8), such amounts to be available in equal amounts for the
regional research program in each region; except that if the
agencies represented on the Interagency Committee determine
that regional research needs exist which cannot be addressed
within such funding limits, such agencies may use their author-
ity under paragraph (10) to make additional grants to meet such
needs. For the purposes of this paragraph, the research program
carried out by the Prince William Sound Oil Spill Recovery
Institute established under section 5001, shall not be eligible to
receive grants under this paragraph.
(10) GRANTS.—In carrying out the research and development
program established under this subsection, the agencies rep-
resented on the Interagency Committee may enter into con-
tracts and cooperative agreements and make grants to univer-
sities, research institutions, and other persons. Such contracts,
cooperative agreements, and grants shall address research and
technology priorities set forth in the oil pollution research plan
under subsection (b).
(11) In carrying out research under this section, the Depart-
ment of Transportation shall continue to utilize the resources of
the Research and Special Programs Administration of the
Department of Transportation, to the maximum extent prac-
ticable.
(d) INTERNATIONAL COOPERATION.—In accordance with the re-
search plan submitted under subsection (b), the Interagency
Committee shall coordinate and cooperate with other nations and
foreign research entities in conducting oil pollution research, devel-
opment, and demonstration activities, including controlled field
tests of oil discharges.
(e) BIENNIAL REPORTS.—The Chairman of the Interagency
Committee shall submit to Congress every 2 years on October 30 a
report on the activities carried out under this section in the preced-
ing 2 fiscal years, and on activities proposed to be carried out under
this section in the current 2 fiscal year period.
(f) FUNDING.—Not to exceed S21,250,000 of amounts in the Fund
shall be available annually to carry out this section except for
subsection (cX8). Of such sums—
(1) funds authorized to be appropriated to carry out the
activities under subsection (cX4) shall not exceed $5,000,000 for
fiscal year 1991 or $3,500,000 for any subsequent fiscal year; and
(2) not less than $2,250,000 shall be available for carrying out
the activities in subsection (cX6) for fiscal years 1992, 1993, 1994,
and 1995.
All activities authorized in this section, including subsection (cX8),
are subject to appropriations.
p£3S£s£«n TITLE VIII—TRANS-ALASKA PIPELINE
(ftof SYSTEM
43 USC 1651 SEC. 8001. SHORT TITLE.
This title may be cited as the "Trans-Alaska Pipeline System
Reform Act of 1990".
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 565
Subtitle A—Improvements to Trans-Alaska
Pipeline System
SEC r 01. LIABILITY WITHIN THE STATE OF ALASKA AND CLEAMJP
EFFORTS.
(a) CAUSE OF ACCIDENT.—Section 204(aXl) of the Trans-Alaska
Pipeline Authorization Act (43 U.S.C. 1653(aXl)) is amended by
striking out "caused by" in the first sentence and inserting in lieu
thereof "caused solely by".
(b) LIMITATION OF LIABILITY.—Section 204(aX2) of the Trans-Alaska
Pipeline Authorization Act (43 U.S.C. 1653(aX2)) is amended by
striking "$50,000,000" each place it occurs and inserting in lieu
thereof "$350,000,000".
(c) CLEANUP EFFORTS.—Section 204(b) of the Trans-Alaska Pipeline
Authorization Act (43 U.S.C. 1653(b)) is amended in the first sen-
tence—
(1) by inserting after "any area" the following: "in the State
of Alaska";
(2) by inserting after "any activities" the following: "related
to the Trans-Alaska Pipeline System, including operation of the
terminal,"; and
(3) by inserting after "other Federal" the first place it appears
the following: "or State".
SEC. 8102. TRANS-ALASKA PIPELINE LIABILITY FUND.
(a) TERMINATION OF CERTAIN PROVISIONS.—
(1) REPEAL.—Section 204(c) of the Trans-Alaska Pipeline
Authorization Act (43 U.S.C. 1653(c)) is repealed, effective as
provided in paragraph (5).
(2) DISPOSITION OF FUND BALANCE.— 43 use 1653
(A) RESERVATION OF AMOUNTS.—The trustees of the note-
Trans-Alaska Pipeline Liability Fund (hereafter in this
subsection referred to as the "TAPS Fund") shall reserve
the following amounts in the TAPS Fund—
(i) necessary to pay claims arising under section
204(c) of the Trans-Alaska Pipeline Authorization Act
(43 U.S.C. 1653(c)); and
(ii) administrative expenses reasonably necessary for
and incidental to the implementation of section 204(c)
of that Act.
(B) DISPOSITION OF THE BALANCE.—After the Comptroller
General of the United States certifies that the require-
ments of subparagraph (A) have been met, the trustees of
the TAPS Fund shall dispose of the balance in the TAPS
Fund after the reservation of amounts Eire made under
subparagraph (A) by—
(ij rebating the pro rata share of the balance to the
State of Alaska for its contributions as an owner of oil;
and then
(ii) transferring and depositing the remainder of the
balance into the Oil Spill Liability Trust Fund estab-
lished under section 9509 of the Internal Revenue Code
of 1986 (26 U.S.C. 9509).
(C) DISPOSITION OF THE RESERVED AMOUNTS.—After pay-
ment of all claims arising from an incident for which funds
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104 STAT. 566
PUBLIC LAW 101-380—AUG. 18, 1990
43 USC 1653
note.
43 USC 1653
note.
43 USC 1653
note.
are reserved under subparagraph (A) and certification by
the Comptroller General of the United States that the
claims arising from that incident have been paid, the excess
amounts, if any, for that incident shall be disposed of as set
forth under subparagraphs (A) and (B).
(D) AUTHORIZATION.—The amounts transferred and
deposited in the Fund shall be available for the purposes of
section 1012 of the Oil Pollution Act of 1990 after funding
sections 5001 and 8103 to the extent that funds have not
otherwise been provided for the purposes of such sections.
(3) SAVINGS CLAUSE.—The repeal made by paragraph (1) shall
have no effect on any right to recover or responsibility that
arises from incidents subject to section 204(c) of the Trans-
Alaska Pipeline Authorization Act (43 U.S.C. 1653(c)) occurring
prior to the date of enactment of this Act.
(4) TAPS COLLECTION.—Paragraph (5) of section 204(c) of the
Trans-Alaska Pipeline Authorization Act (43 U.S.C. 1653(c)) is
amended by striking the period at the end of the second sen-
tence and adding at the end the following: ", except that after
the date of enactment of the Oil Pollution Act of 1990, the
amount to be accumulated shall be 5100,000,000 or the amount
determined by the trustees and certified to the Congress by the
Comptroller General as necessary to pay claims arising from
incidents occurring prior to the date of enactment of that Act
and administrative costs, whichever is less.".
(5) EFFECTIVE DATE.—(A) The repeal by paragraph (1) shall be
effective 60 days after the date on which the Comptroller Gen-
eral of the United States certifies to the Congress that—
(i) all claims arising under section 204(c) of the Trans-
Alaska Pipeline Authorization Act (43 U.S.C. 1653(c)) have
been resolved,
(ii) all actions for the recovery of amounts subject to
section 204(c) of the Trans-Alaska Pipeline Authorization
Act have been resolved, and
(in) all administrative expenses reasonably necessary for
and incidental to the implementation of section 204(c) of the
Trans-Alaska Pipeline Authorization Act have been paid.
(B) Upon the effective date of the repeal pursuant to subpara-
graph (A), the trustees of the TAPS Fund shall be relieved of all
responsibilities under section 204(c) of the Trans-Alaska Pipe-
line Authorization Act, but not any existing legal liability.
(6) TUCKER ACT.—This subsection is intended expressly to
preserve any and all rights and remedies of contributors to the
TAPS Fund under section 1491 of title 28, United States Code
(commonly referred to as the "Tucker Act").
(b) CAUSE OF ACCIDENT.—Section 204(cX2) of the Trans-Alaska
Pipeline Authorization Act (43 U.S.C. 1653(cX2)) is amended by
striking out "caused by" in the first sentence and inserting in lieu
thereof "caused solely by".
(c) DAMAGES.—Section 204(c) of the Trans-Alaska Pipeline
Authorization Act (43 U.S.C. 1653(c)), as amended by this title, is
further amended by adding at the end the following new para-
graphs:
"(13) For any claims against the Fund, the term 'damages' shall
include, but not be limited to—
"(A) the net loss of taxes, revenues, fees, royalties, rents, or
other revenues incurred by a State or a political subdivision of a
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 567
State due to injury, destruction, or loss of real property, per-
sonal property, or natural resources, or diminished economic
activity due to a discharge of oil; and
"(B) the net cost of providing increased or additional public
services during or after removal activities due to a discharge of
oil, including protection from fire, safety, or health hazards,
incurred by a State or political subdivision of a State.
"(14) Paragraphs (1) through (13) shall apply only to claims arising
from incidents occurring before the date of enactment of the Trans-
Alaska Pipeline System Reform Act of 1990. The Oil Pollution Act of
1990 shall apply to any incident, or any claims arising from an
incident, occurring on or after the date of the enactment of that
Act.".
(d) PAYMENT OF CLAIMS BY FUND.—Section 204(cX3) of the Trans-
Alaska Pipeline Authorization Act (43 U.S.C. 1653(cX3)) is amended
by adding at the end the following: 'The Fund shall expeditiously
pay claims under this subsection, including such $14,000,000, if the
owner or operator of a vessel has not paid any such claim within 90
days after such claim has been submitted to such owner or operator.
Upon payment of any such claim, the Fund shall be subrogated
under applicable State and Federal laws to all rights of any person
entitled to recover under this subsection. In any action brought by
the Fund against an owner or operator or an affiliate thereof to
recover amounts under this paragraph, the Fund shall be entitled to
recover prejudgment interest, costs, reasonable attorney's fees, and,
in the discretion of the court, penalties.".
(e) OFFICERS OR TRUSTEES.—Section 204(cX4) of the Trans-Alaska
Pipeline Authorization Act (43 U.S.C. 1653(cX4)) is amended—
(1) by inserting "(A)" after "(4)"; and
(2) by adding at the end the following:
"(B) No present or former officer or trustee of the Fund shall be
subject to any liability incurred by the Fund or by the present or
former officers or trustees of the Fund, other than liability for gross
negligence or willful misconduct.
"(CXi) Subject to clause (ii), each officer and each trustee of the
Fund—
"(I) shall be indemnified against all claims and liabilities to
which he or she has or shall become subject by reason of serving
or having served as an officer or trustee, or by reason of any
action taken, omitted, or neglected by him or her as an officer
or trustee; and
"(ID shall be reimbursed for all attorney's fees reasonably
incurred in connection with any claim or liability.
"(ii) No officer or trustee shall be indemnified against, or be
reimbursed for, any expenses incurred in connection with, any claim
or liability arising out of his or her gross negligence or willful
misconduct.".
SEC. 8103. PRESIDENTIAL TASK FORCE. 43 USC 1651
(a) ESTABLISHMENT OF TASK FORCE.—
(1) ESTABLISHMENT AND MEMBERS.—(A) There is hereby estab-
lished a Presidential Task Force on the Trans-Alaska Pipeline
System (hereinafter referred to as the 'Task Force") composed
of the following members appointed by the President:
(i) Three members, one of whom shall be nominated by
the Secretary of the Interior, one by the Administrator of
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104 STAT. 568 PUBLIC LAW 101-380—AUG. 18, 1990
the Environmental Protection Agency, and one by the Sec-
retary of Transportation.
(ii) Three members nominated by the Governor of the
State of Alaska, one of whom shall be an employee of the
Alaska Department of Natural Resources and one of whom
shall be an employee of the Alaska Department of Environ-
mental Conservation.
(iii) One member nominated by the Office of Technology
Assessment.
(B) Any member appointed to fill a vacancy occurring before
the expiration of the term for which his or her predecessor was
appointed shall be appointed only for the remainder of such
term. A member may serve after the expiration of his or her
term until a successor, if applicable, has taken office.
(2) COCHAIRMEN.—The President shall appoint a Federal
cochairman from among the Federal members of the Task Force
appointed pursuant to paragraph (1XA) and the Governor shall
designate a State cochairman from among the State members of
the Task Force appointed pursuant to paragraph (1)(B).
(3) COMPENSATION.—Members shall, to the extent approved in
appropriations Acts, receive the daily equivalent of the mini*
mum annual rate of basic pay in effect for grade GS-15 of the
General Schedule for each day (including travel time) during
which they are engaged in the actual performance of duties
vested in the Task Force, except that members who are State,
Federal, or other governmental employees shall receive no com-
pensation under this paragraph in addition to the salaries they
receive as such employees.
(4) STAFF.—The cochairman of the Task Force shall appoint a
Director to carry out administrative duties. The Director may
hire such staff and incur such expenses on behalf of the Task
Force for which funds are available.
(5) RULE.—Employees of the Task Force shall not, by reason of
such employment, be considered to be employees of the Federal
Government for any purpose.
(b) DUTIES OF THE TASK FORCE.—
(1) AUDIT.—The Task Force shall conduct an audit of the
Trans-Alaska Pipeline System (hereinafter referred to as
"TAPS") including the terminal at Valdez, Alaska, and other
related onshore facilities, make recommendations to the Presi-
dent, the Congress, and the Governor of Alaska.
(2) COMPREHENSIVE REVIEW.—As part of such audit, the Task
Force shall conduct a comprehensive review of the TAPS in
order to specifically advise the President, the Congress, and the
Governor of Alaska concerning whether—
(A) the holder of the Federal and State right-of-way is,
and has been, in full compliance with applicable laws,
regulations, and agreements;
(B) the laws, regulations, and agreements are sufficient to
prevent the release of oil from TAPS and prevent other
damage or degradation to the environment and public
health;
(C) improvements are necessary to TAPS to prevent re-
lease of oil from TAPS and to prevent other damage or
degradation to the environment and public health;
(D) improvements are necessary in the onshore oil spill
response capabilities for the TAPS; and
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PUBLIC LAW 101-380—AUG. 18, 1990
104 STAT. 569
Classified
information.
(E) improvements are necessary in security for TAPS.
(3) CONSULTANTS.—(A) The Task Force shall retain at least
one independent consulting firm with technical expertise in
engineering, transportation, safety, the environment, and other
applicable areas to assist the Task Force in carrying out this
subsection.
(B) Contracts with any such form shall be entered into on a Contracts
nationally competitive basis, and the Task Force shall not select
any firm with respect to which there may be a conflict of
interest in assisting the Task Force in carrying out the audit
and review. All work performed by such firm shall be under the
direct and immediate supervision of a registered engineer.
(4) PUBLIC COMMENT.—The Task Force shall provide an oppor-
tunity for public comment on its activities including at a mini-
mum the following:
(A) Before it begins its audit and review, the Task Force
shall review reports prepared by other Government entities
conducting reviews of TAPS and shall consult with those
Government entities that are conducting ongoing investiga-
tions including the General Accounting Office. It shall also
hold at least 2 public hearings, at least 1 of which shall be
held in a community affected by the Exxon Valdez oil spill.
Members of the public shall be given an opportunity to
present both oral and written testimony.
(B) The Task Force shall provide a mechanism for the
confidential receipt of information concerning TAPS, which
may include a designated telephone hotline.
(5) TASK FORCE REPORT.—The Task Force shall publish a draft
report which it shall make available to the public. The public
will have at least 30 days to provide comments on the draft
report. Based on its draft report and the public comments
thereon, the Task Force shall prepare a final report which shall
include its findings, conclusions, and recommendations made as
a result of carrying out such audit. The Task Force shall
transmit (and make available to the public), no later than 2
years after the date on which funding is made available under
paragraph (7), its final report to the President, the Congress,
and the Governor of Alaska.
(6) PRESIDENTIAL REPORT.—The President shall, within 90 days
after receiving the Task Force's report, transmit a report to the
Congress and the Governor of Alaska outlining what measures
have been taken or will be taken to implement the Task Force's
recommendations. The President's report shall include rec-
ommended changes, if any, in Federal and State law to enhance
the safety and operation of TAPS.
(7) EARMARK.—Of amounts in the Fund, 55,000,000 shall be
available, subject to appropriations, annually without fiscal
year limitation to carry out the requirements of this section.
(c) GENERAL ADMINISTRATION AND POWERS OF THE TASK FORCE.—
(1) AUDIT ACCESS.—The Comptroller General of the United
States, and any of his or her duly appointed representatives,
shall have access, for purposes of audit and examination, to any
books, documents, papers, and records of the Task Force that
are pertinent to the funds received and expended by the Task
Force.
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104 STAT. 570 PUBLIC LAW 101-380—AUG. 18, 1990
(2) TERMINATION.—The Task Force shall cease to exist on the
date on which the final report is provided pursuant to subsec-
tion (bX5).
Safety. (3) FUNCTIONS LIMITATION.—With respect to safety, oper-
ations, and other matters related to the pipeline facilities (as
such term is defined in section 202(4) of the Hazardous Liquid
Pipeline Safety Act of 1979) of the TAPS, the Task Force shall
not perform any functions which are the responsibility of the
Secretary of Transportation under the Hazardous Liquid Pipe-
line Safety Act of 1979, as amended. The Secretary may use the
information gathered by and reports issued by the Task Force in
carrying out the Secretary's responsibilities under that Act.
(4) POWERS.—The Task Force may, to the extent necessary to
carry out its responsibilities, conduct investigations, make re-
ports, issue subpoenas, require the production of relevant docu-
ments and records, take depositions, and conduct directly or, by
contract, or otherwise, research, testing, and demonstration
activities.
(5) EXAMINATION OF RECORDS AND PROPERTIES.—The Task
Force, and the employees and agents it so designates, are
authorized, upon presenting appropriate credentials to the
person in charge, to enter upon, inspect, and examine, at
reasonable times and in a reasonable manner, the records and
properties of persons to the extent such records and properties
are relevant to determining whether such persons have acted or
are acting in compliance with applicable laws and agreements.
(6) FOIA.—The information gathered by the Task Force
pursuant to subsection (b) shall not be subject to section 552 of
title 5, United States Code (commonly referred to as the "Free-
dom of Information Act"), until its final report is issued pursu-
ant to subsection (bX6).
Subtitle B—Penalties
SEC. 8201. AUTHORITY OF THE SECRETARY OF THE INTERIOR TO IMPOSE
PENALTIES ON OUTER CONTINENTAL SHELF FACILITIES.
Section 24(b) of the Outer Continental Shelf Lands Act (43 U.S.C.
1350(b)) is amended—
(1) by striking out "If any" and inserting in lieu thereof "(1)
Except as provided in paragraph (2), if any";
(2) by striking out "$10,000" and inserting in lieu thereof
"$20,000";
(3) by adding at the end of paragraph (1) the following new
Regulations. sentence: "The Secretary shall, by regulation at least every 3
years, adjust the penalty specified in this paragraph to reflect
any increases in the Consumer Price Index (all items, United
States city average) as prepared by the Department of Labor.";
and
(4) by adding at the end the following new paragraph:
"(2) If a failure described in paragraph (1) constitutes or con-
stituted a threat of serious, irreparable, or immediate harm or
damage to life (including fish and other aquatic life), property, any
mineral deposit, or the marine, coastal, or human environment, a
civil penalty may be assessed without regard to the requirement of
expiration of a period allowed for corrective action.".
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PUBLIC LAW 101-380—AUG. 18, 1990 104 STAT. 571
SEC. 8202. TRANS-ALASKA PIPELINE SYSTEM CIVIL PENALTIES.
The Trans-Alaska Pipeline Authorization Act (43 U.S.C. 1651 et
seq.) is amended by adding at the end thereof the following new
section:
"CIVIL PENALTIES
"Sec. 207. (a) PENALTY.—Except as provided in subsection (cX4), 43 USC 1656.
the Secretary of the Interior may assess and collect a civil penalty
under this section with respect to any discharge of oil—
"(1) in transit from fields or reservoirs supplying oil to the
trans-Alaska pipeline; or
"(2; during transportation through the trans-Alaska pipeline
or handling at the terminal facilities, that causes damage to, or
threatens to damage, natural resources or public or private
property.
"(b) PERSONS LIABLE.—In addition to the person causing or permit-
ting the discharge, the owner or owners of the oil at the time the
discharge occurs shall be jointly, severally, and strictly liable for the
full amount of penalties assessed pursuant to this section, except
that the United States and the several States, and political subdivi-
sions thereof, shall not be liable under this section.
"(c) AMOUNT.—(1) The amount of the civil penalty shall not exceed
$1,000 per barrel of oil discharged.
"(2) In determining the amount of civil penalty under this section,
the Secretary shall consider the seriousness of the damages from the
discharge, the cause of the discharge, any history of prior violations
of applicable rules and laws, and the degree of success of any efforts
by the violator to minimize or mitigate the effects of such discharge.
"(3) The Secretary may reduce or waive the penalty imposed
under this section if the discharge was solely caused by an act of
war, act of God, or third party action beyond the control of the
persons liable under this section.
"(4) No civil penalty assessed by the Secretary pursuant to this
section shall be in addition to a penalty assessed pursuant to section
311(b) of the Federal Water Pollution Control Act (33 U.S.C. 1321(b)J.
"(d) PROCEDURES.—A civil penalty may be assessed and collected
under this section only after notice and opportunity for a hearing on
the record in accordance with section 554 of title 5. United States
Code. In any proceeding for the assessment of a civil penalty under
this section, the Secretary may issue subpoenas for the attendance
and testimony of witnesses and the production of relevant papers,
books, and documents and may promulgate rules for discovery
procedures. Any person who requested a hearing with respect to a
civil penalty under this subsection and who is aggrieved by an order
assessing the civil penalty may file a petition for judicial review of
such order with the United States Court of Appeals for the District
of Columbia circuit or for any other circuit in which such person
resides or transacts business. Such a petition may only be filed
within the 30-day period beginning on the date the order making
such assessment was issued.
"(e) STATE LAW.—(1) Nothing in this section shall be construed or
interpreted as preempting any State or political subdivision thereof
from imposing any additional liability or requirements with respect
to the discharge, or threat of discharge, of oil or other pollution by
oil.
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104 STAT. 572 PUBLIC LAW 101-380—AUG. 18, 1990
"(2) Nothing in this section shall affect or modify in any way the
obligations or liabilities of any person under other Federal or State
law, including common law, with respect to discharges of oil.''.
Subtitle C—Provisions Applicable to Alaska
Natives
SEC. 8301. LAND CONVEYANCES.
The Alaska National Interest Lands Conservation Act (Public
Law 96-487) is amended by adding the following after section 1437:
Claims. "SEC. 1438. Solely for the purpose of bringing claims that arise
43 use 1642. from the discharge of oil, the Congress confirms that all right, title,
and interest of the United States in and to the lands validly selected
pursuant to the Alaska Native Claims Settlement Act (43 U.S.C.
1601 et seq.) by Alaska Native corporations are deemed to have
vested in the respective corporations as of March 23, 1989. This
section shall take effect with respect to each Alaska Native corpora-
tion only upon its irrevocable election to accept an interim convey-
ance of such land and notice of such election has been formally
transmitted to the Secretary of the Interior.".
SEC. 8302. IMPACT OF POTENTIAL SPILLS IN THE ARCTIC OCEAN ON
ALASKA NATIVES.
Section 1005 of the Alaska National Interest Lands Conservation
Act (16 U.S.C. 3145) is amended—
(1) by amending the heading to read as follows:
"WILDLIFE RESOURCES PORTION OF STUDY AND IMPACT OF POTENTIAL
OIL SPILLS IN THE ARCTIC OCEAN";
(2) by inserting "(a)" after "SEC. 1005.;:; and
(3) by adding at the end the following:
"(bXD The Congress finds that—
Canada. "(A) Canada has discovered commercial quantities of oil and
gas in the Amalagak region of the Northwest Territory;
"(B) Canada is exploring alternatives for transporting the oil
from the Amalagak field to markets in Asia and the Far East;
"(C) one of the options the Canadian Government is exploring
involves transshipment of oil from the Amalagak field across
the Beaufort Sea to tankers which would transport the oil
overseas;
"(D) the tankers would traverse the American Exclusive Eco-
nomic Zone through the Beaufort Sea into the Chuckchi Sea
and then through the Bering Straits;
"(E) the Beaufort and Chuckchi Seas are vital to Alaska's
Native people, providing them with subsistence in the form of
walrus, seals, fish, and whales;
"(F) the Secretary of the Interior has conducted Outer Con-
tinental Shelf lease sales in the Beaufort and Chuckchi Seas
and oil and gas exploration is ongoing;
"(G) an oil spill in the Arctic Ocean, if not properly contained
and cleaned up, could have significant impacts on the indige-
nous people of Alaska's North Slope and on the Arctic environ-
ment; and
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PUBLIC LAW 101-380—AUG. 18, 1990
104 STAT. 573
"(H) there are no international contingency plans involving
our two governments concerning containment and cleanup of
an oil spill in the Arctic Ocean.
"(2XA) The Secretary of the Interior, in consultation with the
Governor of Alaska, shall conduct a study of the issues of recovery of
damages, contingency plans, and coordinated actions in the event of
an oil spill in the Arctic Ocean.
"(B) The Secretary shall, no later than January 31, 1991, transmit Reporu.
a report to the Congress on the findings and conclusions reached as
the result of the study carried out under this subsection.
"(c) The Congress calls upon the Secretary of State, in consults- Canada.
tion with the Secretary of the Interior, the Secretary of Transpor- International
tation, and the Governor of Alaska, to begin negotiations with the agreements.
Foreign Minister of Canada regarding a treaty dealing with the
complex issues of recovery of damages, contingency plans, and
coordinated actions in the event of an oil spill in the Arctic Ocean.
"(d) The Secretary of State shall report to the Congress on the Reporu.
Secretary's efforts pursuant to this section no later than June 1,
1991.".
TITLE IX—AMENDMENTS TO OIL SPILL
LIABILITY TRUST FUND, ETC.
SEC. 9001. AMENDMENTS TO OIL SPILL LIABILITY TRUST FUND.
(a) TRANSFERS TO TRUST FUND.—Subsection (b) of section 9509 of
the Internal Revenue Code of 1986 is amended by striking all that 26 USC 9509.
follows paragraph (1) and inserting the foDowing:
(2) amounts recovered under the Oil Pollution Act of 1990 for
damages to natural resources which are required to be deposited
in the Fund under section 1006(f) of such Act,
"(3) amounts recovered by such Trust Fund under section
1015 of such Act,
"(4) amounts required to be transferred by such Act from the
revolving fund established under section 311(k) of the Federal
Water Pollution Control Act,
"(5) amounts required to be transferred by the Oil Pollution
Act of 1990 from the Deepwater Port Liability Fund established
under section 18(f) of the Deepwater Port Act of 1974,
"(6j amounts required to be transferred by the Oil Pollution
Act of 1990 from the Offshore Oil Pollution Compensation Fund
established under section 302 of the Outer Continental Shelf
Lands Act Amendments of 1978,
"(7) amounts required to be transferred by the Oil Pollution
Act of 1990 from the Trans-Alaska Pipeline Liability Fund
established under section 204 of the Trans-Alaska Pipeline
Authorization Act, and
"(8) any penalty paid pursuant to section 311 of the Federal
Water Pollution Control Act, section 309(c) of such Act (as a
result of violations of such section 311), the Deepwater Port Act
of 1974, or section 207 of the Trans-Alaska Pipeline Authoriza-
tion Act."
(b) EXPENDITURES FROM TRUST FUND.—Paragraph (1) of section
9509(c) of such Code is amended to read as follows:
"(1) EXPENDITURE PURPOSES.—Amounts in the Oil Spill Liabil-
ity Trust Fund shall be available, as provided in appropriation
96
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104 STAT. 574 PUBLIC LAW 101-380—AUG. 18, 1990
Acts or section 6002(b) of the Oil Pollution Act of 1990, only for
purposes of making expenditures—
"(A) for the payment of removal costs and other costs,
expenses, claims, and damages referred to in section 1012 of
such Act,
"(B) to carry out sections 5 and 7 of the Intervention on
the High Seas Act relating to oil pollution or the substan-
tial threat of oil pollution,
"(C) for the payment of liabilities incurred by the revolv-
ing fund established by section 311(k) of the Federal Water
Pollution Control Act,
"(D) to carry out subsections (b), (c), (d), (j), and (1) of
section 311 of the Federal Water Pollution Control Act with
respect to prevention, removal, and enforcement related to
oil discharges (as defined in such section),
"(E) for the payment of liabilities incurred by the Deep-
water Port Liability Fund, and
"(F) for the payment of liabilities incurred by the Off-
bhore Oil Pollution Compensation Fund."
(c) INCREASE IN EXPENDITURES PERMITTED PER INCIDENT.—
26 USC 9509. Subparagraph (A) of section 9509(cX2) of such Code is amended—
(1) by striking "$500,000,000" each place it appears and insert-
ing "$1,000,000,000", and
(2) by striking "$250,000,000" and inserting "$500,000,000".
(d) INCREASE IN BORROWING AUTHORITY.—
(1) INCREASE IN BORROWING PERMITTED.—Paragraph (2) of sec-
tion 9509(d) of such Code is amended by striking "$500,000,000"
and inserting "$1,000,000,000".
(2) CHANGE IN FINAL REPAYMENT DATE.—Subparagraph (B) of
section 9509(dX3) of such Code is amended by striking "Decem-
ber 31, 1991" and inserting "December 31, 1994".
(e) OTHER CHANGES.—
(1) Paragraph (2) of section 9509(e) of such Code is amended by
striking "Comprehensive Oil Pollution Liability and Compensa-
tion Act" and inserting "Oil Pollution Act of 1990".
(2) Subparagraph (B) of section 9509(cX2) of such Code is
amended by striking "described in paragraph (IKAXi)" and
inserting "of removal costs".
(3) Subsection (f) of section 9509 of such Code is amended to
read as follows:
"(f) REFERENCES TO On, POLLUTION ACT OF 1990.—Any reference in
this section to the Oil Pollution Act of 1990 or any other Act
referred to in a Subparagraph of subsection (cXD shall be treated as
a reference to such Act as in effect on the date of the enactment of
this subsection."
SEC. 9002. CHANGES RELATING TO OTHER FUNDS.
(a) REPEAL OF PROVISION RELATING TO TRANSFERS TO OIL SPILL
LIABILITY FUND.—Subsection (d) of section 4612 of the Internal
26 USC 4612. Revenue Code of 1986 is amended by striking the last sentence.
(b) CREDIT AGAINST OIL SPILL RATE ALLOWED ON AFFILIATED GROUP
BASIS.—Subsection (d) of section 4612 of such Code is amended by
adding at the end thereof the following new sentence: "For purposes
of this subsection, all taxpayers which would be members of the
same affiliated group (as defined in section 1504(a)j if section
97
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PUBLIC LAW 101-380—AUG. 18,1990 104 STAT. 575
1504(aX2) were applied by substituting '100 percent' for '80 percent'
shall be treated as 1 taxpayer."
Approved August 18, 1990.
LEGISLATIVE HISTORY—H.R. 1465 (H.R. 3027) (S. 686):
HOUSE REPORTS: No. 101-241, Pt. 1 (Comm. on Public Works and Transportation)
and Pt. 2 (Comm. on Science, Space, and Technology), both
accompanying H.R. 3027; No. 101-242, Pt. 1 (Comm. on Public
Works and Transportation), Pt. 2 (Comm. on Merchant Marine
and Fisheries), Pt. 3 (Comm. on Science, Space, and Technology),
Pt. 4 (Comm. on Public Works and Transportation), and Pt. 5
(Comm. on Merchant Marine and Fisheries); and No. 101-653
(Comm. of Conference).
SENATE REPORTS: No. 101-94 accompanying S. 686 (Comm. on Environment and
Public Works).
CONGRESSIONAL RECORD:
Vol. 135 (1989): Aug. 3, 4, S. 686 considered and passed Senate.
Nov. 2, 8, 9, H.R. 1465 considered and passed House.
Nov. 19, considered and passed Senate, amended, in lieu of
S. 686.
Vol. 136 (1990): Aug. 2, Senate agreed to conference report.
Aug. 3, House agreed to conference report.
WEEKLY COMPILATION OF PRESIDENTIAL DOCUMENTS, Vol. 26 (1990):
Aug. 18, Presidential statement.
o
98
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SECTION 2
PART II
RULES AND REGULATIONS
(FEDERAL REGISTER)
THE NATIONAL OIL AND HAZARDOUS SUBSTANCES
POLLUTION CONTINGENCY PLAN
99
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Part 300
40 CFR Ch. I (7-1-91 Edition)
SUBCHAPTER J—SUPERFUND, EMERGENCY PLANNING, AND
COMMUNITY RIGHT-TO-KNOW PROGRAMS
PART 300—NATIONAL OIL AND
HAZARDOUS SUBSTANCES POLLU-
TION CONTINGENCY PLAN
Subparl A—Introduction
Sec.
300.1 Purpose nnd objectives.
300.2 Authority and applicability.
300.3 Scope.
300.4 Abbreviations.
300.5 Definitions.
300.6 Use of number and gender.
300.7 Computation of time.
Subparl B—Reipontlbillty and Organliation
for Reiponte
300.100 Duties of President delegated to
federal agencies.
300.105 General organization concepts.
300.110 National Response Team.
300.115 Regional Response Teams.
300.120 On-scene coordinators and remedi-
al project managers: general responsibil-
ities.
300.125 Notification and communications.
300.130 Determinations to Initiate response
and special conditions.
300.135 Response operations.
300.140 Multi-regional responses.
300.145 Special teams and other assistance
available to OSCs/RPMs.
300.150 Worker health and safety.
300.155 Public Information and community
relations.
300.180 Documentation and cost recovery.
300.185 OSC reports.
300.170 Federal agency participation.
300.175 Federal agencies: additional re-
sponsibilities and assistance.
300.180 State and local participation In re-
sponse.
300.185 Nongovernmental participation.
Subparf C—Planning and Preparodnett
300.200 General.
300.205 Planning and coordination struc-
ture.
300.210 Federal contingency plans.
300.215 Title III local emergency response
plans.
300.220 Related Title III Issues.
Subparl D—Operational Retponte Phatet for
Oil Removal
300.300 Phase I—Discovery or notification.
Sec
300.305 Phase II—Preliminary assessment
and Initiation of action.
300.310 Phase III—Containment, counter-
measures, cleanup, and disposal.
300.315 Phase IV—Documentation and cost
recovery.
300.320 General pattern of response.
300.330 Wildlife conservation.
300.335 Funding.
Subparl E—Haxordoui Subttonce Retpont*
300.400 General.
300.405 Discovery or notification.
300410 Removal site evaluation.
300415 Removal action.
300.420 Remedial site evaluation.
300.425 Establishing remedial priorities.
300.430 Remedial investigation/feasibility
study and selection of remedy.
300.435 Remedial design/remedial action,
operation and maintenance.
300.440 Procedures for planning and Imple-
menting off-site response actions. [Re-
served]
Subparf F—State Involvement In Hazardout
Subttance Reiponte
300.500 General.
300.505 EPA/State Superfund Memoran-
dum of Agreement (SMOA).
300.510 State assurances.
300.515 Requirements for state Involve-
ment In remedial and enforcement re-
sponse.
300.520 State Involvement in EPA-lead en-
forcement negotiations.
300.525 State Involvement In removal ac-
tions.
Subpart C—Tru«tee« for Natural Retourcet
300.600 Designation of federal trustees.
300.605 State trustees.
300.610 Indian tribes.
300.615 Responsibilities of trustees.
Subpart H—Participation by Other Pertoni
300.700 Activities by other persons.
Subparl I—Admlnlitrative Record for Selection
of Reiponte Action
300.800 Establishment of an administrative
record.
300.805 Location of the administrative
record file.
300.810 Contents of the administrative
record file.
6/92
100
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Environmental Protection Agency
Sec.
300.815 Administrative record file for a re-
medial action.
300.820 Administrative record file for a re-
moval action.
300.825 Record requirements after the de-
cision document is signed.
Subpart J—U*« of Dlipertonti and Other
Chvmlcalt
300.800 General.
300.905 NCP Product Schedule.
300.910 Authorization of use.
300.915 Data requirements.
300.920 Addition of products to schedule.
Subporl K—F»d«rol Focilitivt [R»t«rv«d]
APPENDIX A TO PART 300—UNCONTROLLED
HAZARDOUS WASTE SITE RANKUTC
SYSTEM; A USERS MANUAL
APPENDIX B TO PART 300—NATIONAL PRIOR-
ITIES LIST (BY RANK) FEBRUARY 1991
APPENDIX C TO PART 300—REVISED STANDARD
DISPERSANT EFTECTIVENESS AND TOXICITY
TESTS
APPENDIX D TO PART 300—APPROPRIATE AC-
TIONS AND METHODS or REMEDYING RE-
LEASES
AUTHORITY: 42 U.S.C. 9605: 42 U.S.C. 9620:
33 U.S.C. 132KCX2); E.O. 11735. 3 CFR.
1971-1975 Comp., p. 793; E.O. 12580. 3 CFR.
1987 Comp.. p. 193.
6/92
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Environmental Protection Agency
§300.3
Sec.
300.815 Administrative record file for a re-
medial action.
300.820 Administrative record file for a re-
moval action.
300.825 Record requirements after the de-
cision document is signed.
Subpart J—Ut» of Ditp*r*ants and Oth»r
Chcmicalt
300.900 General.
300.905 NCP Product Schedule.
300.910 Authorization of use.
300.915 Data requirements.
300.920 Addition of products to schedule.
Subpart K—Federal Facilities [R*iarv»d]
APPENDIX A TO PART 300—UNCONTROLLED
HAZARDOUS WASTE SITE RANKING
SYSTEM; A USERS MANUAL
APPENDIX B TO PART 300—NATIONAL PRIOR-
ITIES LIST (BY RANK) FEBRUARY 1991
APPENDIX C TO PART 300—REVISED STANDARD
DISPERSANT EFFECTIVENESS AND TOXICITY
TESTS
APPENDIX D TO PART 300—APPROPRIATE AC-
TIONS AND METHODS OF REMEDYING RE-
LEASES
AUTHORITY: 42 U.S.C. 9605; 42 U.S.C. 9620;
33 U.S.C. 1321(0(2): E.O. 11735. 3 CFR.
1971-1975 Comp.. p. 793: E.O. 12580. 3 CFR.
1987 Comp.. p. 193.
Subpart A—Introduction
SOURCE: 55 FR 8813, Mar. 8. 1990, unless
otherwise noted.
§ 300.1 Purpose and objectives.
The purpose of the National Oil and
Hazardous Substances Pollution Con-
tingency Plan (NCP) is to provide the
organizational structure and proce-
dures for preparing for and respond-
ing to discharges of oil and releases of
hazardous substances, pollutants, and
contaminants.
§ 300.2 Authority and applicability.
The NCP is required by section 105
of the Comprehensive Environmental
Response. Compensation, and Liability
Act of 1980, 42 U.S.C. 9605, as amend-
ed by the Superfund Amendments and
Reauthorization Act of 1986 (SARA),
Pub.L. 99-499, (hereinafter CERCLA),
and by section 311(c)(2) of the Clean
Water Act (CWA). as amended, 33
U.S.C. 1321(O(2). In Executive Order
(E.O.) 12580 (52 FR 2923. January 29,
1987), the President delegated to the
Environmental Protection Agency
(EPA) the responsibility for the
amendment of the NCP. Amendments
to the NCP are coordinated with mem-
bers of the National Response Team
(NRT) prior to publication for notice
and comment. This includes coordina-
tion with the Federal Emergency Man-
agement Agency and the Nuclear Reg-
ulatory Commission in order to avoid
inconsistent or duplicative require-
ments in the emergency planning re-
sponsibilities of those agencies. The
NCP is applicable to response actions
taken pursuant to the authorities
under CERCLA and section 311 of the
CWA.
§ 300.3 Scope.
(a) The NCP applies to and is in
effect for:
(1) Discharges of oil into or upon the
navigable waters of the United States
and adjoining shorelines, the waters of
the contiguous zone, and the high seas
beyond the contiguous zone in connec-
tion with activities under the Outer
Continental Shelf Lands Act or the
Deepwater Port Act of 1974, or which
may affect natural resources belong-
ing to, appertaining to, or under the
exclusive management authority of
the United States (including resources
under the Magnuson Fishery Conser-
vation and Management Act). (See sec-
tions 311(b)(l) and 502(7) of the
CWA.)
(2) Releases into the environment of
hazardous substances, and pollutants
or contaminants which may present
an imminent and substantial danger to
public health or welfare.
(b) The NCP provides for efficient,
coordinated, and effective response to
discharges of oil and releases of haz-
ardous substances, pollutants, and
contaminants in accordance with the
authorities of CERCLA and the CWA.
It provides for:
(1) The national response organiza-
tion that may be activated in response
actions. It specifies responsibilities
among the federal, state, and local
governments and describes resources
that are available for response:
(2) The establishment of require-
ments for federal regional and on-
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§ 300.4
40 CFR Ch. I (7-1-91 Edition)
scene coordinator (OSC) contingency
plans. It also summarizes state and
local emergency planning require-
ments under SARA Title III.
(3) Procedures for undertaking re-
moval actions pursuant to section 311
of the CWA.
(4) Procedures for undertaking re-
sponse actions pursuant to CERCLA.
(5) Procedures for involving state
governments in the initiation, develop-
ment, selection, and implementation
of response actions.
(6) Designation of federal trustees
for natural resources for purposes of
CERCLA and the CWA.
(7) Procedures for the participation
of other persons in response actions.
(8) Procedures for compiling and
making available an administrative
record for response actions.
(9) National procedures for the use
of dispersants and other chemicals in
removals under the CWA and response
actions under CERCLA.
(c) In implementing the NCP, con-
sideration shall be given to interna-.
tional assistance plans and agree-
ments, security regulations and re-
sponsibilities based on international
agreements, federal statutes, and exec-
utive orders. Actions taken pursuant
to the NCP shall conform to the provi-
sions of international joint contingen-
cy plans, where they are applicable.
The Department of State shall be con-
sulted, as appropriate, prior to taking
any action which may affect its activi-
ties.
§ 300.4 Abbreviations.
(a) Department and Agency Title Ab-
breviations:
ATSDR—Agency for Toxic Substances
and Disease Registry
DOC—Department of Commerce
DOD—Department of Defense
DOE—Department of Energy
DOI—Department of the Interior
DOJ—Department of Justice
DOL—Department of Labor
DOS—Department of State
DOT—Department of Transportation
EPA—Environmental Protection
Agency
FEMA—Federal Emergency Manage-
ment Agency
HHS—Department of Health and
Human Services
NIOSH—National Institute for Occu-
pational Safety and Health
NOAA—National Oceanic and Atmos-
pheric Administration
RSPA—Research and Special Pro-
grams Administration
USCG—United States Coast Guard
USDA—United States Department of
Agriculture
NOTE: Reference is made in the NCP to
both the Nuclear Regulatory Commission
and the National Response Center. In order
to avoid confusion, the NCP will spell out
Nuclear Regulatory Commission and use
the abbreviation "NRC" only with respect
to the National Response Center.
(b) Operational Abbreviations:
ARARs—Applicable or Relevant and
Appropriate Requirements
CERCLIS—CERCLA Information
System
CRC—Community Relations Coordi-
nator
CRP—Community Relations Plan
ERT—Environmental Response Team
FCO—Federal Coordinating Officer
FS—Feasibility Study
HRS—Hazard Ranking System
LEPC—Local Emergency Planning
Committee
NCP—National Contingency Plan
NPL—National Priorities List
NRC—National Response Center
NRT—National Response Team
NSF—National Strike Force
O&M—Operation and Maintenance
OSC—On-Scene Coordinator
PA—Preliminary Assessment
PIAT—Public Information Assist
Team
RA—Remedial Action
RAT—Radiological Assistance Team
RCP—Regional Contingency Plan
RD—Remedial Design
RI—Remedial Investigation
ROD—Record of Decision
RPM—Remedial Project Manager
RRC—Regional Response Center
RRT—Regional Response Team
SAC—Support Agency Coordinator
SERC—State Emergency Response
Commission
SI—Site Inspection
SMOA—Superfund Memorandum of
Agreement
SSC—Scientific Support Coordinator
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Environmental Protection Agency
§300.5
§ 300.5 Definitions.
Terms not defined in this section
have the meaning given by CERCLA
or the CWA.
Activation means notification by
telephone or other expeditious
manner or, when required, the assem-
bly of some or all appropriate mem-
bers of the RRT or NRT.
Alternative water supplies as defined
by section 101(34) of CERCLA, in-
cludes, but is not limited to, drinking
water and household water supplies.
Applicable requirements means
those cleanup standards, standards of
control, and other substantive require-
ments, criteria, or limitations promul-
gated under federal environmental or
state environmental or facility siting
laws that specifically address a hazard-
ous substance, pollutant, contaminant,
remedial action, location, or other cir-
cumstance found at a CERCLA site.
Only those state standards that are
identified by a state in a timely
manner and that are more stringent
than federal requirements may be ap-
plicable.
Biological additives means microbio-
logical cultures, enzymes, or nutrient
additives that are deliberately intro-
duced into an oil discharge for the spe-
cific purpose of encouraging biodegra-
dation to mitigate the effects of the
discharge.
Burning agents means those addi-
tives that, through physical or chemi-
cal means, improve the combustibility
of the materials to which they are ap-
plied.
CERCLA is the Comprehensive Envi-
ronmental Response, Compensation,
and Liability Act of 1980, as amended
by the Superfund Amendments and
Reauthorization Act of 1986.
CERCLIS is the abbreviation of the
CERCLA Information System, EPA's
comprehensive data base and manage-
ment system that inventories and
tracks releases addressed or needing to
be addressed by the Superfund pro-
gram. CERCLIS contains the official
inventory of CERCLA sites and sup-
ports EPA's site planning and tracking
functions. Sites that EPA decides do
not warrant moving further in the site
evaluation process are given a "No
Further Reisponse Action Planned"
(NFRAP) designation in CERCLIS.
This means that no additional federal
steps under CERCLA will be taken at
the site unless future information so
warrants. Sites are not removed from
the data base after completion of eval-
uations in order to document that
these evaluations took place and to
preclude the possibility that they be
needlessly repeated. Inclusion of a spe-
cific site or area in the CERCLIS data
base does not represent a determina-
tion of any party's liability, nor does it
represent a finding that any response
action is necessary. Sites that are de-
leted from the NPL are not designated
NFRAP sites. Deleted sites are listed
in a separate category in the CER-
CLJS data base.
Chemical agents means those ele-
ments, compounds, or mixtures that
coagulate, disperse, dissolve, emulsify,
foam, neutralize, precipitate, reduce,
solubilize, oxidize, concentrate, con-
geal, entrap, fix, make the pollutant
mass more rigid or viscous, or other-
wise facilitate the mitigation of delete-
rious effects or the removal of the pol-
lutant from the water.
Claim as defined by section 101(4) of
CERCLA, means a demand in writing
for a sum certain.
Coastal waters for the purposes of
classifying the size of discharges,
means the waters of the coastal zone
except for the Great Lakes and speci-
fied ports and harbors on inland
rivers.
Coastal zone as defined for the pur-
pose of the NCP, means all United
States waters subject to the tide.
United States waters of the Great
Lakes, specified ports and harbors on
inland rivers, waters of the contiguous
zone, other waters of the high seas
subject to the NCP, and the land sur-
face or land substrata, ground waters.
and ambient air proximal to those
waters. The term coastal zone delin-
eates an area of federal responsibility
for response action. Precise boundaries
are determined by EPA/USCG agree-
ments and identified in federal region-
al contingency plans.
Community relations means EPA's
program to inform and encourage
public participation in the Superfund
process and to respond to community
concerns. The term public includes
citizens directly affected by the site.
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§ 300.5
40 CFR Ch. I (7-1-91 Edition)
other interested citizens or parties, or-
ganized groups, elected officials, and
potentially responsible parties.
Community relations coordinator
means lead agency staff who work
with the OSC/RPM to involve and
inform the public about the Super-
fund process and response actions in
accordance with the interactive com-
munity relations requirements set
forth in the NCP.
Contiguous zone means the zone of
the high seas, established by the
United States under Article 24 of the
Convention on the Territorial Sea and
Contiguous Zone, which is contiguous
to the territorial sea and which ex-
tends nine miles seaward from the
outer limit of the territorial sea.
Cooperative agreement is a legal in-
strument EPA uses to transfer money,
property, services, or anything of
value to a recipient to accomplish a
public purpose in which substantial
EPA involvement is anticipated during
the performance of the project.
Discharge as defined by section
311(a)(2) of the CWA, includes, but is'
not limited to, any spilling, leaking,
pumping, pouring, emitting, emptying,
or dumping of oil, but excludes dis-
charges in compliance with a permit
under section 402 of the CWA, dis-
charges resulting from circumstances
identified and reviewed and made a
part of the public record with respect
to a permit issued or modified under
section 402 of the CWA, and subject to
a condition in such permit, or continu-
ous or anticipated intermittent dis-
charges from a point source, identified
in a permit or permit application
under section 402 of the CWA, that
are caused by events occurring within
the scope of relevant operating or
treatment systems. For purposes of
the NCP, discharge also means threat
of discharge.
Dispersants means those chemical
agents that emulsify, disperse, or solu-
bilize oil into the water column or pro-
mote the surface spreading of oil slicks
to facilitate dispersal of the oil into
the water column.
Drinking water supply as defined by
section 101(7) of CERCLA, means any
raw or finished water source that is or
may be used by a public water system
(as defined in the Safe Drinking
Water Act) or as drinking water by
one or more individuals.
Environment as defined by section
101(8) of CERCLA, means the naviga-
ble waters, the waters of the contigu-
ous zone, and the ocean waters of
which the natural resources are under
the exclusive management authority
of the United States under the Mag-
nuson Fishery Conservation and Man-
agement Act; and any other surface
water, ground water, drinking water
supply, land surface or subsurface
strata, or ambient air within the
United States or under the jurisdiction
of the United States.
Facility as defined by section 101(9)
of CERCLA, means any building,
structure, installation, equipment,
pipe or pipeline (including any pipe
into a sewer or publicly owned treat-
ment works), well, pit, pond, lagoon,
impoundment, ditch, landfill, storage
container, motor vehicle, rolling stock,
or aircraft, or any site or area, where a
hazardous substance has been deposit-
ed, stored, disposed of, or placed, or
otherwise come to be located; but does
not include any consumer product in
consumer use or any vessel.
Feasibility study (FS) means a study
undertaken by the lead agency to de-
velop and evaluate options for remedi-
al action. The FS emphasizes data
analysis and is generally performed
concurrently and in an interactive
fashion with the remedial investiga-
tion (RI), using data gathered during
the RI. The RI data are used to define
the objectives of the response action,
to develop remedial action alterna-
tives, and to undertake an initial
screening and detailed analysis of the
alternatives. The term also refers to a
report that describes the results of the
study.
First federal official means the first
federal representative of a participat-
ing agency of the National Response
Team to arrive at the scene of a dis-
charge or a release. This official co-
ordinates activities under the NCP and
may initiate, in consultation with the
OSC, any necessary actions until the
arrival of the predesignated OSC. A
state with primary jurisdiction over a
site covered by a cooperative agree-
ment will act in the stead of the first
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Environmental Protection Agency
§300.5
federal official for any incident at the
site.
Fund or Trust Fund means the Haz-
ardous Substance Superfund estab-
lished by section 9507 of the Internal
Revenue Code of 1986.
Ground water as defined by section
101(12) of CERCLA, means water in a
saturated zone or stratum beneath the
surface of land or water.
Hazard Ranking System (HRS)
means the method used by EPA to
evaluate the relative potential of haz-
ardous substance releases to cause
health or safety problems, or ecologi-
cal or environmental damage.
Hazardous substance as defined by
section 101(14) of CERCLA. means:
Any substance designated pursuant to
section 311(b)(2)(A) of the CWA; any
element, compound, mixture, solution,
or substance designated pursuant to
section 102 of CERCLA; any hazard-
ous waste having the characteristics
identified under or listed pursuant to
section 3001 of the Solid Waste Dis-
posal Act (but not including any waste
the regulation of which under the
Solid Waste Disposal Act has been sus-
pended by Act of Congress); any toxic
pollutant listed under section 307(a) of
the CWA; any hazardous air pollutant
listed under section 112 of the Clean
Air Act; and any imminently hazard-
ous chemical substance or mixture
with respect to which the EPA Admin-
istrator has taken action pursuant to
section 7 of the Toxic Substances Con-
trol Act. The term does not include pe-
troleum, including crude oil or any
fraction thereof which is not other-
wise specifically listed or designated as
a hazardous substance in the first sen-
tence of this paragraph, and the term
does not include natural gas, natural
gas liquids, liquefied natural gas, or
synthetic gas usable for fuel (or mix-
tures of natural gas and such synthet-
ic gas).
Indian tribe as defined by section
101(36) of CERCLA, means any Indian
tribe, band, nation, or other organized
group or community, including any
Alaska Native village but not including
any Alaska Native regional or village
corporation, which is recognized as eli-
gible for the special programs and
-services provided by the United States
to Indians because of their status as
Indians.
Inland waters, for the purposes of
classifying the size of discharges,
means those waters of the United
States in the inland zone, waters of
the Great Lakes, and specified ports
and harbors on inland rivers.
Inland zone means the environment
inland of the coastal zone excluding
the Great Lakes and specified ports
and harbors on inland rivers. The
term inland zone delineates an area of
federal responsibility for response
action. Precise boundaries are deter-
mined by EPA/USCG agreements and
identified in federal regional contin-
gency plans.
Lead agency means the agency that
provides the OSC/RPM to plan and
implement response action under the
NCP. EPA, the USCG, another federal
agency, or a state (or political subdivi-
sion of a state) operating pursuant to
a contract or cooperative agreement
executed pursuant to section 104(d)(l)
of CERCLA, or designated pursuant to
a Superfund Memorandum of Agree-
ment (SMOA) entered into pursuant
to subpart P of the NCP or other
agreements may be the lead agency
for a response action. In the case of a
release of a hazardous substance, pol-
lutant, or contaminant, where the re-
lease is on, or the sole source of the re-
lease is from, any facility or vessel
under the jurisdiction, custody, or con-
trol of Department of Defense (DOD)
or Department of Energy (DOE), then
DOD or DOE will be the lead agency.
Where the release is on, or the sole
source of the release is from, any facil-
ity or vessel under the jurisdiction,
custody, or control of a federal agency
other than EPA, the USCG, DOD. or
DOE, then that agency will be the
lead agency for remedial actions and
removal actions other than emergen-
cies. The federal agency maintains its
lead agency responsibilities whether
the remedy is selected by the federal
agency for non-NPL sites or by EPA
and the federal agency or by EPA
alone under CERCLA section 120. The
lead agency will consult with the sup-
port agency, if one exists, throughout
the response process.
Management of migration means ac-
tions that are taken to minimize and
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§300.5
40 CFR Ch. I (7-1-91 Edition)
mitigate the migration of hazardous
substances or pollutants or contami-
nants and the effects of such migra-
tion. Measures may include, but are
not limited to, management of a
plume of contamination, restoration of
a drinking water aquifer, or surface
water restoration.
Miscellaneous oil spill control agent
is any product, other than a dispers-
ant, sinking agent, surface collecting
agent, biological additive, or burning
agent, that can be used to enhance oil
spill cleanup, removal, treatment, or
mitigation.
National Priorities List (NPL)
means the list, compiled by EPA pur-
suant to CERCLA section 105, of un-
controlled hazardous substance re-
leases in the United States that are
priorities for long-term remedial eval-
uation and response.
Natural resources means land, fish,
wildlife, biota, air, water, ground
water, drinking water supplies, and
other such resources belonging to,'
managed by, held in trust by, apper-
taining to, or otherwise controlled by
the United States (including the re-
sources of the exclusive economic zone
defined by the Magnuson Fishery
Conservation and Management Act of
1976), any state or local government,
any foreign government, any Indian
tribe, or, if such resources are subject
to a trust restriction on alienation, any
member of an Indian tribe.
Navigable waters, as defined by 40
CFR 110.1, means the waters of the
United States, including the territorial
seas. The term includes:
(a) All waters that are currently
used, were used in the past, or may be
susceptible to use in interstate or for-
eign commerce, including all waters
that are subject to the ebb and flow of
the tide;
(b) Interstate waters, including
interstate wetlands;
(c) All other waters such as intra-
state lakes, rivers, streams (including
intermittent streams), mudflats, sand-
flats, and wetlands, the use, degrada-
tion, or destruction of which would
affect or could affect interstate or for-
eign commerce including any such
waters:
(1) That are or could be used by
interstate or foreign travelers for rec-
reational or other purposes;
(2) From which fish or shellfish are
or could be taken and sold in inter-
state or foreign commerce;
(3) That are used or could be used
for industrial purposes by industries in
interstate commerce;
(d) All impoundments of waters oth-
erwise defined as navigable waters
under this section;
(e) Tributaries of waters identified
in paragraphs (a) through (d) of this
definition, including adjacent wet-
lands; and
(f) Wetlands adjacent to waters iden-
tified in paragraphs (a) through (e) of
this definition: Provided, that waste
treatment systems (other than cooling
ponds meeting the criteria of this
paragraph) are not waters of the
United States.
Offshore facility as defined by sec-
tion 101(17) of CERCLA and section
311(a)(ll) of the CWA, means any fa-
cility of any kind located in, on, or
under any of the navigable waters of
the United States and any facility of
any kind which is subject to the juris-
diction of the United States and is lo-
cated in, on, or under any other
waters, other than a vessel or a public
vessel.
Oil as defined by section SlHaXl) of
the CWA, means oil of any kind or in
any form, including, but not limited
to, petroleum, fuel oil, sludge, oil
refuse, and oil mixed with wastes
other than dredged spoil.
Oil pollution fund means the fund
established by section 311(k) of the
CWA.
On-scene coordinator (OSC) means
the federal official predesignated by
EPA or the USCG to coordinate and
direct federal responses under subpart
D, or the official designated by the
lead agency to coordinate and direct
removal actions under subpart E of
the NCP.
Onshore facility as defined by sec-
tion 101(18) of CERCLA, means any
facility (including, but not limited to,
motor vehicles and rolling stock) of
any kind located in, on, or under any
land or non-navigable waters within
the United States; and, as defined by
section 311(a)(10) of the CWA, means
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Environmental Protection Agency
§300.5
any facility (including, but not limited
to, motor vehicles and rolling stock) of
any kind located in, on. or under any
land within the United States other
than submerged land.
On-site means the areal extent of
contamination and all suitable areas in
very close proximity to the contamina-
tion necessary for implementation of
the response action.
Operable unit means a discrete
action that comprises an incremental
step toward comprehensively address-
ing site problems. This discrete por-
tion of a remedial response manages
migration, or eliminates or mitigates a
release, threat of a release, or pathway
of exposure. The cleanup of a site can
be divided into a number of operable
units, depending on the complexity of
the problems associated with the site.
Operable units may address geo-
graphical portions of a site, specific
site problems, or initial phases of an
action, or may consist of any set of ac-
tions performed over time or any ac-
tions that are concurrent but located
in different parts of a site.
Operation and maintenance (O&M)
means measures required to maintain
the effectiveness of response actions.
Person as defined by section 101(21)
of CERCLA, means an individual,
firm, corporation, association, partner-
ship, consortium, joint venture, com-
mercial entity. United States govern-
ment, state, municipality, commission,
political subdivision of a state, or any
interstate body.
Pollutant or contaminant as defined
by section 101(33) of CERCLA. shall
include, but not be limited to, any ele-
ment, substance, compound, or mix-
ture, including disease-causing agents,
which after release into the environ-
ment and upon exposure, ingestion, in-
halation, or assimilation into any orga-
nism, either directly from the environ-
ment or indirectly by ingestion
through food chains, will or may rea-
sonably be anticipated to cause death.
disease, behavioral abnormalities,
cancer, genetic mutation, physiological
malfunctions (including malfunctions
in reproduction) or physical deforma-
tions, in such organisms or their off-
spring. The term does not include pe-
troleum, including crude oil or any
fraction thereof which is not other-
wise specifically listed or designated as
a hazardous substance under section
101(14) (A) through (P) of CERCLA,
nor does it include natural gas, liqui-
fied natural gas, or synthetic gas of
pipeline quality (or mixtures of natu-
ral gas and such synthetic gas). For
purposes of the NCP, the term pollut-
ant or contaminant means any pollut-
ant or contaminant that may present
an imminent and substantial danger to
public health or welfare.
Post-removal site control means
those activities that are necessary to
sustain the integrity of a Fund-fi-
nanced removal action following its
conclusion. Post-removal site control
may be a removal or remedial action
under CERCLA. The term includes,
without being limited to, activities
such as relighting gas flares, replacing
filters, and collecting leachate.
Preliminary assessment (PA) means
review of existing information and an
off-site reconnaissance, if appropriate,
to determine if a release may require
additional investigation or action. A
PA may include an on-site reconnais-
sance, if appropriate.
Public participation, see the defini-
tion for community relations.
Public vessel as defined by section
311(a)(4) of the CWA. means a vessel
owned or bareboat-chartered and oper-
ated by the United States, or by a
state or political subdivision thereof,
or by a foreign nation, except when
such vessel is engaged in commerce.
Quality assurance project plan
(QAPP) is a written document, associ-
ated with all remedial site sampling
activities, which presents in specific
terms the organization (where applica-
ble), objectives, functional activities,
and specific quality assurance (QA)
and quality control (QC) activities de-
signed to achieve the data quality ob-
jectives of a specific project(s) or con-
tinuing operation(s). The QAPP is pre-
pared for each specific project or con-
tinuing operation (or group of similar
projects or continuing operations).
The QAPP will be prepared by the re-
sponsible program office, regional
office, laboratory, contractor, recipi-
ent of an assistance agreement, or
other organization. For an enforce-
ment action, potentially responsible
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§ 300.5
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parties may prepare a QAPP subject
to lead agency approval.
Release as defined by section 101(22)
of CERCLA, means any spilling, leak-
ing, pumping, pouring, emitting, emp-
tying, discharging, injecting, escaping,
leaching, dumping, or disposing into
the environment (including the aban-
donment or discarding of barrels, con-
tainers, and other closed receptacles
containing any hazardous substance or
pollutant or contaminant), but ex-
cludes: Any release which results in
exposure to persons solely within a
workplace, with respect to a claim
which such persons may assert against
the employer of such persons; emis-
sions from the engine exhaust of a
motor vehicle, rolling stock, aircraft,
vessel, or pipeline pumping station
engine; release of source, byproduct,
or special nuclear material from a nu-
clear incident, as those terms are de-
fined in the Atomic Energy Act of
1954, if such release is subject to re-
quirements with respect to financial-
protection established by the Nuclear
Regulatory Commission under section
170 of such Act, or, for the purposes of
section 104 of CERCLA or any other
response action, any release of source,
byproduct, or special nuclear material
from any processing site designated
under section 102(a)(l) or 302(a) of
the Uranium Mill Tailings Radiation
Control Act of 1978; and the normal
application of fertilizer. For purposes
of the NCP, release also means threat
of release.
Relevant and appropriate require-
ments means those cleanup standards,
standards of control, and other sub-
stantive requirements, criteria, or limi-
tations promulgated under federal en-
vironmental or state environmental or
facility siting laws that, while not "ap-
plicable" to a hazardous substance,
pollutant, contaminant, remedial
action, location, or other circumstance
at a CERCLA site, address problems or
situations sufficiently similar to those
encountered at the CERCLA site that
their use is well suited to the particu-
lar site. Only those state standards
that are identified in a timely manner
and are more stringent than federal
requirements may be relevant and ap-
propriate.
Remedial design (RD) means the
technical analysis and procedures
which follow the selection of remedy
for a site and result in a detailed set of
plans and specifications for implemen-
tation of the remedial action.
Remedial investigation (RI) is a
process undertaken by the lead agency
to determine the nature and extent of
the problem presented by the release.
The RI emphasizes data collection and
site characterization, and is generally
performed concurrently and in an
interactive fashion with the feasibility
study. The RI includes sampling and
monitoring, as necessary, and includes
the gathering of sufficient informa-
tion to determine the necessity for re-
medial action and to support the eval-
uation of remedial alternatives.
Remedial project manager (RPM)
means the official designated by the
lead agency to coordinate, monitor, or
direct remedial or other response ac-
tions under subpart E of the NCP.
R.emedy or remedial action (RA)
means those actions consistent with
permanent remedy taken instead of,
or in addition to, removal action in the
event of a release or threatened re-
lease of a hazardous substance into
the environment, to prevent or mini-
mize the release of hazardous sub-
stances so that they do not migrate to
cause substantial danger to present or
future public health or welfare or the
environment. The term includes, but is
not limited to, such actions at the lo-
cation of the release as storage, con-
finement, perimeter protection using
dikes, trenches, or ditches, clay cover,
neutralization, cleanup of released
hazardous substances and associated
contaminated materials, recycling or
reuse, diversion, destruction, segrega-
tion of reactive wastes, dredging or ex-
cavations, repair or replacement of
leaking containers, collection of leach-
ate and runoff, on-site treatment or in-
cineration, provision of alternative
water supplies, any monitoring reason-
ably required to assure that such ac-
tions protect the public health and
welfare and the environment and,
where appropriate, post-removal site
control activities. The term includes
the costs of permanent relocation of
residents and businesses and commu-
nity facilities (including the cost of
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Environmental Protection Agency
§300.5
providing "alternative land of equiva-
lent value" to an Indian tribe pursu-
ant to CERCLA section 126(b)) where
EPA determines that, alone or in com-
bination with other measures, such re-
location is more cost-effective than,
and environmentally preferable to, the
transportation, storage, treatment, de-
struction, or secure disposition off-site
of such hazardous substances, or may
otherwise be necessary to protect the
public health or welfare; the term in-
cludes off-site transport and off-site
storage, treatment, destruction, or
secure disposition of hazardous sub-
stances and associated contaminated
materials. For the purpose of the
NCP, the term also includes enforce-
ment activities related thereto.
Remove or removal as defined by
section 311(a)(8) of the CWA, refers to
removal of oil or hazardous substances
from the water and shorelines or the
taking of such other actions as may be
necessary to minimize or mitigate
damage to the public health or welfare'
or to the environment. As defined by
section 101(23) of CERCLA, remove or
removal means the cleanup or removal
of released hazardous substances from
the environment; such actions as may
be necessary taken in the event of the
threat of release of hazardous sub-
stances into the environment; such ac-
tions as may be necessary to monitor,
assess, and evaluate the release or
threat of release of hazardous sub-
stances; the disposal of removed mate-
rial; or the taking of such other ac-
tions as may be necessary to prevent,
minimize, or mitigate damage to the
public health or welfare or to the envi-
ronment, which may otherwise result
from a release or threat of release.
The term includes, in addition, with-
out being limited to, security fencing
or other measures to limit access, pro-
vision of alternative water supplies,
temporary evacuation and housing of
threatened individuals not otherwise
provided for, action taken under sec-
tion 104(b) of CERCLA, post-removal
site control, where appropriate, and
any emergency assistance which may
be provided under the Disaster Relief
Act of 1974. For the purpose of the
NCP, the term also includes enforce-
ment activities related thereto.
Respond or response as defined by
section 101(25) of CERCLA, means
remove, removal, remedy, or remedial
action, including enforcement activi-
ties related thereto.
SARA is the Superfund Amendments
and Reauthorization Act of 1986. In
addition to certain free-standing provi-
sions of law, it includes amendments
to CERCLA, the Solid Waste Disposal
Act. and the Internal Revenue Code.
Among the free-standing provisions of
law is Title III of SARA, also known as
the "Emergency Planning and Com-
munity Right-to-Know Act of 1986"
and Title IV of SARA, also known as
the "Radon Gas and Indoor Air Qual-
ity Research Act of 1986." Title V of
SARA amending the Internal Revenue
Code is also known as the "Superfund
Revenue Act of 1986."
Sinking agents means those addi-
tives applied to oil discharges to sink
floating pollutants below the water
surface.
Site inspection (SI) means an on-site
investigation to determine whether
there is a release or potential release
and the nature of the associated
threats. The purpose is to augment
the data collected in the preliminary
assessment and to generate, if neces-
sary, sampling and other field data to
determine if further action or investi-
gation is appropriate.
Size classes of discharges refers to
the following size classes of oil dis-
charges which are provided as guid-
ance to the OSC and serve as the crite-
ria for the actions delineated in sub-
part D. They are not meant to imply
associated degrees of hazard to public
health or welfare, nor are they a meas-
ure of environmental injury. Any oil
discharge that poses a substantial
threat to public health or welfare or
the environment or results in signifi-
cant public concern shall be classified
as a major discharge regardless of the
following quantitative measures:
(a) Minor discharge means a dis-
charge to the inland waters of less
than 1,000 gallons of oil or a discharge
to the coastal waters of less than
10,000 gallons of oil.
(b) Medium discharge means a dis-
charge of 1,000 to 10.000 gallons of oil
to the inland waters or a discharge of
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§300.5
40 CFR Ch. I (7-1-91 Edition)
10,000 to 100,000 gallons of oil to the
coastal waters.
(c) Major discharge means a dis-
charge of more than 10,000 gallons of
oil to the inland waters or more than
100,000 gallons of oil to the coastal
waters.
Size classes of releases refers to the
following size classifications which are
provided as guidance to the OSC for
meeting pollution reporting require-
ments in subpart B. The final determi-
nation of the appropriate classifica-
tion of a release will be made by the
OSC based on consideration of the
particular release (e.g., size, location,
impact, etc.):
(a) Minor release means a release of
a quantity of hazardous substance(s),
pollutant(s), or contaminant(s) that
poses minimal threat to public health
or welfare or the environment.
(b) Medium release means a release
not meeting the criteria for classifica-
tion as a minor or major release.
(c) Major release means a release of.
any quantity of hazardous
substance(s), pollutant(s), or
contaminant(s) that poses a substan-
tial threat to public health or welfare
or the environment or results in signif-
icant public concern.
Source control action is the con-
struction or installation and start-up
of those actions necessary to prevent
the continued release of hazardous
substances or pollutants or contami-
nants (primarily from a source on top
of or within the ground, or in build-
ings or other structures) into the envi-
ronment.
Source control maintenance meas-
ures are those measures intended to
maintain the effectiveness of source
control actions once such actions are
operating and functioning properly,
such as the maintenance of landfill
caps and leachate collection systems.
Specified ports and harbors means
those ports and harbor areas on inland
rivers, and land areas immediately ad-
jacent to those waters, where the
USCG acts as predesignated on-scene
coordinator. Precise locations are de-
termined by EPA/USCG regional
agreements and identified in federal
regional contingency plans.
State means the several states of the
United States, the District of Colum-
bia, the Commonwealth of Puerto
Rico, Guam, American Samoa, the
Virgin Islands, the Commonwealth of
Northern Marianas, and any other ter-
ritory or possession over which the
United States has jurisdiction. For
purposes of the NCP, the term in-
cludes Indian tribes as defined in the
NCP except where specifically noted.
Section 126 of CERCLA provides that
the governing body of an Indian tribe
shall be afforded substantially the
same treatment as a state with respect
to certain provisions of CERCLA. Sec-
tion 300.515(b) of the NCP describes
the requirements pertaining to Indian
tribes that wish to be treated as states.
Superfund Memorandum of Agree-
ment (SMOA) means a nonbinding,
written document executed by an EPA
Regional Administrator and the head
of a state agency that may establish
the nature and extent of EPA and
state interaction during the removal,
pre-remedial, remedial, and/or en-
forcement response process. The
SMOA is not a site-specific document
although attachments may address
specific sites. The SMOA generally de-
fines the role and responsibilities of
both the lead and the support agen-
cies.
Superfund state contract is a joint,
legally binding agreement between
EPA and a state to obtain the neces-
sary assurances before a federal-lead
remedial action can begin at a site. In
the case of a political subdivision-lead
remedial response, a three-party Su-
perfund state contract among EPA,
the state, and political subdivision
thereof, is required before a political
subdivision takes the lead for any
phase of remedial response to ensure
state involvement pursuant to section
121(f)(l) of CERCLA. The Superfund
state contract may be amended to pro-
vide the state's CERCLA section 104
assurances before a political subdivi-
sion can take the lead for remedial
action.
Support agency means the agency or
agencies that provide the support
agency coordinator to furnish neces-
sary data to the lead agency, review
response data and documents, and pro-
vide other assistance as requested by
the OSC or RPM. EPA, the USCG, an-
other federal agency, or a state may
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Environmental Protection Agency
§ 300.105
be support agencies for a response
action If operating pursuant to a con-
tract executed under section 104(d)(l)
of CERCLA or designated pursuant to
a Superfund Memorandum of Agree-
ment entered into pursuant to subpart
F of the NCP or other agreement. The
support agency may also concur on de-
cision documents.
Support agency coordinator (SAC)
means the official designated by the
support agency, as appropriate, to
interact and coordinate with the lead
agency in response actions under sub-
part E of this part.
Surface collecting agents means
those chemical agents that form a sur-
face film to control the layer thickness
of oil.
Threat of discharge or release, see
definitions for discharge and release.
Threat of release, see definition for
release.
Treatment technology means any
unit operation or series of unit oper-
ations that alters the composition of a
hazardous substance or pollutant or'
contaminant through chemical, biolog-
ical, or physical means so as to reduce
toxicity, mobility, or volume of the
contaminated materials being treated.
Treatment technologies are an alter-
native to land disposal of hazardous
wastes without treatment.
Trustee means an official of a feder-
al natural resources management
agency designated in subpart G of the
NCP or a designated state official or
Indian tribe who may pursue claims
for damages under section 107(f) of
CERCLA.
United States when used in relation
to section 311(a)(5) of the CWA,
means the states, the District of Co-
lumbia, the Commonwealth of Puerto
Rico, the Northern Mariana Islands,
Guam, American Samoa, the United
States Virgin Islands, and the Pacific
Island Governments. United States,
when used in relation to section
101(27) of CERCLA, includes the sev-
eral states of the United States, the
District of Columbia, the Common-
wealth of Puerto Rico, Guam, Ameri-
can Samoa, the United States Virgin
Islands, the Commonwealth of the
Northern Marianas, and any other ter-
ritory or possession over which the
United States has jurisdiction.
Vessel as defined by section 101(28)
of CERCLA, means every description
of watercraft or other artificial con-
trivance used, or capable of being
used, as a means of transportation on
water, and, as defined by section
311(aX3) of the CWA. means every de-
scription of watercraft or other artifi-
cial contrivance used, or capable of
being used, as a means of transporta-
tion on water other than a public
vessel.
Volunteer means any individual ac-
cepted to perform services by the lead
agency which has authority to accept
volunteer services (examples: See 16
U.S.C. 742f(O). A volunteer is subject
to the provisions of the authorizing
statute and the NCP.
§ 300.6 Use of number and gender.
As used in this regulation, words in
the singular also include the plural
and words in the masculine gender
also include the feminine and vice
versa, as the case may require.
§ 300.7 Computation of time.
In computing any period of time pre-
scribed or allowed in these rules of
practice, except as otherwise provided,
the day of the event from which the
designated period begins to run shall
not be included. Saturdays, Sundays,
and federal legal holidays shall be in-
cluded. When a stated time expires on
a Saturday, Sunday, or legal holiday,
the stated time period shall be ex-
tended to include the next business
day.
Subpart B—Responsibility and
Organization for Response
SOURCE 55 PR 8819, Mar. 8, 1990, unless
otherwise noted.
§ 300.100 Duties of President delegated to
federal agencies.
In Executive Order 11735 and Exec-
utive Order 12580. the President dele-
gated certain functions and responsi-
bilities vested in him by the CWA and
CERCLA, respectively.
§ 300.105 General organization concepts.
(a) Federal agencies should:
15
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§300.105
(1) Plan for emergencies and develop
procedures for addressing oil dis-
charges and releases of hazardous sub-
stances, pollutants, or contaminants;
(2) Coordinate their planning, pre-
paredness, and response activities with
one another;
(3) Coordinate their planning, pre-
paredness, and response activities with
affected states and local governments
and private entities; and
(4) Make available those facilities or
resources that may be useful in a re-
sponse situation, consistent with
agency authorities and capabilities.
(b) Three fundamental kinds of ac-
tivities are performed pursuant to the
NCP:
(1) Preparedness planning and co-
ordination for response to a discharge
of oil or release of a hazardous sub-
stance, pollutant, or contaminant;
(2) Notification and communica-
tions; and
(3) Response operations at the scene
of a discharge or release.
(c) The organizational elements ere- '
ated to perform these activities are:
(1) The National Response Team
(NRT), responsible for national re-
40 CFR Ch. I (7-1-91 Edition)
sponse and preparedness planning, for
coordinating regional planning, and
for providing policy guidance and sup-
port to the Regional Response Teams.
NRT membership consists of repre-
sentatives from the agencies specified
in § 300.175.
(2) Regional Response Teams
(RRTs), responsible for regional plan-
ning and preparedness activities
before response actions, and for pro-
viding advice and support to the on-
scene coordinator (OSC) or remedial
project manager (RPM) when activat-
ed during a response. RRT member-
ship consists of designated representa-
tives from each federal agency partici-
pating in the NRT together with state
and (as agreed upon by the states)
local government representatives.
(3) The OSC and the RPM, primari-
ly responsible for directing response
efforts and coordinating all other ef-
forts at the scene of a discharge or re-
lease. The other responsibilities of
OSCs and RPMs are described in
§300.135.
(d)(l) The organizational concepts of
the national response system are de-
picted in the following Figure 1:
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Environmental Protection Agency §300.105
Figure J
National Response System Concepts
noo*c«fc>o
The same federal aoencies participate on both the National Response Team (NRT)
and the Regional Response Team (RRT). Federal agencies on the RRT are
represented by regional staff. Abbreviations used in this figure are explained
in §300.4.
IILLMC COOt tM»-»-C
17
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§300.105
(2) The standard federal regional
boundaries (which are also the geo-
graphic areas of responsibility for the
40 CFR Ch. I (7-1-91 Edition)
Regional Response Teams) are shown
in the following Figure 2:
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Environmental Protection Agency
(3) The USCG District boundaries are shown in the following Figure 3:
§300.105
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§300.110
40 CFR Ch. I (7-1-91 Edition)
§300.110 National Response Team.
National planning and coordination
is accomplished through the National
Response Team (NRT). -
(a) The NRT consists of representa-
tives from the agencies named in
§ 300.175. Each agency shall designate
a member to the team and sufficient
alternates to ensure representation, as
agency resources permit. The NRT
will consider requests for membership
on the NRT from other agencies.
Other agencies may request member-
ship by forwarding such requests to
the chair of the NRT.
(b) The chair of the NRT shall be
the representative of EPA and the vice
chair shall be the representative of
the USCG, with the exception of peri-
ods of activation because of response
action. During activation, the chair
shall be the member agency providing
the OSC/RPM. The vice chair shall
maintain records of NRT activities
along with national, regional, and OSC
plans for response actions.
(c) While the NRT desires to achieve
a consensus on all matters brought
before it, certain matters may prove
unresolvable by this means. In such
cases, each agency serving as a partici-
pating agency on the NRT may be ac-
corded one vote in NRT proceedings.
(d) The NRT may establish such
bylaws and committees as it deems ap-
propriate to further the purposes for
which it is established.
(e) The NRT shall evaluate methods
of responding to discharges or re-
leases, shall recommend any changes
needed in the response organization,
and may recommend revisions to the
NCP.
(f) The NRT shall provide policy
and program direction to the RRTs.
(g) The NRT may consider and make
recommendations to appropriate agen-
cies on the training, equipping, and
protection of response teams and nec-
essary research, development, demon-
stration, and evaluation to improve re-
sponse capabilities.
(h) Direct planning and prepared-
ness responsibilities of the NRT in-
clude:
(1) Maintaining national prepared-
ness to respond to a major discharge
of oil or release of a hazardous sub-
stance, pollutant, or contaminant that
is beyond regional capabilities;
(2) Publishing guidance documents
for preparation and implementation of
SARA Title III local emergency re-
sponse plans;
(3) Monitoring incoming reports
from all RRTs and activating for a re-
sponse action, when necessary;
(4) Coordinating a national program
to assist member agencies in prepared-
ness planning and response, and en-
hancing coordination of member
agency preparedness programs,
(5) Developing procedures to ensure
the coordination of federal, state, and
local governments, and private re-
sponse to oil discharges and releases of
hazardous substances, pollutants, or
contaminants;
(6) Monitoring response-related re-
search and development, testing, and
evaluation activities of NRT agencies
to enhance coordination and avoid du-
plication of effort;
(7) Developing recommendations for
response training and for enhancing
the coordination of available resources
among agencies with training responsi-
bilities under the NCP; and
(8) Reviewing regional responses to
oil discharges and hazardous sub-
stance, pollutant, or contaminant re-
leases, including an evaluation of
equipment readiness and coordination
among responsible public agencies and
private organizations.
(i) The NRT will consider matters
referred to it for advice or resolution
by an RRT.
(j) The NRT should be activated as
an emergency response team:
(1) When an oil discharge or hazard-
ous substance release:
(i) Exceeds the response capability
of the region in which it occurs;
(ii) Transects regional boundaries; or
(iii) Involves a significant threat to
public health or welfare or the envi-
ronment, substantial amounts of prop-
erty, or substantial threats to natural
resources; or
(2) If requested by any NRT
member.
(k) When activated for a response
action, the NRT shall meet at the call
of the chair and may:
(1) Monitor and evaluate reports
from the OSC/RPM and recommend
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Environmental Protection Agency
§300.115
to the OSC/RPM, through the -RRT,
actions to combat the discharge or re-
lease;
(2) Request other federal, state, and
local governments, or private agencies,
to provide resources under their exist-
ing authorities to combat a discharge
or release, or to monitor response op-
erations; and
(3) Coordinate the supply of equip-
ment, personnel, or technical advice to
the affected region from other regions
or districts.
$ 300.115 Regional Response Teams.
(a) Regional planning and coordina-
tion of preparedness and response ac-
tions is accomplished through the
RRT. The RRT agency membership
parallels that of the NRT, as described
in 1300.110, but also includes state
and local representation. The RRT
provides the appropriate regional
mechanism for development and co-
ordination of preparedness activities.
before a response action is taken and
for coordination of assistance and
advice to the OSC/RPM during such
response actions.
(b) The two principal components of
the RRT mechanism are a standing
team, which consists of designated
representatives from each participat-
ing federal agency, state governments,
and local governments (as agreed upon
by the states); and incident-specific
teams formed from the standing team
when the RRT is activated for a re-
sponse. On incident-specific teams,
participation by the RRT member
agencies will relate to the technical
nature of the incident and its geo-
graphic location.
(1) The standing team's jurisdiction
corresponds to the standard federal re-
gions, except for Alaska, Oceania in
the Pacific, and the Caribbean area,
each of which has a separate standing
RRT. The role of the standing RRT
includes communications systems and
procedures, planning, coordination,
training, evaluation, preparedness, and
related matters on a regionwide basis.
(2) The role of the incident-specific
team is determined by the operational
requirements of the response to a spe-
cific discharge or release. Appropriate
levels of activation and/or notification
of the incident-specific RRT, including
participation by state and local gov-
ernments, shall be determined by the
designated RRT chair for the incident,
based on the Regional Contingency
Plan (RCP). The incident-specific
RRT supports the designated OSC/
RPM. The designated OSC/RPM di-
rects response efforts and coordinates
all other efforts at the scene of a dis-
charge or release.
(c) The representatives of EPA and
the USCG shall act as co-chairs of
RRTs except when the RRT is activat-
ed. When the RRT is activated for re-
sponse actions, the chair shall be the
member agency providing the OSC/
RPM.
(d) Each participating agency should
designate one member and at least one
alternate member to the RRT. Agen-
cies whose regional subdivisions do not
correspond to the standard federal re-
gions may designate additional repre-
sentatives to the standing RRT to
ensure appropriate coverage of the
standard federal region. Participating
states may also designate one member
and at least one alternate member to
the RRT. Indian tribal governments
may arrange for representation with
the RRT appropriate to their geo-
graphical location. All agencies and
states may also provide additional rep-
resentatives as observers to meetings
of the RRT.
(e) RRT members should designate
representatives and alternates from
their agencies as resource personnel
for RRT activities, including RRT
work planning, and membership on in-
cident-specific teams hi support of the
OSCs/RPMs.
(f) Federal RRT members or their
representatives should provide OSCs/
RPMs with assistance from their re-
spective federal agencies commensu-
rate with agency responsibilities, re-
sources, and capabilities within the
region. During a response action, the
members of the RRT should seek to
make available the resources of their
agencies to the OSC/RPM as specified
in the RCP and OSC contingency
plan.
(g) RRT members should designate
appropriately qualified representatives
from their agencies to work with OSCs
in developing and maintaining OSC
contingency plans, described in
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§300.115
40 CFR Ch. I (7-1-91 Edition)
§300.210, that provide for use of
agency resources in responding to dis-
charges and releases.
(h) Affected states are encouraged to
participate actively in all RRT activi-
ties. Each state governor is requested
to assign an office or agency to repre-
sent the state on the appropriate
RRT; to designate representatives to
work with the RRT and OSCs in de-
veloping RCPs and OSC contingency
plans; to plan for, make available, and
coordinate state resources; and to
serve as the contact point for coordi-
nation of response with local govern-
ment agencies, whether or not repre-
sented on the RRT. The state's RRT
representative should keep the State
Emergency Response Commission
(SERC), described in § 300.205(c), ap-
prised of RRT activities and coordi-
nate RRT activities with the SERC.
Local governments and Indian tribes
are invited to participate in activities
on the appropriate RRT as provided
by state law or as arranged by the
state's representative.
(i) The standing RRT shall recom-
mend changes in the regional response
organization as needed, revise the
RCP as needed, evaluate the prepared-
ness of the participating agencies and
the effectiveness of OSC contingency
plans for the federal response to dis-
charges and releases, and provide tech-
nical assistance for preparedness to
the response community. The RRT
should:
(1) Review and comment, to the
extent practicable, on local emergency
response plans or other issues related
to the preparation, implementation, or
exercise of such plans upon request of
a local emergency planning committee;
(2) Evaluate regional and local re-
sponses to discharges or releases on a
continuing basis, considering available
legal remedies, equipment readiness,
and coordination among responsible
public agencies and private organiza-
tions, and recommend improvements;
(3) Recommend revisions of the NCP
to the NRT, based on observations of
response operations;
(4) Review OSC actions to ensure
that RCPs and OSC contingency plans
are effective;
(5) Encourage the state and local re-
sponse community to improve its pre-
paredness for response:
(6) Conduct advance planning for
use of dispersants, surface collection
agents, burning agents, biological addi-
tives, or other chemical agents in ac-
cordance with subpart J of this part;
(7) Be prepared to provide response
resources to major discharges or re-
leases outside the region;
(8) Conduct or participate in train-
ing and exercises as necessary to en-
courage preparedness activities of the
response community within the
region;
(9) Meet at least semiannually to
review response actions carried out
during the preceding period and con-
sider changes in RCPs and OSC con-
tingency plans; and
(10) Provide letter reports on RRT
activities to the NRT twice a year, no
later than January 31 and July 31. At
a minimum, reports should summarize
recent activities, organizational
changes, operational concerns, and ef-
forts to improve state and local coordi-
nation.
(j)(l) The RRT may be activated by
the chair as an incident-specific re-
sponse team when a discharge or re-
lease:
(i) Exceeds the response capability
available to the OSC/RPM in the
place where it occurs;
(ii) Transects state boundaries; or
(iii) May pose a substantial threat to
the public health or welfare or the en-
vironment, or to regionally significant
amounts of property. RCPs shall
specify detailed criteria for activation
of RRTs.
(2) The RRT will be activated during
any discharge or release upon a re-
quest from the OSC/RPM, or from
any RRT representative, to the chair
of the RRT. Requests for RRT activa-
tion shall later be confirmed in writ-
ing. Each representative, or an appro-
priate alternate, should be notified im-
mediately when the RRT is activated.
(3) During prolonged removal or re-
medial action, the RRT may not need
to be activated or may need to be acti-
vated only in a limited sense, or may
need to have available only those
member agencies of the RRT who are
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Environmental Protection Ag»ncy
§300.120
directly affected or who can provide
direct response assistance.
(4) When the RRT is activated for a
discharge or release, agency represent-
atives shall meet at the call of the
chair and may:
(i) Monitor and evaluate reports
from the OSC/RPM, advise the OSC/
RPM on the duration and extent of re-
sponse, and recommend to the OSC/
RPM specific actions to respond to the
discharge or release;
(ii) Request other federal, state, or
local governments, or private agencies,
to provide resources under their exist-
ing authorities to respond to a dis-
charge or release or to monitor re-
sponse operations;
(iii) Help the OSC/RPM prepare in-
formation releases for the public and
for communication with the NRT;
(iv) If the circumstances warrant,
make recommendations to the region-
al or district head of the agency pro-
viding the OSC/RPM that a different
OSC/RPM should be designated; and
(v) Submit pollution reports to the
NRC as significant developments
occur.
(5) At the regional level, a Regional
Response Center (RRC) may provide
facilities and personnel for communi-
cations, information storage, and
other requirements for coordinating
response. The location of each RRC
should be provided in the RCP.
(6) When the RRT is activated, af-
fected states may participate in all
RRT deliberations. State government
representatives participating in the
RRT have the same status as any fed-
eral member of the RRT.
(7) The RRT can be deactivated
when the incident-specific RRT chair
determines that the OSC/RPM no
longer requires RRT assistance.
(8) Notification of the RRT may be
appropriate when full activation is not
necessary, with systematic communi-
cation of pollution reports or other
means to keep RRT members in-
formed as to actions of potential con-
cern to a particular agency, or to assist
in later RRT evaluation of regionwide
response effectiveness.
(k) Whenever there is insufficient
national policy guidance on a matter
before the RRT. a technical matter re-
quiring solution, or a question con-
cerning interpretation of the NCP, or
there is a disagreement on discretion-
ary actions among RRT members that
cannot be resolved at the regional
level. It may be referred to the NRT,
described in § 300.110, for advice.
§ 300.120 On-scene coordinators and re-
medial project managers: general re-
gponsibilitiea.
(a) The OSC/RPM directs response
efforts and coordinates all other ef-
forts at the scene of a discharge or re-
lease. As part of the planning and pre-
paredness for response, OSCs shall be
predesignated by the regional or dis-
trict head of the lead agency. EPA and
the USCG shall predesignate OSCs for
all areas In each region, except as pro-
vided in paragraphs (b) and (c) of this
section. RPMs shall be assigned by the
lead agency to manage remedial or
other response actions at NPL sites,
except as provided in paragraphs (b)
and (c) of this section.
(1) The USCG shall provide OSCs
for oil discharges, including discharges
from facilities and vessels under the
jurisdiction of another federal agency,
within or threatening the coastal zone.
The USCG shall also provide OSCs for
the removal of releases of hazardous
substances, pollutants, or contami-
nants into or threatening the coastal
zone, except as provided in paragraph
(b) of this section. The USCG shall
not provide predesignated OSCs for
discharges or releases from hazardous
waste management facilities or in simi-
larly chronic incidents. The USCG
shall provide an initial response to dis-
charges or releases from hazardous
waste management facilities within
the coastal zone in accordance with
DOT/EPA Instrument of Redelega-
tion (May 27, 1988) except as provided
by paragraph (b) of this section. The
USCG OSC shall contact the cogni-
zant RPM as soon as it is evident that
a removal may require a follow-up re-
medial action, to ensure that the re-
quired planning can be initiated and
an orderly transition to an EPA or
state lead can occur.
(2) EPA shall provide OSCs for dis-
charges or releases into or threatening
the inland zone and shall provide
RPMs for federally funded remedial
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§ 300.120
40 CFR Ch. I (7-1-91 Edition)
actions, except in the case of state-
lead federally funded response and as
provided in paragraph (b) of this sec-
tion. EPA will also assume all remedial
actions at NPL sites in the coastal
zone, even where removals are initiat-
ed by the USCG, except as provided in
paragraph (b) of this section.
(b) For releases of hazardous sub-
stances, pollutants, or contaminants,
when the release is on, or the sole
source of the release is from, any facil-
ity or vessel, including vessels bare-
boat-chartered and operated, under
the jurisdiction, custody, or control of
DOD, DOE, or other federal agency:
(1) In the case of DOD or DOE,
DOD or DOE shall provide OSCs/
RPMs responsible for taking all re-
sponse actions; and
(2) In the case of a federal agency
other than EPA, DOD, or DOE, such
agency shall provide OSCs for all re-
moval actions that are not emergen-
cies and shall provide RPMs for all re-
medial actions.
(c) DOD will be the removal re-
sponse authority with respect to inci-
dents involving DOD military weapons
and munitions or weapons and muni-
tions under the jurisdiction, custody,
or control of DOD.
(d) The OSC is responsible for devel-
oping any OSC contingency plans for
the federal response in the area of the
OSC's responsibility. The planning
shall, as appropriate, be accomplished
in cooperation with the RRT, de-
scribed in § 300.115, and designated
state and local representatives. The
OSC coordinates, directs, and reviews
the work of other agencies, responsi-
ble parties, and contractors to assure
compliance with the NCP, decision
document, consent decree, administra-
tive order, and, lead agency-approved
plans applicable to the response.
(e) The RPM is the prime contact
for remedial or other response actions
being taken (or needed) at sites on the
proposed or promulgated NPL, and for
sites not on the NPL but under the ju-
risdiction, custody, or control of a fed-
eral agency. The RPM's responsibil-
ities include:
(1) Fund-financed response: The
RPM coordinates, directs, and reviews
the work of EPA, states and local gov-
ernments, the U.S. Army Corps of En-
gineers, and all other agencies and
contractors to assure compliance with
the NCP. Based upon the reports of
these parties, the RPM recommends
action for decisions by lead-agency of-
ficials. The RPM's period of responsi-
bility begins prior to initiation of the
remedial investigation/feasibility
study (RI/FS), described in § 300.430,
and continues through design, remedi-
al action, deletion of the site from the
NPL, and the CERCLA cost recovery
activity. When a removal and remedial
action occur at the same site, the OSC
and RPM should coordinate to ensure
an orderly transition of responsibility.
(2) Federal-lead non-Fund-financed
response: The RPM coordinates, di-
rects, and reviews the work of other
agencies, responsible parties, and con-
tractors to assure compliance with the
NCP, ROD, consent decree, adminis-
trative order, and lead agency-ap-
proved plans applicable to the re-
sponse. Based upon the reports of
these parties, the RPM shall recom-
mend action for decisions by lead
agency officials. The RPM's period of
responsibility begins prior to initiation
of the RI/FS, described in § 300.430,
and continues through design and re-
medial action and the CERCLA cost
recovery activity. The OSC and RPM
shall ensure orderly transition of re-
sponsibilities from one to the other.
(3) The RPM shall participate in all
decision-making processes necessary to
ensure compliance with the NCP, in-
cluding, as appropriate, agreements
between EPA or other federal agencies
and the state. The RPM may also
review responses where EPA has
preauthorized a person to file a claim
for reimbursement to determine that
the response was consistent with the
terms of such preauthorization in
cases where claims are filed for reim-
bursement.
(f)(l) Where a support agency has
been identified through a cooperative
agreement, SMOA, or other agree-
ment, that agency may designate a
support agency coordinator (SAC) to
provide assistance, as requested, by
the OSC/RPM. The SAC is the prime
representative of the support agency
for response actions.
(2) The SAC's responsibilities may
include:
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Environmental Protection Agency
§300.130
(1) Providing and reviewing data and
documents as requested by the OSC/
RPM during the planning, design, and
cleanup activities of the response
action; and
(ii) Providing other assistance as re-
quested.
(g)(l) The lead agency should pro-
vide appropriate training for its OSCs.
RPMs, and other response personnel
to carry out their responsibilities
under the NCP.
(2) OSCs/RPMs should ensure that
persons designated to act as their on-
scene representatives are adequately
trained and prepared to carry out ac-
tions under the NCP. to the extent
practicable.
§ 300.125 Notification and communica-
tions.
(a) The National Response Center
(NRC), located at USCG Headquar-
ters, is the national communications
center, continuously manned for han-
dling activities related to response ac-
tions. The NRC acts as the single
point of contact for all pollution inci-
dent reporting, and as the NRT com-
munications center. Notice of dis-
charges must be made telephonically
through a toll free number or a special
local number (Telecommunication
Device for the Deaf (TDD) and collect
calls accepted). (Notification details
appear in §§ 300.300 and 300.405.) The
NRC receives and immediately relays
telephone notices of discharges or re-
leases to the appropriate predesignat-
ed federal OSC. The telephone report
is distributed to any interested NRT
member agency or federal entity that
has established a written agreement or
understanding with the NRC. The
NRC evaluates incoming information
and immediately advises FEMA of a
potential major disaster or evacuation
situation.
(b) The Commandant, USCG, in
conjunction with other NRT agencies,
shall provide the necessary personnel,
communications, plotting facilities,
and equipment for the NRC.
(c) Notice of an oil discharge or re-
lease of a hazardous substance in an
amount equal to or greater than the
reportable quantity must be made im-
mediately in accordance with 33 CFR
part 153, subpart B, and 40 CPR part
302, respectively. Notification shall be
made to the NRC Duty Officer, HQ
USCG, Washington, DC, telephone
(800) 424-8802 or (202) 267-2675. All
notices of discharges or releases re-
ceived at the NRC will be relayed im-
mediately by telephone to the OSC.
§ 300.130 Determinations to initiate re-
sponse and special conditions.
(a) In accordance with CWA and
CERCLA, the Administrator of EPA
or the Secretary of the Department in
which the USCG is operating, as ap-
propriate, is authorized to act for the
United States to take response meas-
ures deemed necessary to protect the
public health or welfare or environ-
ment from discharges of oil or releases
of hazardous substances, pollutants, or
contaminants except with respect to
such releases on or from vessels or fa-
cilities under the jurisdiction, custody,
or control of other federal agencies.
(b) The Administrator of EPA or the
Secretary of the Department in which
the USCG is operating, as appropriate,
is authorized to initiate appropriate
response activities when the Adminis-
trator or Secretary determines that:
(1) Any oil is discharged from any
vessel or offshore or onshore facility
into or upon the navigable waters of
the United States, adjoining shore-
lines, or into or upon the waters of the
contiguous zone, or in connection with
activities under the Outer Continental
Shelf Lands Act or the Deepwater
Port Act of 1974, or which may affect
natural resources belonging to, apper-
taining to, or under exclusive manage-
ment authority of the United States;
(2) Any hazardous substance is re-
leased or there is a threat of such a re-
lease into the environment, or there is
a release or threat of release into the
environment of any pollutant or con-
taminant which may present an immi-
nent and substantial danger to the
public health or welfare; or
(3) A marine disaster in or upon the
navigable waters of the United States
has created a substantial threat of a
pollution hazard to the public health
or welfare because of a discharge or
release, or an imminent discharge or
release, from a vessel of large quanti-
ties of oil or hazardous substances des-
25
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§ 300.135
40 CFR Ch. I (7-1-91 Edition)
ignated pursuant to section
311(b)(2)(A) of the CWA.
(c) Whenever there is such a marine
disaster, the Administrator of EPA or
Secretary of the Department in which
the USCG is operating may:
(1) Coordinate and direct all public
and private efforts to abate the threat;
and
(2) Summarily remove and, if neces-
sary, destroy the vessel by whatever
means are available without regard to
any provisions of law governing the
employment of personnel or the ex-
penditure of appropriated funds.
(d) In addition to any actions taken
by a state or local government, the Ad-
ministrator of EPA or the Secretary of
the Department in which the USCG is
operating may request the U.S. Attor-
ney General to secure the relief neces-
sary to abate a threat if the Adminis-
trator or Secretary determines:
(1) That there is an imminent and
substantial threat to the public health
or welfare or the environment because
of discharge of oil from any offshore
or onshore facility into or upon the
navigable waters of the United States;
or
(2) That there may be an imminent
and substantial endangerment to the
public health or welfare or the envi-
ronment because of a release of a haz-
ardous substance from a facility.
(e) Response actions to remove dis-
charges originating from operations
conducted subject to the Outer Conti-
nental Shelf Lands Act shall be in ac-
cordance with the NCP.
(f) Where appropriate, when a dis-
charge or release involves radioactive
materials, the lead or support federal
agency shall act consistent with the
notification and assistance procedures
described in the appropriate Federal
Radiological Plan. For the purpose of
the NCP, the Federal Radiological
Emergency Response Plan (FRERP)
(50 PR 46542, November 8, 1985) is the
appropriate plan.
(g) Removal actions involving nucle-
ar weapons should be conducted in ac-
cordance with the joint Department of
Defense, Department of Energy, and
Federal Emergency Management
Agency Agreement for Response to
Nuclear Incidents and Nuclear Weap-
ons Significant Incidents (January 8,
1981).
(h) If the situation is beyond the ca-
pability of state and local governments
and the statutory authority of federal
agencies, the President may, under the
Disaster Relief Act of 1974, act upon a
request by the governor and declare a
major disaster or emergency and ap-
point a Federal Coordinating Officer
(FCO) to coordinate all federal disas-
ter assistance activities. In such cases,
the OSC/RPM would continue to
carry out OSC/RPM responsibilities
under the NCP, but would coordinate
those activities with the FCO to
ensure consistency with other federal
disaster assistance activities.
§300.135 Response operations.
(a) The OSC/RPM, consistent with
§§ 300.120 and 300.125, shall direct re-
sponse efforts and coordinate all other
efforts at the scene of a discharge or
release. As part of the planning and
preparation for response, the OSCs/
RPMs shall be predesignated by the
regional or district head of the lead
agency.
(b) The first federal official affili-
ated with an NRT member agency to
arrive at the scene of a discharge or
release should coordinate activities
under the NCP and is authorized to
initiate, in consultation with the OSC,
any necessary actions normally carried
out by the OSC until the arrival of the
predesignated OSC. This official may
initiate federal Fund-financed actions
only as authorized by the OSC or, if
the OSC is unavailable, the authorized
representative of the lead agency.
(c) The OSC/RPM shall, to the
extent practicable, collect pertinent
facts about the discharge or release,
such as its source and cause; the iden-
tification of potentially responsible
parties; the nature, amount, and loca-
tion of discharged or released materi-
als; the probable direction and time of
travel of discharged or released mate-
rials; the pathways to human and en-
vironmental exposure; the potential
impact on human health, welfare, and
safety and the environment; the po-
tential impact on natural resources
and property which may be affected;
priorities for protecting human health
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Environmental Protection Agency
§300.140
and welfare and the environment; and
appropriate cost documentation.
(d) The OSC's/RPM's efforts shall
be coordinated with other appropriate
federal, state, local, and private re-
sponse agencies. OSCs/RPMs may des-
ignate capable persons from federal,
state, or local agencies to act as their
on-scene representatives. State and
local governments, however, are not
authorized to take actions under sub-
parts D and E of the NCP that involve
expenditures of CWA section 311(k) or
CERCLA funds unless an appropriate
contract or cooperative agreement has
been established.
(e) The OSC/RPM should consult
regularly with the RRT in carrying
out the NCP and keep the RRT in-
formed of activities under the NCP.
(f) The OSC/RPM shall advise the
support agency as promptly as possi-
ble of reported releases.
(g) The OSC/RPM shall immediate-
ly notify FEMA of situations poten-
tially requiring evacuation, temporary
housing, or permanent relocation. In
addition, the OSC/RPM shall evaluate
incoming information and immediate-
ly advise FEMA of potential major dis-
aster situations.
(h) In those instances where a possi-
ble public health emergency exists,
the OSC/RPM should notify the HHS
representative to the RRT. Through-
out response actions, the OSC/RPM
may call upon the HHS representative
for assistance in determining public
health threats and call upon the Occu-
pational Safety and Health Adminis-
tration (OSHA) and HHS for advice
on worker health and safety problems.
(i) All federal agencies should plan
for emergencies and develop proce-
dures for dealing with oil discharges
and releases of hazardous substances,
pollutants, or contaminants from ves-
sels and facilities under their jurisdic-
tion. All federal agencies, therefore,
are responsible for designating the
office that coordinates response to
such incidents in accordance with the
NCP and applicable federal regula-
tions and guidelines.
(j) The OSC/RPM shall promptly
notify the trustees for natural re-
sources of discharges or releases that
are injuring or may injure natural re-
sources under their jurisdiction. The
OSC or RPM shall seek to coordinate
all response activities with the natural
resource trustees.
(k) Where the OSC/RPM becomes
aware that a discharge or release may
adversely affect any endangered or
threatened species, or result in de-
struction or adverse modification of
the habitat of such species, the OSC/
RPM should consult with the DOI or
DOC (NOAA).
(1) The OSC/RPM is responsible for
addressing worker health and safety
concerns at a response scene, in ac-
cordance with § 300.150.
(m) The OSC shall submit pollution
reports to the RRT and other appro-
priate agencies as significant develop-
ments occur during response actions,
through communications networks or
procedures agreed to by the RRT and
covered in the RCP.
(n) OSCs/RPMs should ensure that
all appropriate public and private in-
terests are kept informed and that
their concerns are considered through-
out a response, to the extent practica-
ble, consistent with the requirements
of § 300.155 of this part.
§ 300.140 Multi-regional responses.
(a) If a discharge or release moves
from the area covered by one RCP or
OSC contingency plan into another
area, the authority for response ac-
tions should likewise shift. If a dis-
charge or release affects areas covered
by two or more RCPs, the response
mechanisms of both may be activated.
In this case, response actions of all re-
gions concerned shall be fully coordi-
nated as detailed in the RCPs.
(b) There shall be only one OSC
and/or RPM at any time during the
course of a response operation. Should
a discharge or release affect two or
more areas, EPA, the USCG, DOD,
DOE, or other lead agency, as appro-
priate, shall give prime consideration
to the area vulnerable to the greatest
threat, in determining which agency
should provide the OSC and/or RPM.
The RRT shall designate the OSC
and/or RPM if the RRT member
agencies who have response authority
within the affected areas are unable to
agree on the designation. The NRT
shall designate the OSC and/or RPM
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§ 300.145
40 CFR Ch. I (7-1-91 Edition)
if members of one RRT or two adja-
cent RRTs are unable to agree on the
designation.
(c) Where the USCG has initially
provided the OSC for response to a re-
lease from hazardous waste manage-
ment facilities located in the coastal
zone, responsibility for response action
shall shift to EPA or another federal
agency, as appropriate.
§ 300.145 Special teams and other assist-
ance available to OSCs/RPMs.
(a) Strike Teams, collectively known
as the National Strike Force (NSF),
are established by the USCG on the
Pacific coast and Gulf coast (covering
the Atlantic and Gulf coast regions),
to provide assistance to the OSC/
RPM.
(1) Strike Teams can provide com-
munications support, advice, and as-
sistance for oil and hazardous sub-
stances removal. These teams also
have knowledge of shipboard damage
control, are equipped with specialized
containment and removal equipment,
and have rapid transportation avail-
able. When possible, the Strike Teams
will provide training for emergency
task forces to support OSCs/RPMs
and assist in the development of RCPs
and OSC contingency plans.
(2) The OSC/RPM may request as-
sistance from the Strike Teams. Re-
quests for a team may be made direct-
ly to the Commanding Officer of the
appropriate team, the USCG member
of the RRT, the appropriate USCG
Area Commander, or the Comman-
dant of the CJSCG through the NRC.
(b) Each USCG OSC manages emer-
gency task forces trained to evaluate,
monitor, and supervise pollution re-
sponses. Additionally, they have limit-
ed "initial aid" response capability to
deploy equipment prior to the arrival
of a cleanup contractor or other re-
sponse personnel.
(c)(l) The Environmental Response
Team (ERT) is established by EPA in
accordance with its disaster and emer-
gency responsibilities. The ERT has
expertise in treatment technology, bi-
ology, chemistry, hydrology, geology,
and engineering.
(2) The ERT can provide access to
special decontamination equipment
for chemical releases and advice to the
OSC/RPM in hazard evaluation; risk
assessment; multimedia sampling and
analysis program; on-site safety, in-
cluding development and implementa-
tion plans; cleanup techniques and pri-
orities; water supply decontamination
and protection; application of disper-
sants; environmental assessment;
degree of cleanup required; and dispos-
al of contaminated material.
(3) The ERT also provides both in-
troductory and intermediate level
training courses to prepare response
personnel.
(4) OSC/RPM or RRT requests for
ERT support should be made to the
EPA representative on the RRT; EPA
Headquarters, Director, Emergency
Response Division; or the appropriate
EPA regional emergency coordinator.
(d) Scientific support coordinators
(SSCs) are available, at the request of
OSCs/RPMs, to assist with actual or
potential responses to discharges of oil
or releases of hazardous substances,
pollutants, or contaminants. The SSC
will also provide scientific support for
the development of RCPs and OSC
contingency plans. Generally, SSCs
are provided by NOAA in coastal and
marine areas, and by EPA in inland re-
gions. In the case of NOAA, SSCs may
be supported in the field by a team
providing, as necessary, expertise in
chemistry, trajectory modeling, natu-
ral resources at risk, and data manage-
ment.
(1) During a response, the SSC
serves under the direction of the
OSC/RPM and is responsible for pro-
viding scientific support for operation-
al decisions and for coordinating on-
scene scientific activity. Depending on
the nature of the incident, the SSC
can be expected to provide certain spe-
cialized scientific skills and to work
with governmental agencies, universi-
ties, community representatives, and
industry to compile information that
would assist the OSC/RPM in assess-
ing the hazards and potential effects
of discharges and releases and in de-
veloping response strategies.
(2) If requested by the OSC/RPM,
the SSC will serve as the principal liai-
son for scientific information and will
facilitate communications to and from
the scientific community on response
issues. The SSC, in this role, will strive
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Environmental Protection Agency
§300.150
for a consensus on scientific issues sur-
rounding the response but will also
ensure that any differing opinions
within the community are communi-
cated to the OSC/RPM.
(3) The SSC will assist the OSC/
RPM in responding to requests for as-
sistance from state and federal agen-
cies regarding scientific studies and
environmental assessments. Details on
access to scientific support shall be in-
cluded in the RCPs.
(e) For marine salvage operations,
OSCs/RPMs with responsibility for
monitoring, evaluating, or supervising
these activities should request techni-
cal assistance from DOD, the Strike
Teams, or commercial salvors as neces-
sary to ensure that proper actions are
taken. Marine salvage operations gen-
erally fall into five categories: Afloat
salvage; offshore salvage; river and
harbor clearance; cargo salvage; and
rescue towing. Each category requires
different knowledge and specialized
types of equipment. The complexity of
such operations may be further com-
pounded by local environmental and
geographic conditions. The nature of
marine salvage and the conditions
under which it occurs combine to
make such operations imprecise, diffi-
cult, hazardous, and expensive. Thus,
responsible parties or other persons
attempting to perform such operations
without adequate knowledge, equip-
ment, and experience could aggravate,
rather than relieve, the situation.
(f) Radiological Assistance Teams
(RATs) have been established by
EPA's Office of Radiation Programs
(ORP) to provide response and sup-
port for incidents or sites containing
radiological hazards. Expertise is avail-
able in radiation monitoring, radionu-
clide analysis, radiation health phys-
ics, and risk assessment. Radiological
Assistance Teams can provide on-site
support including mobile monitoring
laboratories for field analyses of sam-
ples and fixed laboratories for radio-
chemical sampling and analyses. Re-
quests for support may be made 24
hours a day to the Radiological Re-
sponse Coordinator in the EPA Office
of Radiation Programs. Assistance is
also available from the Department of
Energy and other federal agencies.
(g) The USCG Public Information
Assist Team (PIAT) is available to
assist OSCs/RPMs and regional or dis-
trict offices to meet the demands for
public information and participation.
Its use is encouraged any time the
OSC/RPM requires outside public af-
fairs support. Requests for the PIAT
may be made through the NRC.
§ 300.150 Worker health and safety.
(a) Response actions under the NCP
will comply with the provisions for re-
sponse action worker safety and
health in 29 CFR 1910.120.
(b) In a response action taken by a
responsible party, the responsible
party must assure that an occupation-
al safety and health program consist-
ent with 29 CFR 1910.120 is made
available for the protection of workers
at the response site.
(c) In a response taken under the
NCP by a lead agency, an occupational
safety and health program should be
made available for the protection of
workers at the response site, consist-
ent with, and to the extent required
by, 29 CFR 1910.120. Contracts relat-
ing to a response action under the
NCP should contain assurances that
the contractor at the response site will
comply with this program and with
any applicable provisions of the OSH
Act and state OSH laws.
(d) When a state, or political subdivi-
sion of a state, without an OSHA-ap-
proved state plan is the lead agency
for response, the state or political sub-
division must comply with standards
in 40 CFR part 311, promulgated by
EPA pursuant to section 126(f) of
SARA.
(e) Requirements, standards, and
regulations of the Occupational Safety
and Health Act of 1970 (29 U.S.C. 651
et seq.) (OSH Act) and of state laws
with plans approved under section 18
of the OSH Act (state OSH laws), not
directly referenced in paragraphs (a)
through (d) of this section, must be
complied with where applicable. Fed-
eral OSH Act requirements include,
among other things, Construction
Standards (29 CFR part 1926), Gener-
al Industry Standards (29 CFR part
1910), and the general duty - require-
ment of section 5(a)(l) of the OSH Act
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§300.155
40 CFR Ch. I (7-1-91 Edition)
(29 U.S.C. 654(a)(D). No action by the
lead agency with respect to response
activities under the NCP constitutes
an exercise of statutory authority
within the meaning of section 4(b)(l)
of the OSH Act. All governmental
agencies and private employers are di-
rectly responsible for the health and
safety of their own employees.
§ 300.155 Public information and commu-
nity relations.
(a) When an incident occurs, it is im-
perative to give the public promDt, ac-
curate information on the nature of
the incident and the actions underway
to mitigate the damage. OSCs/RPMs
and community relations personnel
should ensure that all appropriate
public and private interests are kept
informed and that their concerns are
considered throughout a response.
They should coordinate with available
public affairs/community relations re-
sources to carry out this responsibility.
(b) An on-scene news office may be
established to coordinate media rela-
tions and to issue official federal infor-
mation on an incident. Whenever pos-
sible, it will be headed by a representa-
tive of the lead agency. The OSC/
RPM determines the location of the
on-scene news office, but every effort
should be made to locate it near the
scene of the incident. If a participat-
ing agency believes public interest
warrants the issuance of statements
and an on-scene news office has not
been established, the affected agency
should recommend its establishment.
All federal news releases or statements
by participating agencies should be
cleared through the OSC/RPM.
(c) The community relations require-
ments specified in §§300.415, 300.430,
and 300.435 apply to removal, remedi-
al, and enforcement actions and are in-
tended to promote active communica-
tion between communities affected by
discharges or releases and the lead
agency responsible for response ac-
tions. Community Relations Plans
(CRPs) are required by EPA for cer-
tain response actions. The OSC/RPM
should ensure coordination with such
plans which may be in effect at the
scene of a discharge or release or
which may need to be developed
during follow-up activities.
§ 300.160 Documentation and cost recov-
ery.
(a) For releases of a hazardous sub-
- stance, pollutant, or contaminant, the
following provisions apply:
(1) During all phases of response,
the lead agency shall complete and
maintain documentation to support all
actions taken under the NCP and to
form the basis for cost recovery. In
general, documentation shall be suffi-
cient to provide the source and circum-
stances of the release, the identity of
responsible parties, the response
action taken, accurate accounting of
federal, state, or private party costs in-
curred for response actions, and im-
pacts and potential impacts to the
public health and welfare and the en-
vironment. Where applicable, docu-
mentation shall state when the NRC
received notification of a release of a
reportable quantity.
(2) The information and reports ob-
tained by the lead agency for Fund-fi-
nanced response actions shall, as ap-
propriate, be transmitted to the chair
of the RRT. Copies can then be for-
warded to the NRT, members of the
RRT, and others as appropriate. In ad-
dition, OSCs shall submit reports as
required under § 300.165.
(3) The lead agency shall make avail-
able to the trustees of affected natural
resources information and documenta-
tion that can assist the trustees in the
determination of actual or potential
natural resource injuries.
(b) For discharges of oil, documenta-
tion and cost recovery provisions are
described in § 300.315.
(c) Response actions undertaken by
the participating agencies shall be car-
ried out under existing programs and
authorities when available. Federal
agencies are to make resources avail-
able, expend funds, or participate in
response to discharges and releases
under their existing authority. Inter-
agency agreements may be signed
when necessary to ensure that the fed-
eral resources will be available for a
timely response to a discharge or re-
lease. The ultimate decision as to the
appropriateness of expending funds
rests with the agency that is held ac-
countable for such expenditures. Fur-
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Environmental Protection Agency
§300.170
ther funding provisions for discharges
of oil are described in § 300.335.
(d) The Administrator of EPA and
the Administrator of the Agency for
Toxic Substances and Disease Registry
(ATSDR) shall assure that the costs of
health assessment or health effect
studies conducted under the authority
of CERCLA section 104(i) are docu-
mented in accordance with standard
EPA procedures for cost recovery.
Documentation shall include informa-
tion on the nature of the hazardous
substances addressed by the research,
information concerning the locations
where these substances have been
found, and any available information
on response actions taken concerning
these substances at the location.
§ 300.165 OSC reports.
(a) Within one year after completion
of removal activities at a major dis-
charge of oil, a major release of a haz-
ardous substance, pollutant, or con-
taminant, or when requested by the
RRT, the OSC/RPM shall submit to
the RRT a complete report on the re-
moval operation and the actions
taken. The OSC/RPM shall at the
same time send a copy of the report to
the Secretary of the NRT. The RRT
shall review the OSC report and send
to the NRT a copy of the OSC report
with its comments or recommenda-
tions within 30 days after the RRT
has received the OSC report.
(b) The OSC report shall record the
situation as it developed, the actions
taken, the resources committed, and
the problems encountered.
(c) The format for the OSC report
shall be as follows:
(1) Summary of Events—a chrono-
logical narrative of all events, includ-
ing:
(i) The location of the hazardous
substance, pollutant, or contaminant
release or oil discharge, including, for
oil discharges, an indication of wheth-
er the discharge was in connection
with activities regulated under the
Outer Continental Shelf Lands Act
(OCSLA), the Trans-Alaska Pipeline
Authorization Act, or the Deepwater
Port Act;
(ii) The cause of the discharge or re-
lease;
(iii) The initial situation;
(iv) Efforts to obtain response by re-
sponsible parties;
(v) The organization of the response,
including state participation;
(vi) The resources committed;
(vii) Content and time of notice to
natural resource trustees relating
injury or possible injury to natural re-
sources;
(viii) Federal or state trustee damage
assessment activities and efforts to re-
place or restore damaged natural re-
sources;
(ix) Details of any threat abatement
action taken under CERCLA or under
section 31KO or (d) of the CWA;
(x) Treatment/disposal/alternative
technology approaches pursued and
followed; and
(xi) Public information/community
relations activities.
(2) Effectiveness of removal actions
taken by:
(i) The responsible party(ies);
(ii) State and local forces;
(iii) Federal agencies and special
teams; and
(iv) Contractors, private groups, and
volunteers, if applicable.
(3) Difficulties Encountered—A list
of items that affected the response,
with particular attention to issues of
intergovernmental coordination.
(4) Recommendations—OSC/RPM
recommendations, including at a mini-
mum:
(i) Means to prevent a recurrence of
the discharge or release;
(ii) Improvement of response ac-
tions; and
(iii) Any recommended changes in
the NCP, RCP, OSC contingency plan,
and, as appropriate, plans developed
under section 303 of SARA and other
local emergency response plans.
§ 300.170 Federal agency participation.
Federal agencies listed in § 300.175
have duties established by statute, ex-
ecutive order, or Presidential directive
which may apply to federal response
actions following, or in prevention of,
the discharge of oil or release of a haz-
ardous substance, pollutant, or con-
taminant. Some of these agencies also
have duties relating to the rehabilita-
tion, restoration, or replacement of
natural resources injured or lost as a
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§300.175
40 CFR Ch. I (7-1-91 Edition)
result of such discharge or release as
described in subpart G of this part.
The NRT and RRT organizational
structure, and the NCP, federal re-
gional contingency plans (RCPs), and
OSC contingency plans, described in
§ 300.210, provide for agencies to co-
ordinate with each other in carrying
out these duties.
(a) Federal agencies may be called
upon by an OSC/RPM during re-
sponse planning and implementation
to provide assistance in their respec-
tive areas of expertise, as described in
§ 300.175, consistent with the agencies'
capabilities and authorities.
(b) In addition to their general re-
sponsibilities, federal agencies should:
(1) Make necessary information
available to the Secretary of the NRT,
RRTs, and OSCs/RPMs.
(2) Provide representatives to the
NRT and RRTs and otherwise assist
RRTs and OSCs, as necessary, in for-
mulating RCPs and OSC contingency
plans.
(3) Inform the NRT and RRTs, con-
sistent with national security consider-
ations, of changes in the availability of
resources that would affect the oper-
ations implemented under the NCP.
(c) All federal agencies are responsi-
ble for reporting releases of hazardous
substances from facilities or vessels
under their jurisdiction or control in
accordance with section 103 of
CERCLA.
(d) All federal agencies are encour-
aged to report releases of pollutants or
contaminants or discharges of oil from
vessels under their jurisdiction or con-
trol to the NRC.
§ 300.175 Federal agencies: additional re-
sponsibilities and assistance.
(a) During preparedness planning or
in an actual response, various federal
agencies may be called upon to provide
assistance in their respective areas of
expertise, as indicated in paragraph
(b) of this section, consistent with
agency legal authorities and capabili-
ties.
(b) The federal agencies include:
(1) The United States Coast Guard
(USCG), as provided in 14 U.S.C. 1-3,
is an agency in the Department of
Transportation (DOT), except when
operating as an agency in the United
States Navy in time of war. The USCG
provides the NRT vice chair, co-chairs
for the standing RRTs, and predesig-
nated OSCs for the coastal zone, as de-
scribed in § 300.120(a)U). The USCG
maintains continuously manned facili-
ties which can be used for command,
control, and surveillance of oil dis-
charges and hazardous substance re-
leases occurring in the coastal zone.
The USCG also offers expertise in do-
mestic and international fields of port
safety and security, maritime law en-
forcement, ship navigation and con-
struction, and the manning, operation,
and safety of vessels and marine facili-
ties. The USCG may enter into a con-
tract or cooperative agreement with
the appropriate state in order to im-
plement a response action.
(2) The Environmental Protection
Agency (EPA) chairs the NRT and co-
chairs, with the USCG, the standing
RRTs; provides predesignated OSCs
for the inland zone and RPMs for re-
medial actions except as otherwise
provided; and generally provides the
SSC for responses in the inland zone.
EPA provides expertise on environ-
mental effects of oil discharges or re-
leases of hazardous substances, pollut-
ants, or contaminants, and environ-
mental pollution control techniques.
EPA also provides legal expertise on
the interpretation of CERCLA and
other environmental statutes. EPA
may enter into a contract or coopera-
tive agreement with the appropriate
state in order to implement a response
action.
(3) The Federal Emergency Manage-
ment Agency (FEMA) provides guid-
ance, policy and program advice, and
technical assistance in hazardous ma-
terials and radiological emergency pre-
paredness activities (planning, train-
ing, and exercising). In a response,
FEMA provides advice and assistance
to the lead agency on coordinating re-
location assistance and mitigation ef-
forts with other federal agencies, state
and local governments, and the private
sector. FEMA may enter into a con-
tract or cooperative agreement with
the appropriate state or political sub-
division in order to implement reloca-
tion assistance in a response. In the
event of a hazardous materials inci-
dent at a major disaster or emergency
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Environmental Protection Agency
§ 300.175
declared by the President, the lead
agency shall coordinate hazardous ma-
terials response with the Federal Co-
ordinating Officer (FCO) appointed by
the President.
(4) The Department of Defense
(DOD) has responsibility to take all
action necessary with respect to re-
leases where either the release is on,
or the sole source of the release is
from, any facility or vessel under the
jurisdiction, custody, or control of
DOD. DOD may also, consistent with
its operational requirements and upon
request of the OSC, provide locally de-
ployed United States Navy oil spill
equipment and provide assistance to
other federal agencies on request. The
following two branches of DOD have
particularly relevant expertise:
(i) The United States Army Corps of
Engineers has specialized equipment
and personnel for maintaining naviga-
tion channels, for removing navigation
obstruction, for accomplishing struc-
tural repairs, and for performing
maintenance to hydropower electric
generating equipment. The Corps can
also provide design services, perform
construction, and provide contract
writing and contract administrative
services for other federal agencies.
(ii) The United States Navy (USN) is
the federal agency most knowledgea-
ble and experienced in ship salvage,
shipboard damage control, and diving.
The USN has an extensive array of
specialized equipment and personnel
available for use in these areas as well
as specialized containment, collection,
and removal equipment specifically de-
signed for salvage-related and open-
sea pollution incidents.
(5) The Department of Energy
(DOE) generally provides designated
OSCs/RPMs that are responsible for
taking all response actions with re-
spect to releases where either the re-
lease is on, or the sole source of the re-
lease is from, any facility or vessel
under its jurisdiction, custody, or con-
trol, including vessels bareboat-char-
tered and operated. In addition, under
the Federal Radiological Emergency
Response Plan (FRERP), DOE pro-
vides advice and assistance to other
OSCs/RPMs for emergency actions es-
sential for the control of immediate
radiological hazards. Incidents that
qualify for DOE radiological advice
and assistance are those believed to in-
volve source, by-product, or special nu-
clear material or other ionizing radi-
ation sources, including radium, and
other naturally occurring radionu-
clides, as well as particle accelerators.
Assistance is available through direct
contact with the appropriate DOE Ra-
diological Assistance Coordinating
Office.
(6) The Department of Agriculture
(USDA) has scientific and technical
capability to measure, evaluate, and
monitor, either on the ground or by
use of aircraft, situations where natu-
ral resources including soil, water,
wildlife, and vegetation have been im-
pacted by fire, insects and diseases,
floods, hazardous substances, and
other natural or man-caused emergen-
cies. The USDA may be contacted
through Forest Service emergency
staff officers who are the designated
members of the RRT. Agencies within
USDA have relevant capabilities and
expertise as follows:
(i) The Forest Service has responsi-
bility for protection and management
of national forests and national grass-
lands. The Forest Service has person-
nel, laboratory, and field capability to
measure, evaluate, monitor, and con-
trol as needed, releases of pesticides
and other hazardous substances on
lands under its jurisdiction.
(ii) The Agriculture Research Serv-
ice (ARS) administers an applied and
developmental research program in
animal and plant protection and pro-
duction; the use and improvement of
soil, water, and air; the processing,
storage, and distribution of farm prod-
ucts; and human nutrition. The ARS
has the capabilities to provide regula-
tion of, and evaluation and training-
for, employees exposed to biological,
chemical, radiological, and industrial
hazards. In emergency situations, the
ARS can identify, control, and abate
pollution in the areas of air, soil,
wastes, pesticides, radiation, and toxic
substances for ARS facilities.
(iii) The Soil Conservation Service
(SCS) has personnel in nearly every
county in the nation who are knowl-
edgeable in soil, agronomy, engineer-
ing, and biology. These personnel can
help to predict the effects of pollut-
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§300.175
40 CFR Ch. I (7-1-91 Edition)
ants on soil and their movements over
and through soils. Technical special-
ists can assist in identifying potential
hazardous waste sites and provide
review and advice on plans for remedi-
al measures.
(iv) The Animal and Plant Health
Inspection Service (APHIS) can re-
spond in an emergency to regulate
movement of diseased or infected or-
ganisms to prevent the spread and
contamination of nonaffected areas.
(v) The Food Safety and Inspection
Service (PSIS) has responsibility to
prevent meat and poultry products
contaminated with harmful sub-
stances from entering human food
channels. In emergencies, the FSIS
works with other federal and state
agencies to establish acceptability for
slaughter of exposed or potentially ex-
posed animals and their products. In
addition they are charged with manag-
ing the Federal Radiological Emergen-
cy Response Program for the USDA.
(7) The Department of Commerce
(DOC), through NOAA, provides sci-
entific support for response and con-
tingency planning in coastal and
marine areas, including assessments of
the hazards that may be involved, pre-
dictions of movement and dispersion
of oil and hazardous substances
through trajectory modeling, and in-
formation on the sensitivity of coastal
environments to oil and hazardous
substances; provides expertise on
living marine resources and their habi-
tats, including endangered species,
marine mammals and National Marine
Sanctuary ecosystems; provides infor-
mation on actual and predicted mete-
orological, hydrological, ice, and
oceanographic conditions for marine,
coastal, and inland waters, and tide
and circulation data for coastal and
territorial waters and for the Great
Lakes.
(8) The Department of Health and
Human Services (HHS) is responsible
for providing assistance on matters re-
lated to the assessment of health haz-
ards at a response, and protection of
both response workers and the public's
health. HHS is delegated authorities
under section 104(b) of CERCLA relat-
ing to a determination that illness, dis-
ease, or complaints thereof may be at-
tributable to exposure to a hazardous
substance, pollutant, or contaminant.
HHS programs and services may be
carried out through grants, contracts,
or cooperative agreements. The basic
research programs shall be coordinat-
ed with the Superfund research, dem-
onstration, and development program
conducted by EPA and DOD through
the mechanisms provided for in
CERCLA. Agencies within HHS have
relevant responsibilities, capabilities,
and expertise as follows:
(i) The Agency for Toxic Substances
and Disease Registry (ATSDR), under
section 104(i) of CERCLA, is required
to: Establish appropriate disease/ex-
posure registries; provide medical care
and testing of exposed individuals in
cases of public health emergencies; de-
velop, maintain, and provide informa-
tion on health effects of toxic sub-
stances; maintain a list of areas re-
stricted or closed because of toxic sub-
stances contamination; conduct re-
search to determine relationships be-
tween exposure to toxic substances
and illness; conduct health assess-
ments at all NPL sites; conduct a
health assessment in response to a pe-
tition or provide a written explanation
why an assessment will not be con-
ducted; together with EPA, identify
the most hazardous substances related
to CERCLA sites; together with EPA,
develop guidelines for toxicological
profiles for hazardous substances; de-
velop a toxicological profile for all
such substances; and develop educa-
tional materials related to health ef-
fects of toxic substances for health
professionals.
(ii) The National Institutes for Envi-
ronmental Health Sciences (NIEHS)
has been given the responsibilities
under section 3 IK a) of CERCLA, to
conduct and support programs of basic
research, development, and demon-
stration; and to establish short course
and continuing education programs,
and graduate or advanced training. In
addition, section 126(g) of SARA au-
thorizes NIEHS to administer grants
for training and education of workers
who are or may be engaged in activi-
ties related to hazardous waste remov-
al, containment, or emergency re-
sponses.
(9) The Department of the Interior
(DOI) may be contacted through Re-
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Environmental Protection Agency
§300.175
gional Environmental Officers
(REOs), who are the designated mem-
bers of RRTs. Department land man-
agers have jurisdiction over the na-
tional park system, national wildlife
refuges and fish hatcheries, the public
lands, and certain water projects in
western states. In addition, bureaus
and offices have relevant expertise as
follows:
(i) Pish and Wildlife Service: Anad-
romous and certain other fishes and
wildlife, including endangered and
threatened species, migratory birds,
and certain marine mammals; waters
and wetlands; contaminants affecting
habitat resources; and laboratory re-
search facilities.
(ii) Geological Survey: Geology, hy-
drology (ground water and surface
water), and natural hazards.
(iii) Bureau of Land Management:
Minerals, soils, vegetation, wildlife,
habitat, archaeology, and wilderness;
and hazardous materials.
(iv) Minerals Management Service:
Manned facilities for Outer Continen-
tal Shelf (OCS) oversight.
(v) Bureau of Mines: Analysis and
identification of inorganic hazardous
substances and technical expertise in
metals and metallurgy relevant to site
cleanup.
(vi) Office of Surface Mining: Coal
mine wastes and land reclamation.
(vii) National Park Service: Biologi-
cal and general natural resources
expert personnel at park units.
(viii) Bureau of Reclamation: Oper-
ation and maintenance of water
projects in the West; engineering and
hydrology; and reservoirs.
(ix) Bureau of Indian Affairs: Co-
ordination of activities affecting
Indian lands; assistance in identifying
Indian tribal government officials.
(x) Office of Territorial Affairs: As-
sistance in implementing the NCP in
American Samoa, Guam, the Pacific
Island Governments, the Northern
Mariana Islands, and the Virgin Is-
lands.
(10) The Department of Justice
(DOJ) can provide expert advice on
complicated legal questions arising
from discharges or releases, and feder-
al agency responses. In addition, the
DOJ represents the federal govern-
ment, including its agencies, in litiga-
tion relating to such discharges or re-
leases.
(11) The Department of Labor
(DOL), through the Occupational
Safety and Health Administration
(OSHA) and the states operating plans
approved under section 18 of the Oc-
cupational Safety and Health Act of
1970 (OSH Act), has authority to con-
duct safety and health inspections of
hazardous waste sites to assure that
employees are being protected and to
determine if the site is in compliance
with:
(i) Safety and health standards and
regulations promulgated by OSHA (or
the states) in accordance with section
126 of SARA and all other applicable
standards; and
(ii) Regulations promulgated under
the OSH Act and its general duty
clause. OSHA inspections may be self-
generated, consistent with its program
operations and objectives, or may be
conducted in response to requests
from EPA or another lead agency.
OSHA may also conduct inspections in
response to accidents or employee
complaints. OSHA may also conduct
inspections at hazardous waste sites in
those states with approved plans that
choose not to exercise their jurisdic-
tion to inspect such sites. On request,
OSHA will provide advice and assist-
ance to EPA and other NRT/RRT
agencies as well as to the OSC/RPM
regarding hazards to persons engaged
in response activities. Technical assist-
ance may include review of site safety
plans and work practices, assistance
with exposure monitoring, and help
with other compliance questions.
OSHA may also take any other action
necessary to assure that employees are
properly protected at such response
activities. Any questions about occupa-
tional safety and health at these sites
should be referred to the OSHA Re-
gional Office.
(12) The Department of Transporta-
tion (DOT) provides response exper-
tise pertaining to transportation of oil
or hazardous substances by all modes
of transportation. Through the Re-
search and Special Programs Adminis-
tration (RSPA), DOT offers expertise
in the requirements for packaging,
handling, and transporting regulated
hazardous materials.
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§300.180
40 CFR Ch. I (7-1-91 Edition)
(13) The Department of State (DOS)
will lead in the development of inter-
national joint contingency plans. It
will also help to coordinate an interna-
tional response when discharges or re-
leases cross international boundaries
or involve foreign flag vessels. Addi-
tionally, DOS will coordinate requests
for assistance from foreign govern-
ments and U.S. proposals for conduct-
ing research at incidents that occur in
waters of other countries.
(14) The Nuclear Regulatory Com-
mission will respond, as appropriate,
to releases of radioactive materials by
its licensees, in accordance with the
NRC Incident Response Plan
(NUREG-0728) to monitor the actions
of those licensees and assure that the
public health and environment are
protected and adequate recovery oper-
ations are instituted. The Nuclear
Regulatory Commission will keep EPA
informed of any significant actual or
potential releases in accordance with
procedural agreements. In addition,
the Nuclear Regulatory Commission
will provide advice to the OSC/RPM
when assistance is required in identify-
ing the source and character of other
hazardous substance releases where
the Nuclear Regulatory Commission
has licensing authority for activities
utilizing radioactive materials.
(15) The National Response Center
(NRC), located at USCG Headquar-
ters, is the national communications
center, continuously manned for han-
dling activities related to response ac-
tions. The NRC acts as the single fed-
eral point of contact for all pollution
incident reporting and as the NRT
communications center. These re-
sponse actions include: Oil and hazard-
ous substances, radiological, biological,
etiological, surety materials, muni-
tions, and fuels. Notice of discharges
must be made telephonically through
a toll free number or a special local
number (Telecommunication Device
for the Deaf (TDD) and collect calls
accepted.) The telephone report is dis-
tributed to any interested NRT
member agency or federal entity that
has established a written agreement or
understanding with the NRC. Each
telephone notice is magnetically voice
recorded and manually entered into an
on-line computer data base. The NRC
tracks medium, major, and potential,
major spills and provides incident
summaries to all NRT members and
other interested parties. The NRC
evaluates incoming information and
immediately advises FEMA of a poten-
tial major disaster or evacuations situ-
ation. The NRC provides facilities for
the NRT to use in coordinating a na-
tional response action, when required;
assists in arrangements for regular as
well as special NRT meetings and
maintains information on the time
and place of such meetings; and sends
representatives to RRT meetings as
appropriate. The NRC is available to
assist all NRT agencies as needed.
§300.180 State and local participation in
response.
(a) Each state governor is requested
to designate one state office/repre-
sentative to represent the state on the
appropriate RRT. The state's office/
representative may participate fully in
all activities of the appropriate RRT.
Each state governor is also requested
to designate a lead state agency that
will direct state-lead response oper-
ations. This agency is responsible for
designating the OSC/RPM for state-
lead response actions, designating
SACs for federal-lead response actions,
and coordinating/communicating with
any other state agencies, as appropri-
ate. Local governments are invited to
participate in activities on the appro-
priate RRT as may be provided by
state law or arranged by the state's
representative. Indian tribes wishing
to participate should assign one
person or office to represent the tribal
government on the appropriate RRT.
(b) In addition to meeting the re-
quirements for local emergency plans
under SARA section 303, state and
local government agencies are encour-
aged to include contingency planning
for responses, consistent with the NCP
and the RCP, in all emergency and
disaster planning.
(c) For facilities not addressed under
CERCLA, states are encouraged to un-
dertake response actions themselves or
to use their authorities to compel po-
tentially responsible parties to under-
take response actions.
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Environmental Protection Agency
§300.205
(d) States are encouraged to enter
into cooperative agreements pursuant
to section 104(c)(3) and (d) of
CERCLA to enable them to undertake
actions authorized under subparts D
and E of the NCP. Requirements for
entering into these agreements are in-
cluded in subpart F of the NCP. A
state agency that acts pursuant to
such agreements is referred to as the
lead agency. In the event there is no
cooperative agreement, the lead
agency can be designated in a SMOA
or other agreement.
(e) Because state and local public
safety organizations would normally
be the first government representa-
tives at the scene of a discharge or re-
lease, they are expected to initiate
public safety measures that are neces-
sary to protect public health and wel-
fare and that are consistent with con-
tainment and cleanup requirements in
the NCP, and are responsible for di-
recting evacuations pursuant to exist-
ing state or local procedures.
S 300.185 Nongovernmental participation.
(a) Industry groups, academic orga-
nizations, and others are encouraged
to commit resources for response oper-
ations. Specific commitments should
be listed in the RCP and OSC contin-
gency plans.
(b) The technical and scientific in-
formation generated by the local com-
munity, along with information from
federal, state, and local governments,
should be used to assist the OSC/
RPM in devising response strategies
where effective standard techniques
are unavailable. The SSC may act as
liaison between the OSC/RPM and
such interested organizations.
(c) OSC contingency plans shall es-
tablish procedures to allow for well or-
ganized, worthwhile, and safe use of
volunteers, including compliance with
§ 300.150 regarding worker health and
safety. OSC contingency plans should
provide for the direction of volunteers
by the OSC/RPM or by other federal,
state, or local officials knowledgeable
in contingency operations and capable
of providing leadership. OSC contin-
gency plans also should identify spe-
cific areas in which volunteers can be
used, such as beach surveillance, logis-
tical support, and bird and wildlife
treatment. Unless specifically request-
ed by the OSC/RPM, volunteers gen-
erally should not be used for physical
removal or remedial activities. If, in
the judgment of the OSC/RPM, dan-
gerous conditions exist, volunteers
shall be restricted from on-scene oper-
ations.
(d) Nongovernmental participation
must be in compliance with the re-
quirements of subpart H of this part if
any recovery of costs will be sought.
Subpart C—Planning and
Preparedness
SOURCE: 55 PR 8835. Mar. 8. 1990, unless
otherwise noted.
§ 300.200 General.
This subpart summarizes emergency
preparedness activities relating to dis-
charges of oil and releases of hazard-
ous substances, pollutants, or contami-
nants; describes the federal, state, and
local planning structure; provides for
three levels of federal contingency
plans; and cross-references state and
local emergency preparedness activi-
ties under SARA Title III, also known
as the "Emergency Planning and Com-
munity Right-to-Know Act of 1986"
but referred to herein as "Title III."
Regulations implementing Title III
are codified at 40 CFR subchapter J.
§ 300.205 Planning and coordination
structure.
(a) National As described in
§ 300.110, the NRT is responsible for
national planning and coordination.
(b) Regional As described in
§ 300.115, the RRTs are responsible
for regional planning and coordina-
tion.
(c) State. As provided by sections 301
and 303 of SARA, the state emergency
response commission (SERC) of each
state, appointed by the Governor, is to
designate emergency planning dis-
tricts, appoint local emergency plan-
ning committees (LEPCs). supervise
and coordinate their activities, and
review local emergency response plans,
which are described in § 300.215. The
SERC also is to establish procedures
for receiving and processing requests
from the public for information gencr-
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§ 300.210
40 CFR Ch. I (7-1-91 Edition)
ated by Title III reporting require-
ments and to designate an official to
serve as coordinator for information.
(d) Local. As provided by sections
301 and 303 of SARA, emergency plan-
ning districts are designated by the
SERC in order to facilitate the prepa-
ration and implementation of emer-
gency plans. Each LEPC is to prepare
a local emergency response plan for
the emergency planning district and
establish procedures for receiving and
processing requests from the public
for information generated by Title III
reporting requirements. The LEPC is
to appoint a chair and establish rules
for the LEPC. The LEPC is to desig-
nate an official to serve as coordinator
for information.
§ 300.210 Federal contingency plans.
There are three levels of federal con-
tingency plans: The National Contin-
gency Plan, regional contingency plans
(RCPs), and OSC contingency plans.
These plans are available for inspec-
tion at EPA regional offices or USCG
district offices. Addresses and tele-
phone numbers for these offices may
be found in the United States Govern-
ment Manual, issued annually, or in
local telephone directories.
(a) The National Contingency Plan.
The purpose and objectives, authority,
and scope of the NCP are described in
§§300.1 through 300.3.
(b) Regional contingency plans. The
RRTs, working with the states, shall
develop federal RCPs for each stand-
ard federal region, Alaska, Oceania in
the Pacific, and the Caribbean to co-
ordinate timely, effective response by
various federal agencies and other or-
ganizations to discharges of oil or re-
leases of hazardous substances, pollut-
ants, or contaminants. RCPs shall, as
appropriate, include information on
all useful facilities and resources in
the region, from government, commer-
cial, academic, and other sources. To
the greatest extent possible, RCPs
shall follow the format of the NCP
and coordinate with state emergency
response plans, OSC contingency
plans, which are described in
I 300.210(c), and Title III local emer-
gency response plans, which are de-
scribed in § 300.215. Such coordination
should be accomplished by working
with the SERCs in the region covered
by the RCP. RCPs shall contain lines
of demarcation between the inland
and coastal zones, as mutually agreed
upon by USCG and EPA.
(c)(l) OSC contingency plans. In
order to provide for a coordinated, ef-
fective federal, state, and local re-
sponse, each OSC, in consultation
with the RRT, may develop an OSC
contingency plan for response in the
OSC area of responsibility. OSC con-
tingency plans shall be developed in
all areas in the coastal zone, because
OSCs in the coastal zone have respon-
sibility for discharges and releases off-
shore, which often exceed the jurisdic-
tion and capabilities of other respond-
ers. Boundaries for OSC contingency
plans shall coincide with those agreed
upon among EPA, USCG, DOE, and
DOD, subject to functions and au-
thorities delegated in Executive Order
12580, to determine OSC areas of re-
sponsibility and should be clearly indi-
cated in the RCP. Jurisdictional
boundaries of local emergency plan-
ning districts established by states, de-
scribed in § 300.205(c), shall, as appro-
priate, be considered in determining
OSC areas of responsibility. OSC areas
of responsibility may include several
such local emergency planning dis-
tricts, or parts of such districts. In de-
veloping the OSC contingency plan,
OSCs shall coordinate with SERCs
and LEPCs affected by the OSC area
of responsibility.
(2) The OSC contingency plan shall
provide for a well-coordinated re-
sponse that is integrated and compati-
ble with all appropriate response plans
of state, local, and other nonfederal
entities, and especially with Title III
local emergency response plans, de-
scribed in § 300.215, or in the OSC
area of responsibility. The OSC con-
tingency plan shall, as appropriate,
identify the probable locations of dis-
charges or releases; the available re-
sources to respond to multi-media inci-
dents; where such resources can be ob-
tained; waste disposal methods and fa-
cilities consistent with local and state
plans developed under the Solid Waste
Disposal Act, 42 U.S.C. 6901 et seq.;
and a local structure for responding to
discharges or releases.
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Environmental Protection Agency
§300.215
§300.215 Title III local emergency re-
sponse plans.
This section describes and cross-ref-
erences the regulations that imple-
ment Title III of SARA. These regula-
tions are codified at 40 CFR part 355.
(a) Each LEPC is to prepare an
emergency response plan in accord-
ance with section 303 of SARA Title
III and review the plan once a year, or
more frequently as changed circum-
stances in the community or at any
subject facility may require. Such
Title III local emergency response
plans should be closely coordinated
with applicable federal OSC contin-
gency plans and state emergency re-
sponse plans.
(b) A facility, as defined in 40 CFR
part 355, is subject to emergency plan-
ning requirements if an extremely
hazardous substance, as defined in 40
CFR part 355, is present at the facility
in an amount equal to or in excess of
the threshold planning quantity estab-
lished for such substance. In addition,
for the purposes of emergency plan-
ning, a Governor or SERC may desig-
nate additional facilities that shall be
subject to planning requirements, if
such designation is made after public
notice and opportunity for comment.
EPA may revise the list of extremely
hazardous substances and threshold
planning quantities, taking into ac-
count the toxicity, reactivity, volatili-
ty, dispersability, combustibility, or
flammability of a substance. Facility
owners or operators are to name a fa-
cility representative who will partici-
pate in the planning process as a facili-
ty emergency coordinator.
(c) In accordance with section 303 of
SARA, each local emergency response
plan is to include, but is not limited to,
the following:
(1) Identification of facilities subject
to Title III emergency planning re-
quirements that are within the emer-
gency planning district; routes likely
to be used for the transportation of
substances on the list of extremely
hazardous substances; and any addi-
tional facilities, such as hospitals or
natural gas facilities, contributing or
subjected to additional risk due to
their proximity to facilities subject to
Title III emergency planning require-
ments;
(2) Methods and procedures to be
followed by facility owners and opera-
tors and local emergency and medical
personnel to respond to any release, as
defined in 40 CFR part 355, of ex-
tremely hazardous substances;
(3) Designation of a community
emergency coordinator and a facility
emergency coordinator for each facili-
ty subject to Title III emergency plan-
ning requirements, who will make de-
terminations necessary to implement
the emergency response plan;
(4) Procedures providing reliable, ef-
fective, and timely notification by the
facility emergency coordinators and
the community emergency coordinator
to persons designated in the emergen-
cy response plan, and to the public,
that a release has occurred;
(5) Methods for determining the oc-
currence of a release and the area or
population likely to be affected by
such a release;
(6) A description of emergency
equipment and facilities in the com-
munity and at each facility in the
community subject to Title III emer-
gency planning requirements, includ-
ing an identification of the persons re-
sponsible for such equipment and fa-
cilities;
(7) Evacuation plans, including pro-
visions for precautionary evacuation
and alternative traffic routes;
(8) Training programs, including
schedules for training of local emer-
gency response and medical personnel;
and
(9) Methods and schedules for exer-
cising the emergency response plan.
(d) In accordance with section 303 of
SARA, the SERC of each state is to
review the emergency response plan
developed by the LEPC of each emer-
gency planning district and make rec-
ommendations to the LEPC on revi-
sions that may be necessary to ensure
coordination of the plan with emer-
gency response plans of other emer-
gency planning districts. RRTs may
review a local emergency response
plan at the request of the LEPC. This
request should be made by the LEPC,
through the SERC and the state rep-
resentative on the RRT.
(e) Title III establishes reporting re-
quirements that provide useful infor-
mation in developing emergency plans.
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§ 300.220
40 CFR Ch. I (7-1-91 Edition)
(1) Upon request from the LEPC, fa-
cility owners or operators shall pro-
vide promptly to such LEPC informa-
tion necessary for developing and im-
plementing the emergency response
plan.
(2) Facilities required to prepare or
have available a material safety data
sheet (MSDS) for a hazardous chemi-
cal, as defined in 40 CFR part 370,
under the Occupational Safety and
Health Act of 1970, 29 U.S.C. 651 et
seq.. and regulations promulgated
under that Act, shall submit a MSDS
for each hazardous chemical or a list
of hazardous chemicals to the appro-
priate SERC, LEPC, and local fire de-
partment in accordance with 40 CFR
part 370.
(3) Facilities subject to the require-
ments of paragraph (e)(2) of this sec-
tion shall also submit an inventory
form to the SERC, LEPC, and the
local fire department, which contains
an estimate of the maximum amount
of hazardous chemicals present at the
facility during the preceding year, an
estimate of the average daily amount
of hazardous chemicals at the facility,
and the location of these hazardous
chemicals at the facility, in accordance
with 40 CFR part 370.
(4) Certain facilities with 10 or more
employees and which manufacture,
process, or use a toxic chemical, as de-
fined in 40 CFR part 372. in excess of
a statutorily prescribed quantity, shall
submit annual information on the
chemical and releases of the chemical
into the environment to EPA and the
state in accordance with 40 CFR part
372.
(f) Immediately after a release of an
extremely hazardous substance, or a
hazardous substance subject to the no-
tification requirements of CERCLA
section 103(a), the owner or operator
of a facility, as defined in 40 CFR part
355, shall notify the community emer-
gency coordinator for the appropriate
LEPC and the appropriate SERC in
accordance with 40 CFR part 355. As
soon as practicable after such a release
has occurred, the facility owner or op-
erator shall provide a written follow-
up emergency notice, or notices, if
more information becomes available,
setting forth and updating the infor-
mation contained in the initial release
notification and including additional
information with respect to response
actions taken, health risks associated
with the release, and, where appropri-
ate, advice regarding medical attention
necessary for exposed individuals. For
releases of hazardous substances sub-
ject to the notification requirements
of CERCLA section 103(a), immediate
notification must also be made to the
NRC. as provided in § 300.405(b).
(g) Title III requires public access to
information submitted pursuant to its
reporting requirements. Each emer-
gency response plan, MSDS, inventory
form, toxic chemical release form, and
follow-up emergency release notifica-
tion is to be made available to the gen-
eral public during normal working
hours at the location(s) designated by
the EPA Administrator, Governor,
SERC, or LEPC, as appropriate.
§ 300.220 Related Title III issues.
Other related Title III requirements
are found in 40 CFR part 355.
Subpart D—Operational Response
Phases for Oil Removal
SOURCE: 55 FR 8837, Mar. 8, 1990, unless
otherwise noted
§ 300.300 Phase I—Discovery or notifica-
tion.
(a) A discharge of oil may be discov-
ered through:
(DA report submitted by the person
in charge of a vessel or facility, in ac-
cordance with statutory requirements;
(2) Deliberate search by patrols;
(3) Random or incidental observa-
tion by government agencies or the
public; or
(4) Other sources.
(b) Any person in charge of a vessel
or a facility shall, as soon as he or she
has knowledge of any discharge from
such vessel or facility in violation of
section 311(b)(3) of the Clean Water
Act, immediately notify the NRC. If
direct reporting to the NRC is not
practicable, reports may be made to
the USCG or EPA predesignated OSC
for the geographic area where the dis-
charge occurs. The EPA predesignated
OSC may also be contacted through
the regional 24-hour emergency re-
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Environmental Protection Agency
§ 300.315
sponse telephone number. All such re-
ports shall be promptly relayed to the
NRC. If It is not possible to notify the
NRC or predesignated OSC immedi-
ately, reports may be made immediate-
ly to the nearest Coast Guard unit. In
any event such person in charge of the
vessel or facility shall notify the NRC
as soon as possible.
(c) Any other person shall, as appro-
priate, notify the NRC of a discharge
of oil.
(d) Upon receipt of a notification of
discharge, the NRC shall promptly
notify the OSC. The OSC shall pro-
ceed with the following phases as out-
lined in the RCP and OSC contingen-
cy plan.
§ 300.305 Phase II—Preliminary assess-
ment and initiation of action.
(a) The OSC is responsible for
promptly initiating a preliminary as-
sessment.
(b) The preliminary assessment shall
be conducted using available informa-
tion, supplemented where necessary
and possible by an on-scene inspection.
The OSC shall undertake actions to:
(1) Evaluate the magnitude and se-
verity of the discharge or threat to
public health or welfare or the envi-
ronment;
(2) Assess the feasibility of removal;
(3) To the extent practicable, identi-
fy potentially responsible parties; and
(4) Ensure that authority exists for
undertaking additional response ac-
tions.
(c) The OSC, in consultation with
legal authorities when appropriate,
shall make a reasonable effort to have
the discharger voluntarily and
promptly perform removal actions.
The OSC shall ensure adequate sur-
veillance over whatever actions are ini-
tiated. If effective actions are not
being taken to eliminate the threat, or
if removal is not being properly done,
the OSC shall, to the extent practica-
ble under the circumstances, so advise
the responsible party. If the responsi-
ble party does not take proper removal
actions, or is unknown, or is otherwise
unavailable, the OSC shall, pursuant
to section 311(c)(l) of the CWA, deter-
mine whether authority for a federal
response exists, and, if so, take appro-
priate response actions. Where practi-
cable, continuing efforts should be
made to encourage response by re-
sponsible parties.
(d) If natural resources are or may
be injured by the discharge, the OSC
shall ensure that state and federal
trustees of affected natural resources
are promptly notified in order that
the trustees may initiate appropriate
actions, including those identified in
subpart G. The OSC shall seek to co-
ordinate assessments, evaluations, in-
vestigations, and planning with state
and federal trustees.
§ 300.310 Phase III—Containment, coun-
termeasures, cleanup, and disposal.
(a) Defensive actions shall begin as
soon as possible to prevent, minimize,
or mitigate threat(s) to public health
or welfare or the environment. Actions
may include but are not limited to:
Analyzing water samples to determine
the source and spread of the oil; con-
trolling the source of discharge; meas-
uring and sampling; source and spread
control or salvage operations; place-
ment of physical barriers to deter the
spread of the oil and to protect natu-
ral resources; control of the water dis-
charged from upstream impoundment;
and the use of chemicals and other
materials in accordance with subpart J
of this part to restrain the spread of
the oil and mitigate its effects.
(b) As appropriate, actions shall be
taken to recover the oil or mitigate its
effects. Of the numerous chemical or
physical methods that may be used,
the chosen methods shall be the most
consistent with protecting public
health and welfare and the environ-
ment. Sinking agents shall not be
used.
(c) Oil and contaminated materials
recovered in cleanup operations shall
be disposed of in accordance with the
RCP and OSC contingency plan and
any applicable laws, regulations, or re-
quirements.
§ 300.315 Phase IV—Documentation and
cost recovery.
(a) Documentation shall be collected
and maintained to support all actions
taken under the CWA and to form the
basis for cost recovery. Whenever
practicable, documentation shall be
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§ 300.320
40 CFR Ch. I (7-1-91 Edition)
sufficient to prove the source and cir-
cumstances of the incident, the re-
sponsible party or parties, and impact
and potential impacts to public health
and welfare and the environment.
When appropriate, documentation
shall also be collected for scientific un-
derstanding of the environment and
for the research and development of
improved response methods and tech-
nology. Damages to private citizens,
including loss of earnings, are not ad-
dressed by the NCP. Evidentiary and
cost documentation procedures are
specified in the USCG Marine Safety
Manual (Commandant Instruction
M16000.ll) and further provisions are
contained in 33 CFR part 153.
(b) OSCs shall submit OSC reports
to the RRT as required by § 300.165.
(c) OSCs shall ensure the necessary
collection and safeguarding of infor-
mation, samples, and reports. Samples
and information shall be gathered ex-
peditiously during the response to
ensure an accurate record of the im-
pacts incurred. Documentation materi-
als shall be made available to the
trustees of affected natural resources.
The OSC shall make available to
trustees of the affected natural re-
sources information and documenta-
tion that can assist the trustees in the
determination of actual or potential
natural resource injuries.
(d) Information and reports ob-
tained by the EPA or USCG OSC shall
be transmitted to the appropriate of-
fices responsible for follow-up actions.
§ 300.320 General pattern of response.
(a) When the OSC receives a report
of a discharge, actions normally
should be taken in the following se-
quence:
(1) When the reported discharge is
an actual or potential major discharge,
immediately notify the RRT, includ-
ing the affected state, if appropriate,
and the NRC.
(2) Investigate the report to deter-
mine pertinent information such as
the threat posed to public health or
welfare or the environment, the type
and quantity of polluting material,
and the source of the discharge.
(3) Officially classify the size of the
discharge and determine the course of
action to be followed.
(4) Determine whether a discharger
or other person is properly carrying
out removal. Removal is being done
properly when:
(i) The cleanup is fully sufficient to
minimize or mitigate threat(s) to
• public health and welfare and the en-
vironment. Removal efforts are im-
proper to the extent that federal ef-
forts are necessary to minimize fur-
ther or mitigate those threats; and
(ii) The removal efforts are in ac-
cordance with applicable regulations,
including the NCP.
(5) Determine whether a state or po-
litical subdivision thereof has the ca-
pability to carry out response actions
and whether a contract or cooperative
agreement has been established with
the appropriate fund administrator
for this purpose.
(6) Notify the trustees of affected
natural resources in accordance with
the applicable RCP.
(b) The preliminary inquiry will
probably show that the situation falls
into one of four categories. These cate-
gories and the appropriate response to
each are outlined below:
(1) If the investigation shows that
no discharge occurred, or it shows a
minor discharge with no removal
action required, the case may be closed
for response purposes.
(2) If the investigation shows a
minor discharge with the responsible
party taking proper removal action,
contact shall be established with the
party. The removal action shall, when-
ever possible, be monitored to ensure
continued proper action.
(3) If the investigation shows a
minor discharge with improper remov-
al action being taken, the following
measures shall be taken:
(i) An immediate effort shall, as ap-
propriate, be made to stop further pol-
lution and remove past and ongoing
contamination.
(ii) The responsible party shall be
advised of what action will be consid-
ered appropriate.
(iii) If the responsible party does not
properly respond, the party shall be
notified of potential liability for feder-
al response performed under the
CWA. This liability includes all costs
of removal and may include the costs
of assessing and restoring, rehabilitat-
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Environmental Protection Agency
§ 300.335
ing, replacing, or acquiring the equiva-
lent of damaged natural resources, and
other actual or necessary costs of a
federal response.
(iv) The OSC shall notify appropri-
ate state and local officials, keep the
RRT advised, and initiate Phase III
operations, as described in § 300.310, as
conditions warrant.
(v) Information shall be collected for
possible recovery of response costs in
accordance with § 300.315.
(4) When the investigation shows
that an actual or potential medium or
major oil discharge exists, the OSC
shall follow the same general proce-
dures as for a minor discharge. If ap-
propriate, the OSC shall recommend
activation of the RRT.
§ 300.330 Wildlife conservation.
The Department of the Interior, De-
partment of Commerce, and state rep-
resentatives to the RRT shall arrange
for the coordination of professional
and volunteer groups permitted and
trained to participate in wildlife dis-
persal, collection, cleaning, rehabilita-
tion, and recovery activities, consistent
with 16 U.S.C. 703-712 and applicable
state laws. The RCP and OSC contin-
gency plans shall, to the extent practi-
cable, identify organizations or institu-
tions that are permitted to participate
in such activities and operate such fa-
cilities. Wildlife conservation activities
will normally be included in Phase III
response actions, described in
§ 300.310.
§ 300.335 Funding.
(a) If the person responsible for the
discharge does not act promptly or
take proper removal actions, or if the
person responsible for the discharge is
unknown, federal discharge removal
actions may begin under section
311(c)(l) of the CWA. The discharger,
if known, is liable for costs of federal
removal in accordance with section
311(f) of the CWA and other federal
laws.
(b) Actions undertaken by the par-
ticipating agencies in response to pol-
lution shall be carried out under exist-
ing programs and authorities when
available. Federal agencies will make
resources available, expend funds, or
participate in response to oil dis-
charges under their existing authority.
Authority to expend resources will be
in accordance with agencies' basic stat-
utes and, if required, through inter-
agency agreements. Where the OSC
requests assistance from a federal
agency, that agency may be reim-
bursed in accordance with the provi-
sions of 33 CFR 153.407. Specific inter-
agency reimbursement agreements
may be signed when necessary to
ensure that the federal resources will
be available for a timely response to a
discharge of oil. The ultimate deci-
sions as to the appropriateness of ex-
pending funds rest with the agency
that is held accountable for such ex-
penditures.
(c) The OSC shall exercise sufficient
control over removal operations to be
able to certify that reimbursement
from the following funds is appropri-
ate:
(1) The oil pollution fund, adminis-
tered by the Commandant, USCG,
that has been established pursuant to
section 311(k) of the CWA or any
other spill response funa established
by Congress. Regulations governing
the administration and use of the sec-
tion 311(k) fund are contained in 33
CFR part 153.
(2) The fund authorized by the
Deepwater Port Act is administered by
the Commandant, USCG. Governing
regulations are contained in 33 CFR
part 137.
(3) The fund authorized by the
Outer Continental Shelf Lands Act, as
amended, is administered by the Com-
mandant, USCG. Governing regula-
tions are contained in 33 CFR parts
135 and 136.
(4) The fund authorized by the
Trans-Alaska Pipeline Authorization
Act is administered by a Board of
Trustees under the purview of the Sec-
retary of the Interior. Governing regu-
lations are contained in 43 CFR part
29.
(d) Response actions other than re-
moval, such as scientific investigations
not in support of removal actions or
law enforcement, shall be provided by
the agency with legal responsibility
for those specific actions.
(e) The funding of a response to a
discharge from a federally operated or
supervised facility or vessel is the re-
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§ 300.400
40 CFR Ch. I (7-1-91 Edition)
sponsibility of the operating or super-
vising agency.
(f) The following agencies have
funds available for certain discharge
removal actions:
(1) EPA may provide funds to begin
timely discharge removal actions when
the OSC is an EPA representative.
(2) The USCG pollution control ef-
forts are funded under "operating ex-
penses." These funds are used in ac-
cordance with agency directives.
(3) The Department of Defense has
two specific sources of funds that may
be applicable to an oil discharge under
appropriate circumstances. This does
not consider military resources that
might be made available under specific
conditions.
(i) Funds required for removal of a
sunken vessel or similar obstruction of
navigation are available to the Corps
of Engineers through Civil Works Ap-
propriations, Operations and Mainte-
nance, General.
(ii) The U.S. Navy may conduct sal'
vage operations contingent on defense
operational commitments, when
funded by the requesting agency. Such
funding may be requested on a direct
cite basis.
(4) Pursuant to section 311(c)(2)(H)
of the CWA, the state or states affect-
ed by a discharge of oil may act where
necessary to remove such discharge
and may, pursuant to 33 CFR part
153, be reimbursed from the oil pollu-
tion fund for the reasonable costs in-
curred in such a removal.
(i) Removal by a state is necessary
within the meaning of section
311(c)(2)(H) of the CWA when the
OSC determines that the owner or op-
erator of the vessel, onshore facility,
or offshore facility from which the
discharge occurs does not effect re-
moval properly, or is unknown, and
that:
(A) State action is required to mini-
mize or mitigate significant threat(s)
to the public health or welfare or the
environment that federal action
cannot minimize or mitigate; or
(B) Removal or partial removal can
be done by the state at a cost that is
less than or not significantly greater
than the cost that would be incurred
by the federal agencies.
(ii) State removal actions must be in
compliance with the NCP in order to
qualify for reimbursement.
(iii) State removal actions are con-
sidered to be Phase III actions, de-
scribed in § 300.310, under the same
definitions applicable to federal agen-
cies.
(iv) Actions taken by local govern-
ments in support of federal discharge
removal operations are considered to
be actions of the state for purposes of
this section. The RCP and OSC con-
tingency plan shall show what funds
and resources are available from par-
ticipating agencies under various con-
ditions and cost arrangements. Inter-
agency agreements may be necessary
to specify when reimbursement is re-
quired.
Subpart E—Hazardous Substance
Response
SOURCE: 55 FR 8839, Mar. 8. 1990, unless
otherwise noted.
§ 300.400 General.
(a) This subpart establishes methods
and criteria for determining the ap-
propriate extent of response author-
ized by CERCLA:
(1) When there is a release of a haz-
ardous substance into the environ-
ment; or
(2) When there is a release into the
environment of any pollutant or con-
taminant that may present an immi-
nent and substantial danger to the
public health or welfare.
(b) Limitations on response. Unless
the lead agency determines that a re-
lease constitutes a public health or en-
vironmental emergency and no other
person with the authority and capabil-
ity to respond will do so in a timely
manner, a removal or remedial action
under section 104 of CERCLA shall
not be undertaken in response to a re-
lease:
(1) Of a naturally occurring sub-
stance in its unaltered form, or altered
solely through naturally occurring
processes or phenomena, from a loca-
tion where it is naturally found;
(2) From products that are part of
the structure of, and result in expo-
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Environmental Protection Agency
§ 300.400
sure within, residential buildings or
business or community structures; or
(3) Into public or private drinking
water supplies due to deterioration of
the system through ordinary use.
(c) Fund-financed action. In deter-
mining the need for and in planning or
undertaking Fund-financed action, the
lead agency shall, to the extent practi-
cable:
(1) Engage in prompt response;
(2) Provide for state participation in
response actions, as described in sub-
part F of this part;
(3) Conserve Fund monies by en-
couraging private party response;
(4) Be sensitive to local community
concerns;
(5) Consider using treatment tech-
nologies;
(6) Involve the Regional Response
Team (RRT) in both removal and re-
medial response actions at appropriate
decision-making stages;
(7) Encourage the involvement and
sharing of technology by industry and
other experts; and
(8) Encourage the involvement of or-
ganizations to coordinate responsible
party actions, foster site response, and
provide technical advice to the public,
federal and state governments, and in-
dustry.
(d) Entry and access. (1) For pur-
poses of determining the need for re-
sponse, or choosing or taking a re-
sponse action, or otherwise enforcing
the provisions of CERCLA, EPA, or
the appropriate federal agency, and a
state or political subdivision operating
pursuant to a contract or cooperative
agreement under CERCLA section
104(d)(l), has the authority to enter
any vessel, facility, establishment or
other place, property, or location de-
scribed in paragraph (d)(2) of this sec-
tion and conduct, complete, operate,
and maintain any response actions au-
thorized by CERCLA or these regula-
tions.
(2Xi) Under the authorities de-
scribed in paragraph (d)(l) of this sec-
tion, EPA, or the appropriate federal
agency, and a state or political subdivi-
sion operating pursuant to a contract
or cooperative agreement under
CERCLA section 104(d)(l), may enter:
(A) Any vessel, facility, establish-
ment, or other place or property
where any hazardous substance or pol-
lutant or contaminant may be or has
been generated, stored, treated, dis-
posed of, or transported from;
(B) Any vessel, facility, establish-
ment, or other place or property from
which, or to which, a hazardous sub-
stance or pollutant or contaminant
has been, or may have been, released
or where such release is or may be
threatened;
(C) Any vessel, facility, establish-
ment, or other place or property
where entry is necessary to determine
the need for response or the appropri-
ate response or to effectuate a re-
sponse action; or
(D) Any vessel, facility, establish-
ment, or other place, property, or loca-
tion adjacent to those vessels, facili-
ties, establishments, places, or proper-
ties described in paragraphs
(d)(2)(i)(A), (B). or (C) of this section.
(ii) Once a determination has been
made that there is a reasonable basis
to believe that there has been or may
be a release, EPA, or the appropriate
federal agency, and a state or political
subdivision operating pursuant to a
contract or cooperative agreement
under CERCLA section 104(d)(l), is
authorized to enter all vessels, facili-
ties, establishments, places, properties,
or locations specified in paragraph
(d)(2)(i) of this section, at which the
release is believed to be, and all other
vessels, facilities, establishments,
places, properties, or locations identi-
fied in paragraph (d)(2)(i) of this sec-
tion that are related to the response
or are necessary to enter in responding
to that release.
(3) The lead agency may designate
as its representative solely for the pur-
pose of access, among others, one or
more potentially responsible parties,
including representatives, employees,
agents, and contractors of such par-
ties. EPA, or the appropriate federal
agency, may exercise the authority
contained in section 104(e) of
CERCLA to obtain access for its desig-
nated representative. A potentially re-
sponsible party may only be designat-
ed as a representative of the lead
agency where that potentially respon-
sible party has agreed to conduct re-
sponse activities pursuant to an ad-
ministrative order or consent decree.
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§ 300.400
40 CFR Ch. I (7-1-91 Edition)
(4)(i) If consent is not granted under
the authorities described in paragraph
(d)(l) of this section, or if consent is
conditioned in any manner, EPA, or
the appropriate federal agency, may
issue an order pursuant- to section
104(e)(5) of CERCLA directing compli-
ance with the request for access made
under § 300.400(d)(l). EPA or the ap-
propriate federal agency may ask the
Attorney General to commence a civil
action to compel compliance with
either a request for access or an order
directing compliance,
Cii) EPA reserves the right to pro-
ceed, where appropriate, under appli-
cable authority other than CERCLA
section 104(e).
(iii) The administrative order may
direct compliance with a request to
enter or inspect any vessel, facility, es-
tablishment, place, property, or loca-
tion described in paragraph (d)(2) of
this section.
(iv) Each order shall contain:
(A) A determination by EPA, or the
appropriate federal agency, that it is
reasonable to believe that there may
be or has been a release or threat of a
release of a hazardous substance or
pollutant or contaminant and a state-
ment of the facts upon which the de-
termination is based;
(B) A description, in light of
CERCLA response authorities, of the
purpose and estimated scope and dura-
tion of the entry, including a descrip-
tion of the specific anticipated activi-
ties to be conducted pursuant to the
order;
(C) A provision advising the person
who failed to consent that an officer
or employee of the agency that issued
the order will be available to confer
with respondent prior to effective date
of the order; and
(D) A provision advising the person
who failed to consent that a court may
impose a penalty of up to $25,000 per
day for unreasonable failure to comply
with the order.
(v) Orders shall be served upon the
person or responsible party who failed
to consent prior to their effective date.
Force shall not be used to compel com-
pliance with an order.
(vi) Orders may not be issued for
any criminal investigations.
(e) Permit requirements. (1) No fed-
eral, state, or local permits are re-
quired for on-site response actions
conducted pursuant to CERCLA sec-
tions 104, 106, 120, 121, or 122. The
term on-site means the areal extent of
contamination and all suitable areas in
very close proximity to the contamina-
tion necessary for implementation of
the response action.
(2) Permits, if required, shall be ob-
tained for all response activities con-
ducted off-site.
(f) Health assessments. Health as-
sessments shall be performed by
ATSDR at facilities on or proposed to
be listed on the NPL and may be per-
formed at other releases or facilities in
response to petitions made to ATSDR.
Where available, these health assess-
ments may be used by the lead agency
to assist in determining whether re-
sponse actions should be taken and/or
to identify the need for additional
studies to assist in the assessment of
potential human health effects associ-
ated with releases or potential releases
of hazardous substances.
(g) Identification of applicable or
relevant and appropriate require-
ments. (1) The lead and support agen-
cies shall identify requirements appli-
cable to the release or remedial action
contemplated based upon an objective
determination of whether the require-
ment specifically addresses a hazard-
ous substance, pollutant, contaminant,
remedial action, location, or other cir-
cumstance found at a CERCLA site.
(2) If, based upon paragraph (g)(l)
of this section, it is determined that a
requirement is not applicable to a spe-
cific release, the requirement may still
be relevant and appropriate to the cir-
cumstances of the release. In evaluat-
ing relevance and appropriateness, the
factors in paragraphs (g)(2)(i) through
(viii) of this section shall be examined,
where pertinent, to determine wheth-
er a requirement addresses problems
or situations sufficiently similar to the
circumstances of the release or reme-
dial action contemplated, and whether
the requirement is well-suited to the
site, and therefore is both relevant
and appropriate. The pertinence of
each of the following factors will
depend, in part, on whether a require-
ment addresses a chemical, location, or
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Environmental Protection Agency
§300.400
action. The following comparisons
shall be made, where pertinent, to de-
termine relevance and appropriate-
ness:
(i) The purpose of the requirement
and the purpose of the CERCLA
action;
(ii) The medium regulated or affect-
ed by the requirement and the
medium contaminated or affected at
the CERCLA site;
(iii) The substances regulated by the
requirement and the substances found
at the CERCLA site;
(iv) The actions or activities regulat-
ed by the requirement and the remedi-
al action contemplated at the
CERCLA site;
(v) Any variances, waivers, or exemp-
tions of the requirement and their
availability for the circumstances at
the CERCLA site;
(vi) The type of place regulated and
the type of place affected by the re-
lease or CERCLA action;
(vii) The type and size of structure
or facility regulated and the type and
size of structure or facility affected by
the release or contemplated by the
CERCLA action;
(viii) Any consideration of use or po-
tential use of affected resources in the
requirement and the use or potential
use of the affected resource at the
CERCLA site.
(3) In addition to applicable or rele-
vant and appropriate requirements,
the lead and support agencies may, as
appropriate, identify other advisories,
criteria, or guidance to be considered
for a particular release. The "to be
considered" (TBC) category consists of
advisories, criteria, or guidance that
were developed by EPA. other federal
agencies, or states that may be useful
in developing CERCLA remedies.
(4) Only those state standards that
are promulgated, are identified by the
state in a timely manner, and are more
stringent than federal requirements
may be applicable or relevant and ap-
propriate. For purposes of identifica-
tion and notification of promulgated
state standards, the term promulgated
means that the standards are of gener-
al applicability and are legally en-
forceable.
(5) The lead agency and support
agency shall identify their specific re-
quirements that are applicable or rele-
vant and appropriate for a particular
site. These agencies shall notify each
other, in a timely manner as described
in § 300.515(d). of the requirements
they have determined to be applicable
or relevant and appropriate. When
identifying a requirement as an
ARAR, the lead agency and support
agency shall include a citation to the
statute or regulation from which the
requirement is derived.
(6) Notification of ARARs shall be
according to procedures and time-
frames specified in I 300.515 (d)(2) and
(h) Oversight The lead agency may
provide oversight for actions taken by
potentially responsible parties to
ensure that a response is conducted
consistent with this part. The lead
agency may also monitor the actions
of third parties preauthorized under
subpart H of this part. EPA will pro-
vide oversight when the response is
pursuant to an EPA order or federal
consent decree.
(i) Other. (1) This subpart does not
establish any preconditions to enforce-
ment action by either the federal or
state governments to compel response
actions by potentially responsible par-
ties.
(2) While much of this subpart is
oriented toward federally funded re-
sponse actions, this subpart may be
used as guidance concerning methods
and criteria for response actions by
other parties under other funding
mechanisms. Except as provided in
subpart H of this part, nothing in this
part is intended to limit the rights of
any person to seek recovery of re-
sponse costs from responsible parties
pursuant to CERCLA section 107.
(3) Activities by the federal and
state governments In implementing
this subpart are discretionary govern-
mental functions. This subpart does
not create in any private party a right
to federal response or enforcement
action. This subpart does not create
any duty of the .federal government to
take any response action at any par-
ticular time.
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§ 300.405
40 CFR Ch. I (7-1-91 Edition)
§ 300.405 Discovery or notification.
(a) A release may be discovered
through:
(DA report submitted in accordance
with section 103(a) of CERCLA, i.e.,
reportable quantities codified at 40
CFR part 302;
(2) A report submitted to EPA hr ac-
cordance with section 103(c) of
CERCLA;
(3) Investigation by government au-
thorities conducted in accordance with
section 104(e) of CERCLA or other
statutory authority;
(4) Notification of a release by a fed-
eral or state permit holder when re-
quired by its permit;
(5) Inventory or survey efforts or
random or incidental observation re-
ported by government agencies or the
public;
(6) Submission of a citizen petition
to EPA or the appropriate federal fa-
cility requesting a preliminary assess-
ment, in accordance with section
105(d) of CERCLA; and
(7) Other sources.
(b) Any person in charge of a vessel
or a facility shall report releases as de-
scribed in paragraph (a)(l) of this sec-
tion to the National Response Center
(NRC). If direct reporting to the NRC
is not practicable, reports may be
made to the United States Coast
Guard (USCG) on-scene coordinator
(OSC) for the geographic area where
the release occurs. The EPA predesig-
nated OSC may also be contacted
through the regional 24-hour emer-
gency response telephone number. All
such reports shall be promptly relayed
to the NRC. If it is not possible to
notify the NRC or predesignated OSC
immediately, reports may be made im-
mediately to the nearest USCG unit.
In any event, such person in charge of
the vessel or facility shall notify the
NRC as soon as possible.
(c) All other reports of releases de-
scribed under paragraph (a) of this
section, except releases reported under
paragraphs (a) (2) and (6) of this sec-
tion, shall, as appropriate, be made to
the NRC.
(d) The NRC will generally need in-
formation that will help to character-
ize the release. This will include, but
not be limited to: Location of the re-
lease; type(s) of material(s) released;
an estimate of the quantity of materi-
al released; possible source of the re-
lease; and date and time of the release.
Reporting under paragraphs (b) and
(c) of this section shall not be delayed
due to incomplete notification infor-
mation.
(e) Upon receipt of a notification of
a release, the NRC shall promptly
notify the appropriate OSC. The OSC
shall notify the Governor, or designee,
of the state affected by the release.
(f)(l) When the OSC is notified of a
release that may require response pur-
suant to § 300.415(b), a removal site
evaluation shall, as appropriate, be
promptly undertaken pursuant to
§ 300.410.
(2) When notification indicates that
removal action pursuant to
§ 300.415(b) is not required, a remedial
site evaluation shall, if appropriate, be
undertaken by the lead agency pursu-
ant to § 300.420, if one has not already
been performed.
(3) If radioactive substances are
present in a release, the EPA Radio-
logical Response Coordinator should
be notified for evaluation and assist-
ance, consistent with §§ 300.130(f) and
300.145(f).
(g) Release notification made to the
NRC under this section does not re-
lieve the owner/operator of a facility
from any obligations to which it is
subject under SARA Title III or state
law. In particular, it does not relieve
the owner/operator from the require-
ments of section 304 of SARA Title III
and 40 CFR part 355 and § 300.215(f)
of this part for notifying the commu-
nity emergency coordinator for the ap-
propriate local emergency planning
committee of all affected areas and
the state emergency response commis-
sion of any state affected that there
has been a release. Federal agencies
are not legally obligated to comply
with the requirements of Title III of
SARA.
§ 300.410 Removal site evaluation.
(a) A removal site evaluation in-
cludes a removal preliminary assess-
ment and, if warranted, a removal site
inspection.
(b) A removal site evaluation of a re-
lease identified for possible CERCLA
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Environmental Protection Agency
§300.415
response pursuant to § 300.415 shall,
as appropriate, be undertaken by the
lead agency as promptly as possible.
The lead agency may perform a re-
moval preliminary assessment in re-
sponse to petitions submitted by a
person who is, or may be, affected by a
release of a hazardous substance, pol-
lutant, or contaminant pursuant to
§ 300.420(b)(5).
(c)(l) The lead agency shall, as ap-
propriate, base the removal prelimi-
nary assessment on readily available
information. A removal preliminary
assessment may include, but is not lim-
ited to:
(i) Identification of the source and
nature of the release or threat of re-
lease;
(ii) Evaluation by ATSDR or by
other sources, for example, state
public health agencies, of the threat
to public health;
(iii) Evaluation of the magnitude of
the threat;
(iv) Evaluation of factors necessary
to make the determination of whether
a removal is necessary; and
(v) Determination of whether a non-
federal party is undertaking proper re-
sponse.
(2) A removal preliminary assess-
ment of releases from hazardous waste
management facilities may include col-
lection or review of data such as site
management practices, information
from generators, photographs, analy-
sis of historical photographs, litera-
ture searches, and personal interviews
conducted, as appropriate.
(d) A removal site inspection may be
performed if more information is
needed. Such inspection may include a
perimeter (i.e., off-site) or on-site in-
spection, taking into consideration
whether such inspection can be per-
formed safely.
(e) A removal site evaluation shall be
terminated when the OSC or lead
agency determines:
(1) There is no release;
(2) The source is neither a vessel nor
a facility as defined in § 300.5 of the
NCP;
(3) The release involves neither a
hazardous substance, nor a pollutant
or contaminant that may present an
imminent and substantial danger to
public health or welfare;
(4) Trie release consists of a situa-
tion specified in 5 300.400(b)(l)
through (3) subject to limitations on
response;
(5) The amount, quantity, or concen-
tration released does not warrant fed-
eral response;
(6) A party responsible for the re-
lease, or any other person, is providing
appropriate response, and on-scene
monitoring by the government is not
required; or
(7) The removal site evaluation is
completed.
(f) The results of the removal site
evaluation shall be documented.
(g) If natural resources are or may
be injured by the release, the OSC or
lead agency shall ensure that state
and federal trustees of the affected
natural resources are promptly noti-
fied in order that the trustees may ini-
tiate appropriate actions, including
those identified in subpart G of this
'part. The OSC or lead agency shall
seek to coordinate necessary assess-
ments, evaluations, investigations, and
planning with such state and federal
trustees.
(h) If the removal site evaluation in-
dicates that removal action under
§ 300.415 is not required, but that re-
medial action under § 300.430 may be
necessary, the lead agency shall, as ap-
propriate, initiate a remedial site eval-
uation pursuant to § 300.420.
§ 300.415 Removal action.
(aXI) In determining the appropri-
ate extent of action to be taken in re-
sponse to a given release, the lead
agency shall first review the removal
site evaluation, any information pro-
duced through a remedial site evalua-
tion, if any has been done previously,
and the current site conditions, to de-
termine if removal action is appropri-
ate.
(2) Where the responsible parties
are known, an effort initially shall be
made, to the extent practicable, to de-
termine whether they can and will
perform the necessary removal action
promptly and properly.
(3) This section does not apply to re-
moval actions taken pursuant to sec-
tion 104(b) of CERCLA. The criteria
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§300.415
40 CFR Ch. ! (7-1-91 Edition)
for such actions are set forth in sec-
tion 104(b) of CERCLA.
(b)(l) At any release, regardless of
whether the site is included on the Na-
tional Priorities List, where the lead
agency makes the determination,
based on the factors in paragraph
(b)(2) of this section, that there is a
threat to public health or welfare or
the environment, the lead agency may
take any appropriate removal action
to abate, prevent, minimize, stabilize,
mitigate, or eliminate the release or
the threat of release.
(2) The following factors shall be
considered in determining the appro-
priateness of a removal action pursu-
ant to this section:
(i) Actual or potential exposure to
nearby human populations, animals,
or the food chain from hazardous sub-
stances or pollutants or contaminants;
(ii) Actual or potential contamina-
tion of drinking water supplies or sen-
sitive ecosystems;
(iii) Hazardous substances or pollut-
ants or contaminants in drums, bar-
rels, tanks, or other bulk storage con-
tainers, that may pose a threat of re-
lease;
(iv) High levels of hazardous sub-
stances or pollutants or contaminants
in soils largely at or near the surface,
that may migrate;
(v) Weather conditions that may
cause hazardous substances or pollut-
ants or contaminants to migrate or be
released;
(vi) Threat of fire or explosion;
(vii) The availability of other appro-
priate federal or state response mecha-
nisms to respond to the release; and
(viii) Other situations or factors that
may pose threats to public health or
welfare or the environment.
(3) If the lead agency determines
that a removal action is appropriate,
actions shall, as appropriate, begin as
soon as possible to abate, prevent, min-
imize, stabilize, mitigate, or eliminate
the threat to public health or welfare
or the environment. The lead agency
shall, at the earliest possible time, also
make any necessary determinations
pursuant to paragraph (b)(4) of this
section.
(4) Whenever a planning period of at
least six months exists before on-site
activities must be initiated, and the
lead agency determines, based on a
site evaluation, that a removal action
is appropriate:
(i) The lead agency shall conduct an
engineering evaluation/cost analysis
(EE/CA) or its equivalent. The EE/CA
is an analysis of removal alternatives
for a site.
(ii) If environmental samples are to
be collected, the lead agency shall de-
velop sampling and analysis plans that
shall provide a process for obtaining
data of sufficient quality and quantity
to satisfy data needs. Sampling and
analysis plans shall be reviewed and
approved by EPA. The sampling and
analysis plans shall consist of two
parts:
(A) The field sampling plan, which
describes the number, type, and loca-
tion of samples and the type of analy-
ses; and
(B) The quality assurance project
plan, which describes policy, organiza-
tion, and functional activities and the
data quality objectives and measures
necessary to achieve adequate data for
use in planning and documenting the
removal action.
(5) Fund-financed removal actions.
other than those authorized under
section 104(b) of CERCLA, shall be
terminated after S2 million has been
obligated for the action or 12 months
have elapsed from the date that re-
moval activities begin on-site, unless
the lead agency determines that:
(i) There is an immediate risk to
public health or welfare or the envi-
ronment; continued response actions
are immediately required to prevent.
limit, or mitigate an emergency; and
such assistance will not otherwise be
provided on a timely basis; or
(ii) Continued response action is oth-
erwise appropriate and consistent with
the remedial action to be taken.
(c) Removal actions shall, to the
extent practicable, contribute to the
efficient performance of any anticipat-
ed long-term remedial action with re-
spect to the release concerned.
(d) The following removal actions
are, as a general rule, appropriate in
the types of situations shown; howev-
er, this list is not exhaustive and is not
intended to prevent the lead agency
from taJdng any other actions deemed
necessary under CERCLA or other ap-
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Environmental Protection Agency
§300.415
propriate federal or state enforcement
or response authorities, and the list
does not create a duty on the lead
agency to take action at any particular
time:
(1) Fences, warning signs, or other
security or site control precautions—
where humans or animals have access
to the release;
(2) Drainage controls, for example,
run-off or run-on diversion—where
needed to reduce migration of hazard-
ous substances or pollutants or con-
taminants off-site or to prevent pre-
cipitation or run-off from other
sources, for example, flooding, from
entering the release area from other
areas;
(3) Stabilization of berms, dikes, or
impoundments or drainage or closing
of lagoons—where needed to maintain
the integrity of the structures;
(4) Capping of contaminated soils or
sludges—where needed to reduce mi-
gration of hazardous substances or
pollutants or contaminants into soil,
ground or surface water, or air;
(5) Using chemicals and other mate-
rials to retard the spread of the re-
lease or to mitigate its effects—where
the use of such chemicals will reduce
the spread of the release;
(6) Excavation, consolidation, or re-
moval of highly contaminated soils
from drainage or other areas—where
such actions will reduce the spread of,
or direct contact with, the contamina-
tion;
(7) Removal of drums, barrels, tanks,
or other bulk containers that contain
or may contain hazardous substances
or pollutants or contaminants—where
it will reduce the likelihood of spillage;
leakage; exposure to humans, animals,
or food chain; or fire or explosion;
(8) Containment, treatment, dispos-
al, or incineration of hazardous mate-
rials—where needed to reduce the like-
lihood of human, animal, or food
chain exposure; or
(9) Provision of alternative water
supply—where necessary immediately
to reduce exposure to contaminated
household water and continuing until
such time as local authorities can sat-
isfy the need for a permanent remedy.
(e) Where necessary to protect
public health or welfare, the lead
agency shall request that FEMA con-
duct a temporary relocation or that
state/local officials conduct an evacu-
ation.
(f) If the lead agency determines
that the removal action will not fully
address the threat posed by the re-
lease and the release may require re-
medial action, the lead agency shall
ensure an orderly transition from re-
moval to remedial response activities.
(g) Removal actions conducted by
states under cooperative agreements.
described in subpart F of this part,
shall comply with all requirements of
this section.
• (h) Facilities operated by a state or
political subdivision at the time of dis-
posal require a state cost share of at
least 50 percent of Fund-financed re-
sponse costs if a Fund-financed reme-
dial action is conducted.
(i) Fund-financed removal actions
under CERCLA section 104 and re-
moval actions pursuant to CERCLA
section 106 shall, to the extent practi-
cable considering the exigencies of the
situation, attain applicable or relevant
and appropriate requirements under
federal environmental or state envi-
ronmental or facility siting laws. Waiv-
ers described in § 300.430(f)U)(ii)(C)
may be used for removal actions.
Other federal and state advisories, cri-
teria, or guidance may, as appropriate,
be considered in formulating the re-
moval action (see § 300.400(g)(3)). In
determining whether compliance with
ARARs is practicable, the lead agency
may consider appropriate factors, in-
cluding:
(1) The urgency of the situation; and
(2) The scope of the removal action
to be conducted.
(j) Removal actions pursuant to sec-
tion 106 or 122 of CERCLA are not
subject to the following requirements
of this section:
(1) Section 300.415(a)(2) require-
ment to locate responsible parties and
have them undertake the response;
(2) Section 300.415(b)(2)(vii) require-
ment to consider the availability of
other appropriate federal or state re-
sponse and enforcement mechanisms
to respond to the release;
(3) Section 300.415(b)(5) require-
ment to terminate response after $2
million has been obligated or 12
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§300.415
40 CFR Ch. I (7-1-91 Edition)
months have elapsed from the date of
the initial response; and
(4) Section 300.415(f) requirement to
assure an orderly transition from re-
moval to remedial action.
(k) To the extent practicable, provi-
sion for post-removal site control fol-
lowing a Fund-financed removal action
at both NPL and non-NPL sites is en-
couraged to be made prior to the initi-
ation of the removal action. Such post-
removal site control includes actions
necessary to ensure the effectiveness
and integrity of the removal action
after the completion of the on-site re-
moval action or after the $2 million or
12-month statutory limits are reached
for sites that do not meet the exemp-
tion criteria in paragraph (b)(5) of this
section. Post-removal site control may
be conducted by:
(1) The affected state or political
subdivision thereof or local units of
government for any removal;
(2) Potentially responsible parties;
or
(3) EPA's remedial program for some
federal-lead Fund-financed responses
at NPL sites.
(1) OSCs/RPMs conducting removal
actions shall submit OSC reports to
the RRT as required by § 300.165.
(m) Community relations in removal
actions. (1) In the case of all removal
actions taken pursuant to § 300.415 or
CERCLA enforcement actions to
compel removal response, a spokesper-
son shall be designated by the lead
agency. The spokesperson shall inform
the community of actions taken, re-
spond to inquiries, and provide infor-
mation concerning the release. All
news releases or statements made by-
participating agencies shall be coordi-
nated with the OSC/RPM. The
spokesperson shall notify, at a mini-
mum, immediately affected citizens,
state and local officials, and, when ap-
propriate, civil defense or emergency
management agencies.
(2) For actions where, based on the
site evaluation, the lead agency deter-
mines that a removal is appropriate,
and that less than six months exists
before on-site removal activity must
begin, the lead agency shall:
(i) Publish a notice of availability of
the administrative record file estab-
lished pursuant to § 300.820 in a major
local newspaper of general circulation
within 60 days of initiation of on-site
removal activity;
(ii) Provide a public comment period,
as appropriate, of not less than 30
days from the time the administrative
record file is made available for public
inspection, pursuant to § 300.820(b)(2);
and
(iii) Prepare a written response to
significant comments pursuant to
§ 300.820(b)(3).
(3) For removal actions where on-
site action is expected to extend
beyond 120 days from the initiation of
on-site removal activities, the lead
agency shall by the end of the 120-day
period:
(i) Conduct interviews with local of-
ficials, community residents, public in-
terest groups, or other interested or
affected parties, as appropriate, to so-
licit their concerns, information needs,
and how or when citizens would like to
be involved in the Superfund process;
(ii) Prepare a formal community re-
lations plan (CRP) based on the com-
munity interviews and other relevant
information, specifying the communi-
ty relations activities that the lead
agency expects to undertake during
the response; and
(iii) Establish at least one local in-
formation repository at or near the lo-
cation of the response action. The in-
formation repository should contain
items made available for public infor-
mation. Further, an administrative
record file established pursuant to
subpart I for all removal actions shall
be available for public inspection in at
least one of the repositories. The lead
agency shall inform the public of the
establishment of the information re-
pository and provide notice of avail-
ability of the administrative record
file for public review. All items in the
repository shall be available for public
inspection and copying.
(4) Where, based on the site evalua-
tion, the lead agency determines that
a removal action is appropriate and
that a planning period of at least six
months exists prior to initiation of the
on-site removal activities, the lead
agency shall at a minimum:
(i) Comply with the requirements set
forth in paragraphs (m)(3)(i), (ii), and
(iii) of this section, prior to the com-
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Environmental Protection Agency
§ 300.420
pletion of the engineering evaluation/
cost analysis (EE/CA), or its equiva-
lent, except that the information re-
pository and the administrative record
file will be established no later than
when the EE/CA approval memoran-
dum is signed:
(ii) Publish a notice of availability
and brief description of the EE/CA in
a major local newspaper of general cir-
culation pursuant to § 300.820;
(iii) Provide a reasonable opportuni-
ty, not less than 30 calendar days, for
submission of written and oral com-
ments after completion of the EE/CA
pursuant to § 300.820(a). Upon timely
request, the lead agency will extend
the public comment period by a mini-
mum of 15 days; and
(iv) Prepare a written response to
significant comments pursuant to
§ 300.820(a).
§ 300.420 Remedial site evaluation.
(a) General The purpose of this sec-
tion is to describe the methods, proce-
dures, and criteria the lead agency
shall use to collect data, as required,
and evaluate releases of hazardous
substances, pollutants, or contami-
nants. The evaluation may consist of
two steps: a remedial preliminary as-
sessment (PA) and a remedial site in-
spection (SI).
(b) Remedial preliminary assess-
ment (1) The lead agency shall per-
form a remedial PA on all sites in
CERCLIS as defined in § 300.5 to:
(i) Eliminate from further consider-
ation those sites that pose no threat to
public health or the environment;
(ii) Determine if there is any poten-
tial need for removal action;
(iii) Set priorities for site inspec-
tions; and
(iv) Gather existing data to facilitate
later evaluation of the release pursu-
ant to the Hazard Ranking System
(HRS) if warranted.
(2) A remedial PA shall consist of a
review of existing information about a
release such as information on the
pathways of exposure, exposure tar-
gets, and source and nature of release.
A remedial PA shall also include an
off-site reconnaissance as appropriate.
A.remedial PA may include an on-site
reconnaissance where appropriate.
(3) If the remedial PA indicates that
a removal action may be warranted,
the lead agency shall initiate removal
evaluation pursuant to § 300.410.
(4) In performing a remedial PA, the
lead agency may complete the EPA
Preliminary Assessment form, avail-
able from EPA regional offices, or its
equivalent, and shall prepare a PA
report, which shall include:
(i) A description of the release;
(n) A description of the probable
nature of the release; and
(iii) A recommendation on whether
further action is warranted, which
lead agency should conduct further
action, and whether an SI or removal
action or both should be undertaken.
(5) Any person may petition the lead
federal agency (EPA or the appropri-
ate federal agency in the case of a re-
lease or suspected release from a fed-
eral facility), to perform a PA of a re-
lease when such person is, or may be,
affected by a release of a hazardous
'substance, pollutant, or contaminant.
Such petitions shall be addressed to
the EPA Regional Administrator for
the region in which the release is lo-
cated, except that petitions for PAs in-
volving federal facilities should be ad-
dressed to the head of the appropriate
federal agency.
(i) Petitions shall be signed by the
petitioner and shall contain the fol-
lowing:
(A) The full name, address, and
phone number of petitioner;
(B) A description, as precisely as pos-
sible, of the location of the release;
and
(C) How the petitioner is or may be
affected by the release.
(ii) Petitions should also contain the
following information to the extent
available:
(A) What type of substances were or
may be released;
(B) The nature of activities that
have occurred where the release is lo-
cated; and
(C) Whether local and state authori-
ties have been contacted about the re-
lease.
(iii) The lead federal agency shall
complete a remedial or removal PA
within one year of the date of receipt
of a complete petition pursuant to
paragraph (b)(5) of this section, if one
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§ 300.425
40 CFR Ch. I (7-1-91 Edition)
has not been performed previously,
unless the lead federal agency deter-
mines that a PA is not appropriate.
Where such a determination is made,
the lead federal agency shall notify
the petitioner and will provide a
reason for the determination.
(iv) When determining if perform-
ance of a PA is appropriate, the lead
federal agency shall take into consid-
eration:
(A) Whether there is information in-
dicating that a release has occurred or
there is a threat of a release of a haz-
ardous substance, pollutant, or con-
taminant; and
(B) Whether the release is eligible
for response under CERCLA.
(c) Remedial site inspection. (1) The
lead agency shall perform a remedial
SI as appropriate to:
(i) Eliminate from further consider-
ation those releases that pose no sig-
nificant threat to public health or the
environment;
(ii) Determine the potential need for
removal action;
(iii) Collect or develop additional
data, as appropriate, to evaluate the
release pursuant to the HRS; and
(iv) Collect data in addition to that
required to score the release pursuant
to the HRS, as appropriate, to better
characterize the release for more ef-
fective and rapid initiation of the RI/
FS or response under other authori-
ties.
(2) The remedial SI shall build upon
the information collected in the reme-
dial PA. The remedial SI shall involve,
as appropriate, both on- and off-site
field investigatory efforts, and sam-
pling.
(3) If the remedial SI indicates that
removal action may be appropriate,
the lead agency shall initiate removal
site evaluation pursuant to § 300.410.
(4) Prior to conducting field sam-
pling as part of site inspections, the
lead agency shall develop sampling
and analysis plans that shall provide a
process for obtaining data of sufficient
quality and quantity to satisfy data
needs. The sampling and analysis
plans shall consist of two parts:
(i) The field sampling plan, which
describes the number, type, and loca-
tion of samples, and the type of analy-
ses, and
(ii) The quality assurance project
plan (QAPP), which describes policy,
organization, and functional activities,
and the data quality objectives and
measures necessary to achieve ade-
quate data for use in site evaluation
and hazard ranking system activities.
(5) Upon completion of a remedial
SI, the lead agency shall prepare a
report that includes the following:
(i) A description/history/nature of
waste handling;
(ii) A description of known contami-
nants;
(iii) A description of pathways of mi-
gration of contaminants;
(iv) An identification and description
of human and environmental targets;
and
(v) A recommendation on whether
further action is warranted.
§ 300.425 Establishing remedial priorities.
(a) General The purpose of this sec-
tion is to identify the criteria as well
as the methods and procedures EPA
uses to establish its priorities for re-
medial actions.
(b) National Priorities List. The
NPL is the list of priority releases for
long-term remedial evaluation and re-
sponse.
(1) Only those releases included on
the NPL shall be considered eligible
for Fund-financed remedial action. Re-
moval actions (including remedial
planning activities, RI/FSs, and other
actions taken pursuant to CERCLA
section 104(b)) are not limited to NPL
sites.
(2) Inclusion of a release on the NPL
does not imply that monies will be ex-
pended, nor does the rank of a release
on the NPL establish the precise prior-
ities for the allocation of Fund re-
sources. EPA may also pursue other
appropriate authorities to remedy the
release, including enforcement actions
under CERCLA and other laws. A
site's rank on the NPL serves, along
with other factors, including enforce-
ment actions, as a basis to guide the
allocation of Fund resources among re-
leases.
(3) Federal facilities that meet the
criteria identified in paragraph (c) of
this section are eligible for inclusion
on the NPL. Except as provided by
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Environmental Protection Agency
§300.425
CERCLA sections lll(e)(3) and lll(c),
federal facilities are not eligible for
Fund-financed remedial actions.
(4) Inclusion on the NPL is not a
precondition to action by the lead
agency under CERCLA sections 106 or
122 or to action under CERCLA sec-
tion 107 for recovery of non-Fund-fi-
nanced costs or Fund-financed costs
other than Fund-financed remedial
construction costs.
(c) Methods for determining eligibil-
ity for NPL. A release may be included
on the NPL if the release meets one of
the following criteria:
(1) The release scores sufficiently
high pursuant to the Hazard Ranking
System described in Appendix A to
this part.
(2) A state (not including Indian
tribes) has designated a release as its
highest priority. States may make
only one such designation; or
(3) The release satisfies all of the
following criteria:
(i) The Agency for Toxic Substances
and Disease Registry has issued a
health advisory that recommends dis-
sociation of individuals from the re-
lease;
(ii) EPA determines that the release
poses a significant threat to public
health; and
(iii) EPA anticipates that it will be
more cost-effective to use its remedial
authority than to use removal author-
ity to respond to the release.
(d) Procedures for placing sites on
the NPL. Lead agencies may submit
candidates to EPA by scoring the re-
lease using the HRS and providing the
appropriate backup documentation.
(1) Lead agencies may submit HRS
scoring packages to EPA anytime
throughout the year.
(2) EPA shall review lead agencies'
HRS scoring packages and revise them
as appropriate. EPA shall develop any
additional HRS scoring packages on
releases known to EPA.
(3) EPA shall compile the NPL based
on the methods identified in para-
graph (c) of this section.
(4) EPA shall update the NPL at
least once a year.
(5) To ensure public involvement
during the proposal to add a release to
the NPL, EPA shall:
(i) Publish the proposed rule in the
FEDERAL REGISTER and solicit com-
ments through a public comment
period; and
(ii) Publish the final rule in the FED-
ERAL REGISTER, and make available a
response to each significant comment
and any significant new data submit-
ted during the comment period.
(6) Releases may be categorized on
the NPL when deemed appropriate by
EPA.
(e) Deletion from the NPL. Releases
may be deleted from or recategorized
on the NPL where no further response
is appropriate.
(1) EPA shall consult with the state
on proposed deletions from the NPL
prior to developing the notice of
intent to delete. In making a determi-
nation to delete a release from the
NPL, EPA shall consider, in consulta-
tion with the state, whether any of
the following criteria has been met:
(i) Responsible parties or other per-
sons have implemented all appropriate
response actions required;
(ii) All appropriate Fund-financed
response under CERCLA has been im-
plemented, and no further response
action by responsible parties is appro-
priate; or
(iii) The remedial investigation has
shown that the release poses no signif-
icant threat to public health or the en-
vironment and, therefore, taking of re-
medial measures is not appropriate.
(2) Releases shall not be deleted
from the NPL until the state in which
the release was located has concurred
on the proposed deletion. EPA shall
provide the state 30 working days for
review of the deletion notice prior to
its publication in the FEDERAL REGIS-
TER.
(3) All releases deleted from the
NPL are eligible for further Fund-fi-
nanced remedial actions should future
conditions warrant such action. When-
ever there is a significant release from
a site deleted from the NPL, the site
shall be restored to the NPL without
application of the HRS.
(4) To ensure public involvement
during the proposal to delete a release
from the NPL, EPA shall:
(i) Publish a notice of intent to
delete in the FEDERAL REGISTER and so-
licit comment through a public com-
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§ 300.430
40 CFR Ch. I (7-1-91 Edition)
ment period of a minimum of 30 calen-
dar days;
(ii) In a major local newspaper of
general circulation at or near the re-
lease that is proposed for deletion,
publish a notice of availability of the
notice of intent to delete;
(iii) Place copies of information sup-
porting the proposed deletion in the
information repository, described in
§ 300.430(c)(2Xiii). at or near the re-
lease proposed for deletion. These
items shall be available for public in-
spection and copying; and
(iv) Respond to each significant com-
ment and any significant new data
submitted during the comment period
and include this response document in
the final deletion package.
(5) EPA shall place the final deletion
package in the local information re-
pository once the notice of final dele-
tion has been published in the FEDERAL
REGISTER.
§300.430 Remedial investigation/feasibilf-
ty study and selection of remedy.
(a) General—(1) Introduction. The
purpose of the remedy selection proc-
ess is to implement remedies that
eliminate, reduce, or control risks to
human health and the environment.
Remedial actions are to be implement-
ed as soon as site data and information
make it possible to do so. Accordingly,
EPA has established the following pro-
gram goal, expectations, and program
management principles to assist in the
identification and implementation of
appropriate remedial actions.
(i) Program goal. The national goal
of the remedy selection process is to
select remedies that are protective of
human health and the environment,
that maintain protection over time,
and that minimize untreated waste.
(ii) Program management principles.
EPA generally shall consider the fol-
lowing general principles of program
management during the remedial
process:
(A) Sites should generally be remedi-
ated in operable units when early ac-
tions are necessary or appropriate to
achieve significant risk reduction
quickly, when phased analysis and re-
sponse is necessary or appropriate
given the size or complexity of the
site, or to expedite the completion of
total site cleanup.
(B) Operable units, including inter-
im action operable units, should not be
inconsistent with nor preclude imple-
mentation of the expected final
remedy.
(C) Site-specific data needs, the eval-
uation of alternatives, and the docu-
mentation of the selected remedy
should reflect the scope and complex-
ity of the site problems being ad-
dressed.
(iii) Expectations. EPA generally
shall consider the following expecta-
tions in developing appropriate reme-
dial alternatives:
(A) EPA expects to use treatment to
address the principal threats posed by
a site, wherever practicable. Principal
threats for which treatment is most
likely to be appropriate include liq-
uids, areas contaminated with high
concentrations of toxic compounds,
and highly mobile materials.
(B) EPA expects to use engineering
controls, such as containment, for
waste that poses a relatively low long-
term threat or where treatment is im-
practicable.
(C) EPA expects to use a combina-
tion of methods, as appropriate, to
achieve protection of human health
and the environment. In appropriate
site situations, treatment of the princi-
pal threats posed by a site, with priori-
ty placed on treating waste that is
liquid, highly toxic or highly mobile,
will be combined with engineering con-
trols (such as containment) and insti-
tutional controls, as appropriate, for
treatment residuals and untreated
waste.
(D) EPA expects to use institutional
controls such as water use and deed re-
strictions to supplement engineering
controls as appropriate for short- and
long-term management to prevent or
limit exposure to hazardous sub-
stances, pollutants, or contaminants.
Institutional controls may be used
during the conduct of the remedial in-
vestigation/feasibility study (RI/PS)
and implementation of the remedial
action and, where necessary, as a com-
ponent of the completed remedy. The
use of institutional controls shall not
substitute for active response meas-
ures (e.g., treatment and/or contain-
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Environmental Protection Agency
§300.430
ment of source material, restoration of
ground waters to their beneficial uses)
as the sole remedy unless such active
measures are determined not to be
practicable, based on the balancing of
trade-offs among alternatives that is
conducted during the selection of
remedy.
(E) EPA expects to consider using in-
novative technology when such tech-
nology offers the potential for compa-
rable or superior treatment perform-
ance or implementability, fewer or
lesser adverse impacts than other
available approaches, or lower costs
for similar levels of performance than
demonstrated technologies.
(F) EPA expects to return usable
ground waters to their beneficial uses
wherever practicable, within a time-
frame that is reasonable given the par-
ticular circumstances of the site.
When restoration of ground water to
beneficial uses is not practicable, EPA
expects to prevent further migration
of the plume, prevent exposure to the
contaminated ground water, and
evaluate further risk reduction.
(2) Remedial investigation/feasibili-
ty study. The purpose of the remedial
investigation/feasibility study (RI/FS)
is to assess site conditions and evalu-
ate alternatives to the extent neces-
sary to select a remedy. Developing
and conducting an RI/FS generally in-
cludes the following activities: project
scoping, data collection, risk assess-
ment, treatability studies, and analysis
of alternatives. The scope and timing
of these activities should be tailored to
the nature and complexity of the
problem and the response alternatives
being considered.
(b) Scoping. In implementing this
section, the lead agency should consid-
er the program goal, program manage-
ment principles, and expectations con-
tained in this rule. The investigative
and analytical studies should be tai-
lored to site circumstances so that the
scope and detail of the analysis is ap-
propriate to the complexity of site
problems being addressed. During
scoping, the lead and support agencies
shall confer to identify the optimal set
and sequence of actions necessary to
address site problems. Specifically, the
lead agency shall:
(1) Assemble and evaluate existing
data on the site, including the results
of any removal actions, remedial pre-
liminary assessment and site inspec-
tions, and the NPL listing process.
(2) Develop a conceptual under-
standing of the site based on the eval-
uation of existing data described in
paragraph (b)(l) of this section.
(3) Identify likely response scenarios
and potentially applicable technol-
ogies and operable units that may ad-
dress site problems.
(4) Undertake limited data collection
efforts or studies where this informa-
tion will assist in scoping the RI/FS or
accelerate response actions, and begin
to identify the need for treatability
studies, as appropriate.
(5) Identify the type, quality, and
quantity of the data that will be col-
lected during the RI/FS to support de-
cisions regarding remedial response ac-
tivities.
(6) Prepare site-specific health and
safety plans that shall specify, at a
minimum, employee training and pro-
tective equipment, medical surveil-
lance requirements, standard operat-
ing procedures, and a contingency
plan that conforms with 29 CFR
1910.120 (1X1) and (1X2).
(7) If natural resources are or may
be injured by the release, ensure that
state and federal trustees of the af-
fected natural resources have been no-
tified in order that the trustees may
initiate appropriate actions, including
those identified in subpart G of this
part. The lead agency shall seek to co-
ordinate necessary assessments, eval-
uations, investigations, and planning
with such state and federal trustees.
(8) Develop sampling, and analysis
plans that shall provide a process for
obtaining data of sufficient quality
and quantity to satisfy data needs.
Sampling and analysis plans shall be
reviewed and approved by EPA. The
sampling and analysis plans shall con-
sist of two parts:
(i) The field sampling plan, which
describes the number, type, and loca-
tion of samples and the type of analy-
ses; and
(ii) The quality assurance project
plan, which describes policy, organiza-
tion, and functional activities and the
data quality objectives and measures
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§ 300.430
40 CFR Ch. I (7-1-91 Edition)
necessary to achieve adequate data for
use in selecting the appropriate
remedy.
(9) Initiate the identification of po-
tential federal and state ARARs and,
as appropriate, other criteria, advisor-
ies, or guidance to be considered.
(c) Community relations. (1) The
community relations requirements de-
scribed in this section apply to all re-
medial activities undertaken pursuant
to CERCLA section 104 and to section
106 or section 122 consent orders or
decrees, or section 106 administrative
orders.
(2) The lead agency shall provide for
the conduct of the following communi-
ty relations activities, to the extent
practicable, prior to commencing field
work for the remedial investigation:
(i) Conducting interviews with local
officials, community residents, public
interest groups, or other interested or
affected parties, as appropriate, to so-
licit their concerns and information
needs, and to learn how and when citi-
zens would like to be involved in the
Superf und process.
(ii) Preparing a formal community
relations plan (CRP), based on the
community interviews and other rele-
vant information, specifying the com-
munity relations activities that the
lead agency expects to undertake
during the remedial response. The
purpose of the CRP is to:
(A) Ensure the public appropriate
opportunities for involvement in a
wide variety of site-related decisions,
including site analysis and character-
ization, alternatives analysis, and se-
lection of remedy;
(B) Determine, based on community
interviews, appropriate activities to
ensure such public involvement, and
(C) Provide appropriate opportuni-
ties for the community to learn about
the site.
(iii) Establishing at least one local
information repository at or near the
location of the response action. Each
information repository should contain
a copy of items made available to the
public, including information that de-
scribes the technical assistance grants
application process. The lead agency
shall inform interested parties of the
establishment of the information re-
pository.
(iv) Informing the community of the
availability of technical assistance
grants.
(3) For PRP actions, the lead agency
shall plan and implement the commu-
nity relations program at a site. PRPs
may participate in aspects of the com-
munity relations program at the dis-
cretion of and with oversight by the
lead agency.
(4) The lead agency may conduct
technical discussions involving PRPs
and the public. These technical discus-
sions may be held separately from, but
contemporaneously with, the negotia-
tions/settlement discussions.
(5) In addition, the following provi-
sions specifically apply to enforcement
actions:
(i) Lead agencies entering into an en-
forcement agreement with de minimis
parties under CERCLA section 122(g)
or cost recovery settlements under sec-
tion 122(h) shall publish a notice of
the proposed agreement in the FEDER-
AL REGISTER at least 30 days before the
agreement becomes final, as required
by section 122(i). The notice must
identify the name of the facility and
the parties to the proposed agreement
and must allow an opportunity for
comment and consideration of com-
ments; and
(ii) Where the enforcement agree-
ment is embodied in a consent decree,
public notice and opportunity for
public comment shall be provided in
accordance with 28 CFR 50.7.
(d) Remedial investigation. (1) The
purpose of the remedial investigation
(RI) is to collect data necessary to ade-
quately characterize the site for the
purpose of developing and evaluating
effective remedial alternatives. To
characterize the" site, the lead agency
shall, as appropriate, conduct field in-
vestigations, including treatability
studies, and conduct a baseline risk as-
sessment. The RI provides informa-
tion to assess the risks to human
health and the environment and to
support the development, evaluation,
and selection of appropriate response
alternatives. Site characterization may
be conducted in one or more phases to
focus sampling efforts and increase
the efficiency of the investigation. Be-
cause estimates of actual or potential
exposures and associated impacts on
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Environmental Protection Agency
§ 300.430
human and environmental receptors
may be refined throughout the phases
of the RI as new information is ob-
tained, site characterization activities
should be fully integrated with the de-
velopment and evaluation of alterna-
tives in the feasibility study. Bench- or
pilot-scale treatability studies shall be
conducted, when appropriate and
practicable, to provide additional data
for the detailed analysis and to sup-
port engineering design of remedial al-
ternatives.
(2) The lead agency shall character-
ize the nature of and threat posed by
the hazardous substances and hazard-
ous materials and gather data neces-
sary to assess the extent to which the
release poses a threat to human
health or the environment or to sup-
port the analysis and design of poten-
tial response actions by conducting, as
appropriate, field investigations to
assess the following factors:
(i) Physical characteristics of the
site, including important surface fea-
tures, soils, geology, hydrogeology, me-
teorology, and ecology;
(ii) Characteristics or classifications
of air, surface water, and ground
water;
(iii) The general characteristics of
the waste, including quantities, state,
concentration, toxicity, propensity to
bioaccumulate, persistence, and mobil-
ity;
(iv) The extent to which the source
can be adequately identified and char-
acterized;
(v) Actual and potential exposure
pathways through environmental
media;
(vi) Actual and potential exposure
routes, for example, inhalation and in-
gestion; and
(vii) Other factors, such as sensitive
populations, that pertain to the char-
acterization of the site or support the
analysis of potential remedial action
alternatives.
(3) The lead and support agency
shall identify their respective poten-
tial ARARs related to the location of
and contaminants at the site in a
timely manner. The lead and support
agencies may also, as appropriate,
identify other pertinent advisories, cri-
teria, or guidance in a timely manner
(see i 300.400(g)(3)).
(4) Using the data developed under
paragraphs (d) (1) and (2) of this sec-
tion, the lead agency shall conduct a
site-specific baseline risk assessment to
characterize the current and potential
threats to human health and the envi-
ronment that may be posed by con-
taminants migrating to ground water
or surface water, releasing to air,
leaching through soil, remaining in
the soil, and bioaccumulating in the
food chain. The results of the baseline
risk assessment will help establish ac-
ceptable exposure levels for use in de-
veloping remedial alternatives in the
FS, as described in paragraph (e) of
this section.
(e) Feasibility study. (1) The pri-
mary objective of the feasibility study
(FS) is to ensure that appropriate re-
medial alternatives are developed and
evaluated such that relevant informa-
tion concerning the remedial action
options can be presented to a decision-
maker and an appropriate remedy se-
lected. The lead agency may develop a
feasibility study to address a specific
site problem or the entire site. The de-
velopment and evaluation of alterna-
tives shall reflect the scope and com-
plexity of the remedial action under
consideration and the site problems
being addressed. Development of alter-
natives shall be fully integrated with
the site characterization activities of
the remedial investigation described in
paragraph (d) of this section. The lead
agency shall include an alternatives
screening step, when needed, to select
a reasonable number of alternatives
for detailed analysis.
(2) Alternatives shall be developed
that protect human health and the en-
vironment by recycling waste or by
eliminating, reducing, and/or control-
ling risks posed through each pathway
by a site. The number and type of al-
ternatives to be analyzed shall be de-
termined at each site, taking into ac-
count the scope, characteristics, and
complexity of the site problem that is
being addressed. In developing and, as
appropriate, screening the alterna-
tives, the lead agency shall:
(i) Establish remedial action objec-
tives specifying contaminants and
media of concern, potential exposure
pathways, and remediation goals. Ini-
tially, preliminary remediation goals
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40 CFR Ch. I (7-1-91 Edition)
axe developed based on readily avail-
able information, such as chemical-
specific ARARs or other reliable infor-
mation. Preliminary remediation goals
should be modified, as necessary, as
more information becomes available
during the RI/PS. Final remediation
goals will be determined when the
remedy is selected. Remediation goals
shall establish acceptable exposure
levels that are protective of human
health and the environment and shall
be developed by considering the fol-
lowing:
(A) Applicable or relevant and ap-
propriate requirements under federal
environmental or state environmental
or facility siting laws, if available, and
the following factors:
(1) For systemic toxicants, accepta-
ble exposure levels shall represent
concentration levels to which the
human population, including sensitive
subgroups, may be exposed without
adverse effect during a lifetime or part
of a lifetime, incorporating an ade-
quate margin of safety;
(2) For known or suspected carcino-
gens, acceptable exposure levels are
generally concentration levels that
represent an excess upper bound life-
time cancer risk to an individual of be-
tween 10"4 and 10"6 using information
on the relationship between dose and
response. The 10~s risk level shall be
used as the point of departure for de-
termining remediation goals for alter-
natives when ARARs are not available
or are not sufficiently protective be-
cause of the presence of multiple con-
taminants at a site or multiple path-
ways of exposure;
(.3) Factors related to technical limi-
tations such as detection/quantifica-
tion limits for contaminants;
(.4) Factors related to uncertainty;
and
(5) Other pertinent information.
(B) Maximum contaminant level
goals (MCLGs), established under the
Safe Drinking Water Act, that are set
at levels above zero, shall be attained
by remedial actions for ground or sur-
face waters that are current or poten-
tial sources of drinking water, where
the MCLGs are relevant and appropri-
ate under the circumstances of the re-
lease based on the factors in
§ 300.400(g)(2). If an MCLG is deter-
mined not to be relevant and appropri-
ate, the corresponding maximum con-
taminant level (MCL) shall be at-
tained where relevant and appropriate
to the circumstances of the release.
(C) Where the MCLG for a contami-
nant has been set at a level of zero,
the MCL promulgated for that con-
taminant under the Safe Drinking
Water Act shall be attained by remedi-
al actions for ground or surface waters
that are current or potential sources
of drinking water, where the MCL is
relevant and appropriate under the
circumstances of the release based on
the factors in § 300.400(g)(2).
(D) In cases involving multiple con-
taminants or pathways where attain-
ment of chemical-specific ARARs will
result, in cumulative risk in excess of
10~*, criteria in paragraph (e)(2)(i)(A)
of this section may also be considered
when determining the cleanup level to
be attained.
(E) Water quality criteria estab-
lished under sections 303 or 304 of the
Clean Water Act shall be attained
where relevant and appropriate under
the circumstances of the release.
(F) An alternate concentration limit
(ACL) may be established in accord-
ance with CERCLA section
(G) Environmental evaluations shall
be performed to assess threats to the
environment, especially sensitive habi-
tats and critical habitats of species
protected under the Endangered Spe-
cies Act.
(ii) Identify and evaluate potentially
suitable technologies, including inno-
vative technologies;
(iii) Assemble suitable technologies
into alternative remedial actions.
(3) For source control actions, the
lead agency shall develop, as appropri-
ate:
(i) A range of alternatives in which
treatment that reduces the toxicity,
mobility, or volume of the hazardous
substances, pollutants, or contami-
nants is a principal element. As appro-
priate, this range shall include an al-
ternative that removes or destroys
hazardous substances, pollutants, or
contaminants to the maximum extent
feasible, eliminating or minimizing, to
the degree possible, the need for long-
term management. The lead agency
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§300.430
also shall develop, as appropriate,
other alternatives which, at a mini-
mum, treat the principal threats posed
by the site but vary In the degree of
treatment employed and the quanti-
ties and characteristics of the treat-
ment residuals and untreated waste
that must be managed; and
(ii) One or more alternatives that in-
volve little or no treatment, but pro-
vide protection of human health and
the environment primarily by prevent-
ing or controlling exposure to hazard-
ous substances, pollutants, or contami-
nants, through engineering controls,
for example, containment, and, as nec-
essary, institutional controls to protect
human health and the environment
and to assure continued effectiveness
of the response action.
(4) For ground-water response ac-
tions, the lead agency shall develop a
limited number of remedial alterna-
tives that attain site-specific remedi-
ation levels within different restora-
tion time periods utilizing one or more
different technologies.
(5) The lead agency shall develop
one or more innovative treatment
technologies for further consideration
if those technologies offer the poten-
tial for comparable or superior per-
formance or implementability; fewer
or lesser adverse impacts than other
available approaches; or lower costs
for similar levels of performance than
demonstrated treatment technologies.
(6) The no-action alternative, which
may be no further action if some re-
moval or remedial action has already
occurred at the site, shall be devel-
oped.
(7) As appropriate, and to the extent
sufficient information is available, the
short- and long-term aspects of the
following three criteria shall be used
to guide the development and screen-
ing of remedial alternatives:
(i) Effectiveness. This criterion fo-
cuses on the degree to which an alter-
native reduces toxicity, mobility, or
volume through treatment, minimizes
residual risks and affords long-term
protection, complies with ARARs,
minimizes short-term impacts, and
how quickly it achieves protection. Al-
ternatives providing significantly, less
effectiveness than other, more promis-
ing alternatives may be eliminated. Al-
ternatives that do not provide ade-
quate protection of human health and
the environment shall be eliminated
from further consideration.
(ii) Implementability. This criterion
focuses on the technical feasibility and
availability of the technologies each
alternative would employ and the ad-
ministrative feasibility of implement-
ing the alternative. Alternatives that
are technically or administratively in-
feasible or that would require equip-
ment, specialists, or facilities that are
not available within a reasonable
period of time may be eliminated from
further consideration.
(iii) Cost. The costs of construction
and any long-term costs to operate
and maintain the alternatives shall be
considered. Costs that are grossly ex-
cessive compared to the overall effec-
tiveness of alternatives may be consid-
ered as one of several factors used to
eliminate alternatives. Alternatives
providing effectiveness and implemen-
tability similar to that of another al-
ternative by employing a similar
method of treatment or engineering
control, but at greater cost, may be
eliminated.
(8) The lead agency shall notify the
support agency of the alternatives
that will be evaluated in detail to fa-
cilitate the identification of ARARs
and, as appropriate, pertinent advisor-
ies, criteria, or guidance to be consid-
ered.
(9) Detailed analysis of alternatives.
(i) A detailed analysis shall be con-
ducted on the limited number of alter-
natives that represent viable ap-
proaches to remedial action after eval-
uation in the screening stage. The lead
and support agencies must identify
their ARARs related to specific ac-
tions in a timely manner and no later
than the early stages of the compara-
tive analysis. The lead and support
agencies may also, as appropriate,
identify other pertinent advisories, cri-
teria, or guidance in a timely manner.
(ii) The detailed analysis consists of
an assessment of individual alterna-
tives against each of nine evaluation
criteria and a comparative analysis
that focuses upon the relative per-
formance of each alternative against
those criteria.
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§ 300.430
40 CFR Ch. I (7-1-91 Edition)
(iii) Nine criteria for evaluation.
The analysis of alternatives under
review shall reflect the scope and com-
plexity of site problems and alterna-
tives being evaluated and consider the
relative significance of the factors
within each criteria. The nine evalua-
tion criteria are as follows:
(A) Overall protection of human
health and the environment. Alterna-
tives shall be assessed to determine
whether they can adequately protect
human health and the environment,
in both the short- and long-term, from
unacceptable risks posed by hazardous
substances, pollutants, or contami-
nants present at the site by eliminat-
ing, reducing, or controlling exposures
to levels established during develop-
ment of remediation goals consistent
with § 300.430(e)(2)(i). Overall protec-
tion of human health and the environ-
ment draws on the assessments of
other evaluation criteria, especially
long-term effectiveness and perma-
nence, short-term effectiveness, and.
compliance with ARARs.
(B) Compliance with ARARs. The al-
ternatives shall be assessed to deter-
mine whether they attain applicable
or relevant and appropriate require-
ments under federal environmental
laws and state environmental or facili-
ty siting laws or provide grounds for
invoking one of the waivers under
paragraph (f)(l)(ii)(C) of this section.
(C) Long-term effectiveness and per-
manence. Alternatives shall be as-
sessed for the long-term effectiveness
and permanence they afford, along
with the degree of certainty that the
alternative will prove successful. Fac-
tors that shall be considered, as appro-
priate, include the following:
(1) Magnitude of residual risk re-
maining from untreated waste or
treatment residuals remaining at the
conclusion of the remedial activities.
The characteristics of the residuals
should be considered to the degree
that they remain hazardous, taking
into account their volume, toxicity,
mobility, and propensity to bioaccu-
mulate.
(2) Adequacy and reliability of con-
trols such as containment systems and
institutional controls that are neces-
sary to manage treatment residuals
and untreated waste. This factor ad-
dresses in particular the uncertainties
associated with land disposal for pro-
viding long-term protection from re-
siduals; the assessment of the poten-
tial need to replace technical compo-
nents of the alternative, such as a cap,
a slurry wall, or a treatment system;
and the potential exposure pathways
and risks posed should the remedial
action need replacement.
(D) Reduction of toxicity. mobility,
or volume through treatment. The
degree to which alternatives employ
recycling or treatment that reduces
toxicity. mobility, or volume shall be
assessed, including how treatment is
used to address the principal threats
posed by the site. Factors that shall be
considered, as appropriate, include the
following:
(1) The treatment or recycling proc-
esses the alternatives employ and ma-
terials they will treat;
(2) The amount of hazardous sub-
stances, pollutants, or contaminants
that will be destroyed, treated, or recy-
cled;
(3) The degree of expected reduction
in toxicity, mobility, or volume of the
waste due to treatment or recycling
and the specification of which
reduction(s) are occurring;
(4) The degree to which the treat-
ment is irreversible;
(5) The type and quantity of residu-
als that will remain following treat-
ment, considering the persistence, tox-
icity, mobility, and propensity to
bioaccumulate of such hazardous sub-
stances and their constituents; and
(6) The degree to which treatment
reduces the inherent hazards posed by
principal threats at the site.
(E) Short-term effectiveness. The
short-term impacts of alternatives
shall be assessed considering the fol-
lowing:
(1) Short-term risks that might be
posed to the community during imple-
mentation of an alternative;
(2) Potential impacts on workers
during remedial action and the effec-
tiveness and reliability of protective
measures;
(3) Potential environmental impacts
of the remedial action and the effec-
tiveness and reliability of mitigative
measures during implementation; and
(4) Time until protection is achieved.
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§ 300.430
(F) Implementability. The ease or
difficulty of implementing the alterna-
tives shall be assessed by considering
the following types of factors as ap-
propriate:
(.1) Technical feasibility, including
technical difficulties and unknowns as-
sociated with the construction and op-
eration of a technology, the reliability
of the technology, ease of undertaking
additional remedial actions, and the
ability to monitor the effectiveness of
the remedy.
(2) Administrative feasibility, includ-
ing activities needed to coordinate
with other offices and agencies and
the ability and time required to obtain
any necessary approvals and permits
from other agencies (for off-site ac-
tions);
(3) Availability of services and mate-
rials, including the availability of ade-
quate off-site treatment, storage ca-
pacity, and disposal capacity and serv-
ices; the availability of necessary
equipment and specialists, and provi- •
sions to ensure any necessary addition-
al resources; the availability of serv-
ices and materials; and availability of
prospective technologies.
(G) Cost. The types of costs that
shall be assessed include the following:
(1) Capital costs, including both
direct and indirect costs;
(2) Annual operation and mainte-
nance costs; and
(J) Net present value of capital and
O&M costs.
(H) State acceptance. Assessment of
state concerns may not be completed
until comments on the RI/PS are re-
ceived but may be discussed, to the
extent possible, in the proposed plan
issued for public comment. The state
concerns that shall be assessed include
the following:
(I) The state's position and key con-
cerns related to the preferred alterna-
tive and other alternatives; and
(2) State comments on ARARs or
the proposed use of waivers.
(I) Community acceptance. This as-
sessment includes determining which
components of the alternatives inter-
ested persons in the community sup-
port, have reservations about, or
oppose. This .assessment may not be
completed until comments on the pro-
posed plan are received.
(f) Selection of remedy—(I*) Reme-
dies selected shall reflect the scope
and purpose of the actions being un-
dertaken and how the action relates to
long-term, comprehensive response at
the site.
(i) The criteria noted in paragraph
(eXDXiii) of this section are used to
select a remedy. These criteria are cat-
egorized into three groups.
(A) Threshold criteria. Overall pro-
tection of human health and the envi-
ronment and compliance with ARARs
(unless a specific ARAR is waived) are
threshold requirements that each al-
ternative must meet in order to be eli-
gible for selection.
(B) Primary balancing criteria. The
five primary balancing criteria are
long-term effectiveness and perma-
nence; reduction of toxicity, mobility,
or volume through treatment; short-
term effectiveness; implementability;
and cost.
(C) Modifying criteria. State and
community acceptance are modifying
criteria that shall be considered in
remedy selection.
(ii) The selection of a remedial
action is a two-step process and shall
proceed in accordance with
§ 300.515(e). First, the lead agency, in
conjunction with the support agency,
identifies a preferred alternative and
presents it to the public in a proposed
plan, for review and comment. Second,
the lead agency shall review the public
comments and consult with the state
(or support agency) in order to deter-
mine if the alternative remains the
most appropriate remedial action for
the site or site problem. The lead
agency, as specified in § 300.515(e),
makes the final remedy selection deci-
sion, which shall be documented in the
ROD. Each remedial alternative se-
lected as a Superfund remedy will
employ the criteria as indicated in
paragraph (fXIXi) of this section to
make the following determination:
(A) Each remedial action selected
shall be protective of human health
and the environment.
(B) On-site remedial actions selected
in a ROD must attain those ARARs
that are identified at the time of ROD
signature or provide grounds for in-
voking a waiver under
§ 300.430(f)(l)(iiXC).
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(I) Requirements that are promul-
gated or modified after ROD signature
must be attained (or waived) only
when determined to be applicable or
relevant and appropriate and neces-
sary to ensure that the remedy is pro-
tective of human health and the envi-
ronment.
(2) Components of the remedy not
described in the ROD must attain (or
waive) requirements that are identi-
fied as applicable or relevant and ap-
propriate at the time the amendment
to the ROD or the explanation of sig-
nificant difference describing the com-
ponent is signed.
(C) An alternative that does not
meet an ARAR under federal environ-
mental or state environmental or facil-
ity siting laws may be selected under
the following circumstances:
(.1) The alternative is an interim
measure and will become part of a
total remedial action that will attain
the applicable or relevant and appro-
priate federal or state requirement;
(2) Compliance with the require-
ment will result in greater risk to
human health and the environment
than other alternatives;
(3) Compliance with the require-
ment is technically impracticable from
an engineering perspective;
(.4) The alternative will attain a
standard of performance that is equiv-
alent to that required under the other-
wise applicable standard, requirement,
or limitation through use of another
method or approach;
(5) With respect to a state require-
ment, the state has not consistently
applied, or demonstrated the intention
to consistently apply, the promulgated
requirement in similar circumstances
at other remedial actions within the
state; or
(6) For Fund-financed response ac-
tions only, an alternative that attains
the ARAR will not provide a balance
between the need for protection of
human health and the environment at
the site and the availability of Fund
monies to respond to other sites that
may present a threat to human health
and the environment.
(D) Each remedial action selected
shall be cost-effective, provided that it
first satisfies the threshold criteria set
forth in § 300.430(f)(l)(ii) (A) and (B).
Cost-effectiveness is determined by
evaluating the following three of the
five balancing criteria noted in
§ 300.430(f)(l)(i)(B) to determine over-
all effectiveness: long-term effective-
ness and permanence, reduction of
toxicity, mobility, or volume through
treatment, and short-term effective-
ness. Overall effectiveness is then com-
pared to cost to ensure that the
remedy is cost-effective. A remedy
shall be cost-effective if its costs are
proportional to its overall effective-
ness.
(E) Each remedial action shall uti-
lize permanent solutions and alterna-
tive treatment technologies or re-
source recovery technologies to the
maximum extent practicable. This re-
quirement shall be fulfilled by select-
ing the alternative that satisfies para-
graph (fXIXii) (A) and (B) of this sec-
tion and provides the best balance of
trade-offs among alternatives in terms
of the five primary balancing criteria
noted in paragraph (fXIXiXB) of this
section. The balancing shall emphasize
long-term effectiveness and reduction
of toxicity, mobility, or volume
through treatment. The balancing
shall also consider the preference for
treatment as a principal element and
the bias against off-site land disposal
of untreated waste. In making the de-
termination under this paragraph, the
modifying criteria of state acceptance
and community acceptance described
in paragraph (fXIXiXC) of this sec-
tion shall also be considered.
(2) The proposed plan. In the first
step in the remedy selection process,
the lead agency shall identify the al-
ternative that best meets the require-
ments in § 300.430(f)(l), above, and
shall present that alternative to the
public in a proposed plan. The lead
agency, in conjunction with the sup-
port agency and consistent with
§ 300.515(e), shall prepare a proposed
plan that briefly describes the remedi-
al alternatives analyzed by the lead
agency, proposes a preferred remedial
action alternative, and summarizes the
information relied upon to select the
preferred alternative. The selection of
remedy process for an operable unit
may be initiated at any time during
the remedial action process. The pur-
pose of the proposed plan is to supple-
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Environmental Protection Agency
§300.430
ment the RI/PS and provide the
public with a reasonable opportunity
to comment on the preferred alterna-
tive for remedial action, as well as al-
ternative plans under consideration,
and to participate in the selection of
remedial action at a site. At a mini-
mum, the proposed plan shall:
(i) Provide a brief summary descrip-
tion of the remedial alternatives evalu-
ated in the detailed analysis estab-
lished under paragraph (e)(9) of this
section;
(ii) Identify and provide a discussion
of the rationale that supports the pre-
ferred alternative;
(iii) Provide a summary of any
formal comments received from the
support agency; and
(iv) Provide a summary explanation
of any proposed waiver identified
under paragraph (fXIXiiXC) of this
section from an ARAR.
(3) Community relations to support
the selection of remedy, (i) The lead
agency, after preparation of the pro-
posed plan and review by the support
agency, shall conduct the following ac-
tivities:
(A) Publish a notice of availability
and brief analysis of the proposed
plan in a major local newspaper of
general circulation;
(B) Make the proposed plan and sup-
porting analysis and information avail-
able in the administrative record re-
quired under subpart I of this part;
(C) Provide a reasonable opportuni-
ty, not less than 30 calendar days, for
submission of written and oral com-
ments on the proposed plan and the
supporting analysis and information
located in the information repository,
including the RI/FS. Upon timely re-
quest, the lead agency will extend the
public comment period by a minimum
of 30 additional days;
(D) Provide the opportunity for a
public meeting to be held during the
public comment period at or near the
site at issue regarding the proposed
plan and the supporting analysis and
information;
(E) Keep a transcript of the public
meeting held during the public com-
ment period pursuant to CERCLA sec-
tion 117(a) and make such transcript
available to the public; and
(F) Prepare a written summary of
significant comments, criticisms, and
new relevant information submitted
during the public comment period and
the lead agency response to each Issue.
This responsiveness summary shall be
made available with the record of deci-
sion.
(ii) After publication of the proposed
plan and prior to adoption of the se-
lected remedy in the record of deci-
sion, if new information is made avail-
able that significantly changes the
basic features of the remedy with re-
spect to scope, performance, or cost,
such that the remedy significantly dif-
fers from the original proposal in the
proposed plan and the supporting
analysis and information, the lead
agency shall:
(A) Include a discussion in the
record of decision of the significant
changes and reasons for such changes,
if the lead agency determines such
changes could be reasonably anticipat-
ed by the public based on the alterna-
tives and other information available
in the proposed plan or the supporting
analysis and information in the ad-
ministrative record; or
(B) Seek additional public comment
on a revised proposed plan, when the
lead agency determines the change
could not have been reasonably antici-
pated by the public based on the infor-
mation available in the proposed plan
or the supporting analysis and infor-
mation in the administrative record.
The lead agency shall, prior to adop-
tion of the selected remedy in the
ROD, issue a revised proposed plan,
which shall include a discussion of the
significant changes and the reasons
for such changes, in accordance with
the public participation requirements
described in paragraph (f)(3)(i) of this
section.
(4) Final remedy selection, (i) In the
second and final step in the remedy se-
lection process, the lead agency shall
reassess its initial determination that
the preferred alternative provides the
best balance of trade-offs, now factor-
ing in any new information or points
of view expressed by the state (or sup-
port agency) and community during
the public comment period. The lead
agency shall consider state (or support
agency) and community comments re-
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§ 300.430
40 CFR Ch. I (7-1-91 Edition)
garding the lead agency's evaluation
of alternatives with respect to the
other criteria. These comments may
prompt the lead agency to modify as-
pects of the preferred alternative or
decide that another alternative pro-
vides a more appropriate balance. The
lead agency, as specified in
§ 300.515(e), shall make the final
remedy selection decision and docu-
ment that decision in the ROD.
(ii) If a remedial action is selected
that results in hazardous substances,
pollutants, or contaminants remaining
at the site above levels that allow for
unlimited use and unrestricted expo-
sure, the lead agency shall review such
action no less often than every five
years after initiation of the selected
remedial action.
(iii) The process for selection of a re-
medial action at a federal facility on
the NPL, pursuant to CERCLA section
120, shall entail:
(A) Joint selection of remedial
action by the head of the relevant de-
partment, agency, or instrumentality
and EPA; or
(B) If mutual agreement on the
remedy is not reached, selection of the
remedy is made by EPA.
(5) Documenting the decision, (i) To
support the selection of a remedial
action, all facts, analyses of facts, and
site-specific policy determinations con-
sidered in the course of carrying out
activities in this section shall be docu-
mented, as appropriate, in a record of
decision, in a level of detail appropri-
ate to the site situation, for inclusion
in the administrative record required
under subpart I of this part. Documen-
tation shall explain how the evalua-
tion criteria in paragraph (e)(9)(iii) of
this section were used to select the
remedy.
(ii) The ROD shall describe the fol-
lowing statutory requirements as they
relate to the scope and objectives of
the action:
(A) How the selected remedy is pro-
tective of human health and the envi-
ronment, explaining how the remedy
eliminates, reduces, or controls expo-
sures to human and environmental re-
ceptors;
(B) The federal and state require-
ments that are applicable or relevant
and appropriate to the site that the
remedy will attain;
(C) The applicable or relevant and
appropriate requirements of other fed-
eral and state laws that the remedy
will not meet, the waiver invoked, and
the justification for invoking the
waiver;
(D) How the remedy is cost-effective,
i.e., explaining how the remedy pro-
vides overall effectiveness proportion-
al to its costs:
(E) How the remedy utilizes perma-
nent solutions and alternative treat-
ment technologies or resource recov-
ery technologies to the maximum
extent practicable; and
(F) Whether the preference for rem-
edies employing treatment which per-
manently and significantly reduces
the toxicity, mobility, or volume of the
hazardous substances, pollutants, or
contaminants as a principal element is
or is not satisfied by the selected
remedy. If this preference is not satis-
fied, the record of decision must ex-
plain why a remedial action involving
such reductions in toxicity, mobility,
or volume was not selected.
(iii) The ROD also shall:
(A) Indicate, as appropriate, the re-
mediation goals, discussed in para-
graph (e)(2)(i) of this section, that the
remedy is expected to achieve. Per-
formance shall be measured at appro-
priate locations in the ground water,
surface water, soils, air, and other af-
fected environmental media. Measure-
ment relating to the performance of
the treatment processes and the engi-
neering controls may also be identi-
fied, as appropriate;
(B) Discuss significant changes and
the response to comments described in
paragraph (f )(3)(i)(F) of this section;
(C) Describe whether hazardous sub-
stances, pollutants, or contaminants
will remain at the site such that a
review of the remedial action under
paragraph (fX4Xii) of this section no
less often than every five years shall
be required; and
(D) When appropriate, provide a
commitment for further analysis and
selection of long-term response meas-
ures within an appropriate time-
frame.
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Environmental Protection Agency
§ 300.435
(6) Community relations when the
record of decision is signed. After the
ROD is signed, the lead agency shall:
(i) Publish a notice of the availabil-
ity of the ROD in a major local news-
paper of general circulation; and
(ii) Make the record of decision
available for public inspection and
copying at or near the facility at issue
prior to the commencement of any re-
medial action.
§ 300.435 Remedial design/remedial
action, operation and maintenance.
(a) General. The remedial design/re-
medial action (RD/RA) stage includes
the development of the actual design
of the selected remedy and implemen-
tation of the remedy through con-
struction. A period of operation and
maintenance may follow the RA ac-
tivities.
(b) RD/RA activities. (1) All RD/RA
activities shall be in conformance with
the remedy selected and set forth in
the ROD or other decision document
for that site. Those portions of RD/
RA sampling and analysis plans de-
scribing the QA/QC requirements for
chemical and analytical testing and
sampling procedures of samples taken
for the purpose of determining wheth-
er cleanup action levels specified in
the ROD are achieved, generally will
be consistent with the requirements of
§ 300.430(b)(8).
(2) During the course of the RD/RA,
the lead agency shall be responsible
for ensuring that all federal and state
requirements that are identified in the
ROD as applicable or relevant and ap-
propriate requirements for the action
are met. If waivers from any ARARs
are involved, the lead agency shall be
responsible for ensuring that the con-
ditions of the waivers are met.
(c) Community relations. (1) Prior to
the initiation of RD, the lead agency
shall review the CRP to determine
whether it should be revised to de-
scribe further public involvement ac-
tivities during RD/RA that are not al-
ready addressed or provided for in the
CRP.
(2) After the adoption of the ROD,
if the remedial action or enforcement
action taken, or the settlement or con-
sent decree entered into, differs sig-
nificantly from the remedy selected in
the ROD with respect to scope, per-
formance, or cost, the lead agency
shall consult with the support agency,
as appropriate, and shall either:
(i) Publish an explanation of signifi-
cant differences when the differences
in the remedial or enforcement action,
settlement, or consent decree signifi-
cantly change but do not fundamen-
tally alter the remedy selected in the
ROD with respect to scope, perform-
ance, or cost. To issue an explanation
of significant differences, the lead
agency shall:
(A) Make the explanation of signifi-
cant differences and supporting infor-
mation available to the public in the
administrative record established
under § 300.815 and the information
repository; and
(B) Publish a notice that briefly
summarizes the explanation of signifi-
cant differences, including the reasons
for such differences, in a major local
newspaper of general circulation; or
(ii) Propose an amendment to the
ROD if the differences in the remedial
or enforcement action, settlement, or
consent decree fundamentally alter
the basic features of the selected
remedy with respect to scope, per-
formance, or cost. To amend the ROD,
the lead agency, in conjunction with
the support agency, as provided in
§ 300.515(e), shall:
(A) Issue a notice of availability and
brief description of the proposed
amendment to the ROD in a major
local newspaper of general circulation;
(B) Make the proposed amendment
to the ROD and information support-
ing the decision available for public
comment;
(C) Provide a reasonable opportuni-
ty, not less than 30 calendar days, for
submission of written or oral com-
ments on the amendment to the ROD.
Upon timely request, the lead agency
will extend the public comment period
by a minimum of 30 additional days;
(D) Provide the opportunity for a
public meeting to be held during the
public comment period at or near the
facility at issue;
(E) Keep a transcript of comments
received at the public meeting held
during the public comment period;
(F) Include in the amended ROD a
brief explanation of the amendment
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§ 300.435
40 CFR Ch. I (7-1-91 Edition)
and the response to each of the signifi-
cant comments, criticisms, and new
relevant information submitted during
the public comment period;
(G) Publish a notice of the availabil-
ity of the amended ROD in a major
local newspaper of general circulation;
and
(H) Make the amended ROD and
supporting information available to
the public in the administrative record
and information repository prior to
the commencement of the remedial
action affected by the amendment.
(3) After the completion of the final
engineering design, the lead agency
shall issue a fact sheet and provide, as
appropriate, a public briefing prior to
the initiation of the remedial action.
(d) Contractor conflict of interest.
(1) For Fund-financed RD/RA and
O&M activities, the lead agency shall:
(i) Include appropriate language in
the solicitation requiring potential
prime contractors to submit informa-
tion on their status, as well as the.
status of their subcontractors, parent
companies, and affiliates, as potential-
ly responsible parties at the site.
(ii) Require potential prime contrac-
tors to certify that, to the best of their
knowledge, they and their potential
subcontractors, parent companies, and
affiliates have disclosed all informa-
tion described in § 300.435(d)(l)(i) or
that no such information exists, and
that any such information discovered
after submission of their bid or pro-
posal or contract award will be dis-
closed immediately.
(2) Prior to contract award, the lead
agency shall evaluate the information
provided by the potential prime con-
tractors and:
(i) Determine whether they have
conflicts of interest that could signifi-
cantly impact the performance of the
contract or the liability of potential
prime contractors or subcontractors.
(ii) If a potential prime contractor or
subcontractor has a conflict of interest
that cannot be avoided or otherwise
resolved, and using that potential
prime contractor or subcontractor to
conduct RD/RA or O&M work under
a Fund-financed action would not be
in the best interests of the state or
federal government, an offerer or
bidder contemplating use of that
prime contractor or subcontractor
may be declared nonresponsible or in-
eligible for award in accordance with
appropriate acquisition regulations,
and the contract may be awarded to
the next eligible offerer or bidder.
(e) Recontr-acting. (1) If a Fund-fi-
nanced contract must be terminated
because additional work outside the
scope of the contract is needed, EPA is
authorized to take appropriate steps
to continue interim RAs as necessary
to reduce risks to public health and
the environment. Appropriate steps
may include extending an existing
contract for a federal-lead RA or
amending a cooperative agreement for
a state-lead RA. Until the lead agency
can reopen the bidding process and re-
contract to complete the RA, EPA
may take such appropriate steps as de-
scribed above to cover interim work to
reduce such risks, where:
(i) Additional work is found to be
needed as a result of such unforeseen
situations as newly discovered sources,
types, or quantities of hazardous sub-
stances at a facility; and
(ii) Performance of the complete RA
requires the lead agency to rebid the
contract because the existing contract
does not encompass this newly discov-
ered work.
(2) The cost of such interim actions
shall not exceed S2 million.
(f) Operation and maintenance. (1)
Operation and maintenance (O&M)
measures are initiated after the
remedy has achieved the remedial
action objectives and remediation
goals in the ROD, and is determined
to be operational and functional,
except for ground- or surface-water
restoration actions covered under
§ 300.435(f)(4). A state must provide
its assurance to assume responsibility
for O&M, including, where appropri-
ate, requirements for maintaining in-
stitutional controls, under § 300.510(c).
(2) A remedy becomes "operational
and functional" either one year after
construction is complete, or when the
remedy is determined concurrently by
EPA and the state to be functioning
properly and is performing as de-
signed, whichever is earlier. EPA may
grant extensions to the one-year
period, as appropriate.
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Environmental Protection Agency
§300.505
(3) For Fund-financed remedial ac-
tions involving treatment or other
measures to restore ground- or sur-
face-water quality to a level that as-
sures protection of human health and
the environment, the operation of
such treatment or other measures for
a period of up to 10 years after the
remedy becomes operational and func-
tional will be considered part of the re-
medial action. Activities required to
maintain the effectiveness of such
treatment or measures following the
10-year period, or after remedial
action is complete, whichever is earli-
er, shall be considered O&M. For the
purposes of federal funding provided
under CERCLA section 104(c)(6), a
restoration activity will be considered
administratively "complete" when:
(i) Measures restore ground- or sur-
face-water quality to a level that as-
sures protection of human health and
the environment;
(ii) Measures restore ground or sur-
face water to such a point that reduc-
tions in contaminant concentrations
are no longer significant; or
(iii) Ten years have elapsed, which-
ever is earliest.
(4) The following shall not be
deemed 'to constitute treatment or
other measures to restore contaminat-
ed ground or surface water under
§ 300.435(f)(3):
(i) Source control maintenance
measures; and
(ii) Ground- or surface-water meas-
ures initiated for the primary purpose
of providing a drinking-water supply,
not for the purpose of restoring
ground water.
§ 300.440 Procedures for planning and im-
plementing off-site response actions
[Reserved].
Subpart F—State involvement in
Hazardous Substance Response
SOURCE 55 PR 8853, Mar. 8, 1990, unless
otherwise noted.
§ 300.500 General.
(a) EPA shall ensure meaningful and
substantial state involvement in haz-
ardous substance response as specified
in this subpart. EPA shall provide an
opportunity for state participation in
removal, pre-remedial, remedial, and
enforcement response activities. EPA
shall encourage states to enter into an
EPA/state Superfund Memorandum
of Agreement (SMOA) under i 300.505
to increase state involvement and
strengthen the EPA/state partner-
ship.
(b) EPA shall encourage states to
participate in Fund-financed response
in two ways. Pursuant to § 300.515(a),
states may either assume the lead
through a cooperative agreement for
the response action or may be the sup-
port agency in EPA-lead remedial re-
sponse. Section 300.515 sets forth re-
quirements for state involvement in
EPA-lead remedial and enforcement
response and also addresses compara-
ble requirements for EPA involvement
in state-lead remedial and enforce-
ment response. Section 300.520 speci-
fies requirements for state involve-
ment in EPA-lead enforcement negoti-
ations. Section 300.525 specifies re-
quirements for state involvement in
removal actions. In addition to the re-
quirements set forth in this subpart,
40 CFR part 35, subpart O, "Coopera-
tive Agreements and Superfund State
Contracts for Superfund Response Ac-
tions," contains further requirements
for state participation during re-
sponse.
§ 300.505 EPA/State Superfund Memoran-
dum of Agreement (SMOA).
(a) The SMOA may establish the
nature and extent of EPA and state
interaction during EPA-lead and state-
lead response (Indian tribes meeting
the requirements of § 300.515(b) may
be treated as states for purposes of
this section). EPA shall enter into
SMOA discussions if requested by a
state. The following may be addressed
in a SMOA:
(1) The EPA/state or Indian tribe
relationship for removal, pre-remedial,
remedial, and enforcement response,
including a description of the roles
and the responsibilities of each.
(2) The general requirements for
EPA oversight. Oversight require-
ments may be more specifically de-
fined in cooperative agreements.
(3) The general nature of lead and
support agency interaction regarding
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§300.510
40 CFR Ch. I (7-1-91 Edition)
the review of key documents and/or
decision points in removal, pre-remedi-
al, remedial, and enforcement re-
sponse. The requirements for EPA and
state review of each other's key docu-
ments when each is serving as the sup-
port agency shall be equivalent to the
extent practicable. Review times
agreed to in the SMOA must also be
documented in site-specific coopera-
tive agreements or Superfund state
contracts in order to be binding.
(4) Procedures for modification of
the SMOA (e.g., if EPA and a state
agree that the lead and support
agency roles and responsibilities have
changed, or if modifications are re-
quired to achieve desired goals).
(b) The SMOA and any modifica-
tions thereto shall be executed by the
EPA Regional Administrator and the
head of the state agency designated as
lead agency for state implementation
of CERCLA.
(c) Site-specific agreements entered
into pursuant to section 104(d)(l) of
CERCLA shall be developed in accord-'
ance with 40 CFR part 35, subpart O.
The SMOA shall not supersede such
agreements.
(d)(l) EPA and the state shall con-
sult annually to determine priorities
and make lead and support agency
designations for removal, pre-remedi-
al, remedial, and enforcement re-
sponse to be conducted during the
next fiscal year and to discuss future
priorities and long-term requirements
for response. These consultations shall
include the exchange of information
on both Fund- and non-Fund-financed
response activities. The SMOA may
describe the timeframe and process for
the EPA/state consultation.
(2) The following activities shall be
discussed in the EPA/state consulta-
tions established in the SMOA, or oth-
erwise initiated and documented in
writing in the absence of a SMOA, on
a site-specific basis with EPA and the
state identifying the lead agency for
each response action discussed:
(i) Pre-remedial response actions, in-
cluding preliminary assessments and
site inspections;
(ii) Hazard Ranking System scoring
and NPL listing and deletion activities;
(iii) Remedial phase activities, in-
cluding remedial investigation/feasi-
bility study, identification of potential
applicable or relevant and appropriate
requirements (ARARs) under federal
and state environmental laws and, as
appropriate, other advisories, criteria,
or guidance to be considered (TBCs),
proposed plan. ROD, remedial design,
remedial action, and operation and
maintenance;
(iv) Potentially responsible party
(PRP) searches, notices to PRPs, re-
sponse to information requests, PRP
negotiations, oversight of PRPs, other
enforcement actions pursuant to state
law, and activities where the state pro-
vides support to EPA;
(v) Compilation and maintenance of
the administrative record for selection
of a response action as required by
subpart I of this part;
(vi) Related site support activities;
(vii) State ability to share in the cost
and timing of payments; and
(viii) General CERCLA implementa-
tion activities.
(3) If a state is designated as the
lead agency for a non-Fund-financed
action at an NPL site, the SMOA shall
be supplemented by site-specific en-
forcement agreements between EPA
and the state which specify schedules
and EPA involvement.
(4) In the absence of a SMOA, EPA
and the state shall comply with the re-
quirements in § 300.515(h). If the
SMOA does not address all of the re-
quirements specified in § 300.515(h),
EPA and the state shall comply with
any unaddressed requirements in that
section.
§300.510 State assurances.
(a) A Fund-financed remedial action
undertaken pursuant to CERCLA sec-
tion 104(a) cannot proceed unless a
state provides its applicable required
assurances. The assurances must be
provided by the state prior to the initi-
ation of remedial action pursuant to a
Superfund state contract for EPA-lead
(or political subdivision-lead) remedial
action or pursuant to a cooperative
agreement for a state-lead remedial
action. The SMOA may not be used
for this purpose. Federally recognized
Indian tribes are not required to pro-
vide CERCLA section 104(c)(3) assur-
ances for Fund-financed response ac-
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Environmental Protection Agency
§300.510
tions. Further requirements pertain-
ing to state, political subdivision, and
federally recognized Indian tribe in-
volvement in CERCLA response are
found in 40 CFR part 35, subpart O.
(b)(l) The state is not required to
share in the cost of state- or EPA-lead
Fund-financed removal actions (in-
cluding remedial planning activities
associated with remedial actions) con-
ducted pursuant to CERCLA section
104 unless the facility was operated by
the state or a political subdivision
thereof at the time of disposal of haz-
ardous substances therein and a reme-
dial action is ultimately undertaken at
the site. Such remedial planning ac-
tivities include, but are not limited to,
remedial investigations (RIs), feasibili-
ty studies (FSs), and remedial design
(RD). States shall be required to share
50 percent, or greater, in the cost of all
Fund-financed response actions if the
facility was publicly operated at the
time of the disposal of hazardous sub-
stances. For other facilities, except
federal facilities, the state shall be re-
quired to share 10 percent of the cost
of the remedial action.
(2) CERCLA section 104(c)(5) pro-
vides that EPA shall grant a state
credit for reasonable, documented,
direct, out-of-pocket, non-federal ex-
penditures subject to the limitations
specified in CERCLA section 104(c)(5).
For a state to apply credit toward its
cost share, it must enter into a cooper-
ative agreement or Superfund state
contract. The state must submit as
soon as possible, but no later than at
the time CERCLA section 104 assur-
ances are provided for a remedial
action, its accounting of eligible credit
expenditures for EPA verification. Ad-
ditional credit requirements are con-
tained in 40 CFR part 35, subpart O.
(3) Credit may be applied to a state's
future cost share requirements at NPL
sites for response expenditures or obli-
gations incurred by the state or a po-
litical subdivision from January 1,
1978 to December 11, 1980, and for the
remedial action expenditures incurred
only by the state after October 17,
1986.
(4) Credit that exceeds the required
cost share at the site for which the
credit is granted may be transferred to
another site to offset a state's required
remedial action cost share.
(c)(l) Prior to a Fund-financed reme-
dial action, the state must also provide
its assurance in accordance with
CERCLA section 104(c)(3)(A) to
assume responsibility for operation
and maintenance of implemented re-
medial actions for the expected life of
such actions. In addition, when appro-
priate, as part of the O&M assurance,
the state must assure that any institu-
tional controls implemented as part of
the remedial action at a site are in
place, reliable, and will remain in place
after the initiation of O&M. The state
and EPA shall consult on a plan for
operation and maintenance prior to
the initiation of a remedial action.
(2) After a joint EPA/state inspec-
tion of the implemented Fund-fi-
nanced remedial action under
§ 300.515(g), EPA may share, for a
period of up to one year, in the cost of
the operation of the remedial action to
ensure that the remedy is operational
and functional. In the case of the res-
toration of ground or surface water,
EPA shall share in the cost of the
state's operation of ground- or surface-
water restoration remedial actions as
specified in § 300.435(f)(3).
(d) In accordance with CERCLA sec-
tions 104 (CX3XB) and 121(dX3), if the
remedial action requires off-site stor-
age, destruction, treatment, or dispos-
al, the state must provide its assurance
before the remedial action begins on
the availability of a hazardous waste
disposal facility that is in compliance
with CERCLA section 121(d)(3) and is
acceptable to EPA.
(eXl) In accordance with CERCLA
section 104(cX9), EPA shall not pro-
vide any remedial action pursuant to
CERCLA section 104 until the state in
which the release occurs enters into a
cooperative agreement or Superfund
state contract with EPA providing as-
surances deemed adequate by EPA
that the state will assure the availabil-
ity of hazardous waste treatment or
disposal facilities which:
(i) Have adequate capacity for the
destruction, treatment, or secure dis-
position of all hazardous wastes that
are reasonably expected to be generat-
ed within the state during the 20-year
period following the date of such coop-
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§300.515
40 CFR Ch. I (7-1-91 Edition)
erative agreement or Superfund state
contract and to be destroyed, treated,
or disposed;
(ii) Are within the state, or outside
the state in accordance with an inter-
state agreement or regional agreement
or authority;
(iii) Are acceptable to EPA; and
(iv) Are in compliance with the re-
quirements of Subtitle C of the Solid
Waste Disposal Act.
(2) This rule does not address
whether or not Indian tribes are states
for purposes of this paragraph (e).
(f) EPA may determine that an in-
terest in real property must be ac-
quired in order to conduct a response
action. As a general rule, the state in
which the property is located must
agree to acquire and hold the neces-
sary property interest, including any
interest in acquired property that is
needed to ensure the reliability of in-
stitutional controls restricting the use
of that property. If it is necessary for
the United States government to ac-
quire the interest in property to'
permit implementation of the re-
sponse, the state must accept transfer
of the acquired interest on or before
the completion of the response action.
§ 300.515 Requirements for state involve-
ment in remedial and enforcement re-
sponse.
(a) General. (1) States are encour-
aged to undertake actions authorized
under subpart E. Section 104(d)(l) of
CERCLA authorizes EPA to enter into
cooperative agreements or contracts
with a state, political subdivision, or a
federally recognized Indian tribe to
carry out Fund-financed response ac-
tions authorized under CERCLA,
when EPA determines that the state,
the political subdivision, or federally
recognized Indian tribe has the capa-
bility to undertake such actions. EPA
will use a cooperative agreement to
transfer funds to those entities to un-
dertake Fund-financed response activi-
ties. The requirements for states, po-
litical subdivisions, or Indian tribes to
receive funds as a lead or support
agency for response are addressed at
40 CFR part 35, subpart O.
(2) For EPA-lead Fund-financed re-
medial planning activities, including,
but not limited to, remedial investiga-
tions, feasibility studies, and remedial
designs, the state agency acceptance of
the support agency role during an
EPA-lead response shall be document-
ed in a letter, SMOA, or cooperative
agreement. Superfund state contracts
are unnecessary for this purpose.
(3) Cooperative agreements and Su-
perfund state contracts are only ap-
propriate for non-Fund-financed re-
sponse actions if a state intends to
seek credit for remedial action ex-
penses under § 300.510.
(b) Indian tribe involvement during
response. To be afforded substantially
the same treatment as states under
section 104 of CERCLA. the governing
body of the Indian tribe must:
(1) Be federally recognized; and
(2) Have a tribal governing body
that is currently performing govern-
mental functions to promote the
health, safety, and welfare of the af-
fected population or to protect the en-
vironment within a defined geographic
area; and
(3) Have jurisdiction over a site at
which Fund-financed response, includ-
ing pre-remedial activities, is contem-
plated.
(c) State involvement in PA/SI and
National Priorities List process. EPA
shall ensure state involvement in the
listing and deletion process by provid-
ing states opportunities for review,
consultation, or concurrence specified
in this section.
(1) EPA shall consult with states as
appropriate on the information to be
used in developing HRS scores for re-
leases.
(2) EPA shall, to the extent feasible,
provide the state 30 working days to
review releases which were scored by
EPA and which will be considered for
placement on the National Priorities
List (NPL).
(3) EPA shall provide the state 30
working days to review and concur on
the Notice of Intent to Delete a re-
lease from the NPL. Section 300.425
describes the EPA/state consultation
and concurrence process for deleting
releases from the NPL.
(d) State involvement in RI/FS proc-
ess. A key component of the EPA/
state partnership shall be the commu-
nication of potential federal and state
ARARs and, as appropriate, other per-
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Environmental Protection Agency
§300.515
tlnent advisories, criteria, or guidance
to be considered (TBCs).
(1) In accordance with §§ 300.400(g)
and 300.430, the lead and support
agencies shall identify their respective
potential ARARs and communicate
them to each other in a timely
manner, i.e., no later than the early
stages of the comparative analysis de-
scribed in §300.430(e)C9), such that
sufficient time is available for the lead
agency to consider and incorporate all
potential ARARs without inordinate
delays and duplication of effort. The
lead and support agencies may also
identify TBCs and communicate them
in a timely manner.
(2) When a state and EPA have en-
tered into a SMOA, the SMOA may
specify a consultation process which
requires the lead agency to solicit po-
tential ARARs at specified points in
the remedial planning and remedy se-
lection processes. At a minimum, the
SMOA shall include the points speci-
fied in § 300.515(h)(2). The SMOA
shall specify timeframes for support
agency response to lead agency re-
quests to ensure that potential ARARs
are identified and communicated in a
timely manner. Such timeframes must
also be documented in site-specific
agreements. The SMOA may also dis-
cuss identification and communication
of TBCs.
(3) If EPA in its statement of a pro-
posed plan intends to waive any state-
identified ARARs, or does not agree
with the state that a certain state
standard is an ARAR, it shall formally
notify the state when it submits the
RI/PS report for state review or re-
sponds to the state's submission of the
RI/FS report.
(4) EPA shall respond to state com-
ments on waivers from or disagree-
ments about state ARARs, as well as
the preferred alternative when making
the RI/PS report and proposed plan
available for public comment.
(e) State involvement in selection of
remedy. (1) Both EPA and the state
shall be involved in preliminary discus-
sions of the alternatives addressed in
the PS prior to preparation of the pro-
posed plan and ROD. At the conclu-
sion of the RI/PS, the lead agency, in
conjunction with the support agency,
shall develop a proposed plan. The
support agency shall have an opportu-
nity to comment on the plan. The lead
agency shall publish a notice of avail-
ability of the RI/PS report and a brief
analysis of the proposed plan pursuant
to § 300.430(e) and (f). Included in the
proposed plan shall be a statement
that the lead and support agencies
have reached agreement or, where this
is not the case, a statement explaining
the concerns of the support agency
with the lead agency's proposed plan.
The state may not publish a proposed
plan that EPA has not approved. EPA
may assume the lead from the state if
agreement cannot be reached.
(2)(i) EPA and the state shall identi-
fy, at least annually, sites for which
RODs will be prepared during the
next fiscal year, in accordance with
§ 300.515(h)(l). For all EPA-lead sites,
EPA shall prepare the ROD and pro-
vide the state an opportunity to
concur with the recommended remedy.
For Fund-financed state-lead sites,
EPA and the state shall designate
sites, in a site-specific agreement, for
which the state shall prepare the
ROD and seek EPA's concurrence and
adoption of the remedy specified
therein, and sites for which EPA shall
prepare the ROD and seek the state's
concurrence. EPA and the state may
designate sites for which the state
shall prepare the ROD for non-Fund-
financed state-lead enforcement re-
sponse actions (i.e., actions taken
under state law) at an NPL site. The
state may seek EPA's concurrence in
the remedy specified therein. Either
EPA or the state may choose not to
designate a site as state-lead.
(ii) State concurrence on a ROD is
not a prerequisite to EPA's selecting a
remedy, i.e., signing a ROD, nor is
EPA's concurrence a prerequisite to a
state's selecting a remedy at a non-
Fund-financed state-lead enforcement
site under state law. Unless EPA's As-
sistant Administrator for Solid Waste
and Emergency Response or Regional
Administrator concurs in writing with
a state-prepared ROD. EPA shall not
be deemed to have approved the state
decision. A state may not proceed with
a Fund-financed response action
unless EPA has first concurred in and
adopted the ROD. Section 300.510(a)
specifies limitations on EPA's proceed-
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§300.515
40 CFR Ch. I (7-1-91 Edition)
ing with a remedial action without
state assurances.
(iii) The lead agency shall provide
the support agency with a copy of the
signed ROD for remedial actions to be
conducted pursuant to CERCLA.
(iv) On state-lead sites identified for
EPA concurrence, the state generally
shall be expected to maintain its lead
agency status through the completion
of the remedial action.
(f) Enhancement of remedy. (1) A
state may ask EPA to make changes in
or expansions of a remedial action se-
lected under subpart E.
(i) If EPA finds that the proposed
change or expansion is necessary and
appropriate to the EPA-selected reme-
dial action, the remedy may be modi-
fied (consistent with §300.435(0(2))
and any additional costs paid as part
of the remedial action.
(ii) If EPA finds that the proposed
change or expansion is not necessary
to the selected remedial action, but
would not conflict or be inconsistent
with the EPA-selected remedy, EPA
may agree to integrate the proposed
change or expansion into the planned
CERCLA remedial work if:
(A) The state agrees to fund the
entire additional cost associated with
the change or expansion; and
(B) The state agrees to assume the
lead for supervising the state-funded
component of the remedy or, if EPA
determines that the state-funded com-
ponent cannot be conducted as a sepa-
rate phase or activity, for supervising
the remedial design and construction
of the entire remedy.
(2) Where a state does not concur in
a remedial action secured by EPA
under CERCLA section 106, and the
state desires to have the remedial
action conform to an ARAR that has
been waived under
§ 300.430(f)(l)(ii)(C), a state may seek
to have that remedial action so con-
form, in accordance with the proce-
dures set out in CERCLA section
(g) State involvement in remedial
design/remedial action. The extent
and nature of state involvement
during remedial design and remedial
action shall be specified in site-specific
cooperative agreements or Superfund
state contracts, consistent with 40
CFR part 35, subpart O. For Fund-fi-
nanced remedial actions, the lead and
support agencies shall conduct a joint
inspection at the conclusion of con-
struction of the remedial action to de-
termine that the remedy has been con-
structed in accordance with the ROD
and with the remedial design.
(h) Requirements for state involve-
ment in absence of SMOA. In the ab-
sence of a SMOA, EPA and the state
shall comply with the requirements in
§ 300.515(h). If the SMOA does not ad-
dress all of the requirements specified
in § 300.515(h), EPA and the state
shall comply with any unaddressed re-
quirements in that section.
(1) Annual consultations. EPA shall
conduct consultations with states at
least annually to establish priorities
and identify and document in writing
the lead for remedial and enforcement
response for each NPL site within the
state for the upcoming fiscal year.
States shall be given the opportunity
to participate in long-term planning
efforts for remedial and enforcement
response during these annual consul-
tations.
(2) Identification of ARARs and
TBCs. The lead and support agencies
shall discuss potential ARARs during
the scoping of the RI/FS. The lead
agency shall request potential ARARs
from the support agency no later than
the time that the site characterization
data are available. The support agency
shall communicate in writing those po-
tential ARARs to the lead agency
within 30 working days of receipt of
the lead agency request for these
ARARs. The lead and support agen-
cies may also discuss and communicate
other pertinent advisories, criteria, or
guidance to be considered (TBCs).
After the initial screening of alterna-
tives has been completed but prior to
initiation of the comparative analysis
conducted during the detailed analysis
phase of the FS, the lead agency shall
request that the support agency com-
municate any additional requirements
that are applicable or relevant and ap-
propriate to the alternatives contem-
plated within 30 working days of re-
ceipt of this request. The lead agency
shall thereafter consult the support
agency to ensure that identified
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Environmental Protection Agency
§300.600
ARARs and TBCs are updated as ap-
propriate.
(3) Support agency review of lead
agency documents. The lead agency
shall provide the support agency an
opportunity to review and comment on
the RI/PS. proposed plan, ROD, and
remedial design, and any proposed de-
terminations on potential ARARs and
TBCs. The support agency shall have
a minimum of 10 working days and a
maximum of 15 working days to pro-
vide comments to the lead agency on
the RI/FS, ROD, ARAR/TBC deter-
minations, and remedial design. The
support agency shall have a minimum
of five working days and a maximum
of 10 working days to comment on the
proposed plan.
(i) Administrative record require-
ments. The state, where it is the lead
agency for a Fund-financed site, shall
compile and maintain the administra-
tive record for selection of a response
action under subpart I of this par^.
unless specified otherwise in the
SMOA.
§300.520 State involvement in EPA-lead
enforcement negotiations.
(a) EPA shall notify states of re-
sponse action negotiations to be con-
ducted by EPA with potentially re-
sponsible parties during each fiscal
year.
(b) The state must notify EPA of
such negotiations in which it intends
to participate.
(c) The state is not foreclosed from
signing a consent decree if it does not
participate substantially in the negoti-
ations.
§ 300.525 State involvement in removal ac-
tions.
(a) States may undertake Fund-fi-
nanced removal actions pursuant to a
cooperative agreement with EPA.
State-lead removal actions taken pur-
suant to cooperative agreements must
be conducted In accordance with
§ 300.415 on removal actions, and 40
CFR part 35, subpart O.
(b) States are not required under
section 104(c)(3) of CERCLA to share
in the cost of a Fund-financed removal
action, unless the removal is conduct-
ed at an NPL site that was operated by
a state or political subdivision at the
time of disposal of hazardous sub-
stances therein and a Fund-financed
remedial action is ultimately under-
taken at the site. In this situation,
states are required to share, 50 percent
or greater, in the cost of all removal
(including remedial planning) and re-
medial action costs at the time of the
remedial action.
(c) States are encouraged to provide
for post-removal site control as dis-
cussed in § 300.415(k) for all Fund-fi-
nanced removal actions.
(d) States shall be responsible for
identifying potential state ARARs for
all Fund-financed removal actions and
for providing such ARARs to EPA in a
timely manner for all EPA-lead remov-
al actions.
(e) EPA shall consult with a state on
all removal actions to be conducted in
that state.
Subpart G—Trustees for Natural
Resources
SOURCE 55 FR 8857. Mar. 8. 1990. unless
otherwise noted.
§ 300.600 Designation of federal trustees.
(a) The President is required to des-
ignate in the National Contingency
Plan those federal officials who are to
act on behalf of the public as trustees
for natural resources. Federal officials
so designated will act pursuant to sec-
tion 107(f) of CERCLA and section
311(f)(5) of the Clean Water Act. Nat-
ural resources include:
(1) Natural resources over which the
United States has sovereign rights;
and
(2) Natural resources within the ter-
ritorial sea, contiguous zone, exclusive
economic zone, and outer continental
shelf belonging to, managed by, held
in trust by, appertaining to. or other-
wise controlled (hereinafter referred
to as "managed or protected") by the
United States.
Cb) The following individuals shall
be the designated trustee
-------
§ 300.605
40 CFR Ch. I (7-1-91 Edition)
as a result of a release of a hazardous
substance or a discharge of oil. Not-
withstanding the other designations in
this section, the Secretaries of Com-
merce and the Interior shall act as
trustees of those resources subject to
their respective management or pro-
tection.
(1) Secretary of Commerce. The Sec-
retary of Commerce shall act as trust-
ee for natural resources managed or
protected by the Department of Com-
merce or by other federal agencies and
that are found in or under waters nav-
igable by deep draft vessels, in or
under tidally influenced waters, or
waters of the contiguous zone, the ex-
clusive economic zone, and the outer
continental shelf, and in upland areas
serving as habitat for marine mam-
mals and other protected species.
However, before the Secretary takes
an action with respect to an affected
resource under the management or
protection of another federal agency,
he shall, whenever practicable, seek to
obtain the concurrence of that other
federal agency. Examples of the Secre-
tary's trusteeship include marine fish-
ery resources and their supporting
ecosystems; anadromous fish; certain
endangered species and marine mam-
mals; and National Marine Sanctuaries
and Estuarine Research Reserves.
(2) Secretary of the Interior. The
Secretary of the Interior shall act as
trustee for natural resources managed
or protected by the Department of the
Interior. Examples of the Secretary's
trusteeship include migratory birds;
certain anadromous fish, endangered
species, and marine mammals; federal-
ly owned minerals; and certain federal-
ly managed water resources. The Sec-
retary of the Interior shall also be
trustee for those natural resources for
which an Indian tribe would otherwise
act as trustee in those cases where the
United States acts on behalf of the
Indian tribe.
(3) Secretary for the land managing
agency. For natural resources located
on, over, or under land administered
by the United States, the trustee shall
be the head of the Department in
which the land managing agency is
found. The trustees for the principal
federal land managing agencies are
the Secretaries of the Department of
the Interior, the Department of Agri-
culture, the Department of Defense,
and the Department of Energy.
(4) Head of authorized agencies. For
natural resources located in the
United States but not otherwise de-
scribed in this section, the trustee
shall be the head of the federal
agency or agencies authorized to
manage or protect those resources.
§ 300.605 State trustees.
State trustees shall act on behalf of
the public as trustees for natural re-
sources within the boundary of a state
or belonging to, managed by, con-
trolled by, or appertaining to such
state. For the purposes of subpart G
of this part, the definition of the term
state does not include Indian tribes.
§ 300.610 Indian tribes.
The tribal chairmen (or heads of the
governing bodies) of Indian tribes, as
defined in § 300.5, or a person desig-
nated by the tribal officials, shall act
on behalf of the Indian tribes as trust-
ees for the natural resources belonging
to, managed by, controlled by, or ap-
pertaining to such Indian tribe, or
held in trust for the benefit of such
Indian tribe, or belonging to a member
of such Indian tribe, if such resources
are subject to a trust restriction on
alienation. When the tribal chairman
or head of the tribal governing body
designates another person as trustee,
the tribal chairman or head of the
tribal governing body shall notify the
President of such designation. Such
officials are authorized to act when
there is injury to, destruction of, loss
of, or threat to natural resources as a
result of a release of a hazardous sub-
stance.
§ 300.615 Responsibilities of trustees.
(a) Where there are multiple trust-
ees, because of coexisting or contigu-
ous natural resources or concurrent
jurisdictions, they should coordinate
and cooperate in carrying out these re-
sponsibilities.
(b) Trustees are responsible for des-
ignating to the RRTs, for inclusion in
the Regional Contingency Plan, ap-
propriate contacts to receive notifica-
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Environmental Protection Agency
§ 300.700
tions from the OSCs/RPMs of poten-
tial Injuries to natural resources.
(c) Upon notification or discovery of
injury to, destruction of, loss of, or
threat to natural resources, trustees
may, pursuant to section 107(f) of
CERCLA or section 311(f)(5) of the
Clean Water Act, take the following or
other actions as appropriate:
(1) Conduct a preliminary survey of
the area affected by the discharge or
release to determine if trust resources
under their jurisdiction are, or poten-
tially may be, affected;
(2) Cooperate with the OSC/RPM in
coordinating assessments, investiga-
tions, and planning;
(3) Carry out damage assessments;
or
(4) Devise and carry out a plan for
restoration, rehabilitation, replace-
ment, or acquisition of equivalent nat-
ural resources. In assessing damages to
natural resources, the federal, state,
and Indian tribe trustees have the
option of following the procedures for
natural resource damage assessments
located at 43 CFR part 11.
(d) The authority of federal trustees
includes, but is not limited to the fol-
lowing actions:
(1) Requesting that the Attorney
General seek compensation from the
responsible parties for the damages as-
sessed and for the costs of an assess-
ment and of restoration planning; and
(2) Participating in negotiations be-
tween the United States and potential-
ly responsible parties (PRPs) to obtain
PRP-financed or PRP-conducted as-
sessments and restorations for injured
resources or protection for threatened
resources and to agree to covenants
not to sue, where appropriate.
(3) Requiring, in consultation with
the lead agency, any person to comply
with . the requirements of CERCLA
section 104(e) regarding information
gathering and access. _
(e) Actions which may be taken by
any trustee pursuant to section 107(f)
of CERCLA or section 311(f)(5) of the
Clean Water Act include, but are not
limited to, any of the following:
(1) Requesting that an authorized
agency issue an administrative order
or pursue injunctive relief against the
parties responsible for the discharge
or release: or
(2) Requesting that the lead agency
remove, or arrange for the removal of,
or provide for remedial action with re-
spect to, any hazardous substances
from a contaminated medium pursu-
ant to section 104 of CERCLA.
Subpart H—Participation by Other
Persons
SOTTRCE: 55 PR 8858, Mar. 8, 1990. unless
otherwise noted.
§ 300.700 Activities by other persons.
(a) General. Any person may under-
take a response action to reduce or
eliminate a release of a hazardous sub-
stance, pollutant, or contaminant.
(b) Summary of CERCLA authori-
ties. The mechanisms available to re-
cover the costs of response actions
under CERCLA are, in summary:
(1) Section 107(a), wherein any
person may receive a court award of
his or her response costs, plus interest,
from the party or parties found to be
liable;
(2) Section lll(a)(2), wherein a pri-
vate party, a potentially responsible
party pursuant to a settlement agree-
ment, or certain foreign entities may
file a claim against the Fund for reim-
bursement of response costs;
(3) Section 106(b), wherein any
person who has complied with a sec-
tion 106(a) order may petition the
Fund for reimbursement of reasonable
costs, plus interest; and
(4) Section 123, wherein a general
purpose unit of local government may
apply to the Fund under 40 CFR part
310 for reimbursement of the costs of
temporary emergency measures that
are necessary to prevent or mitigate
injury to human health or the envi-
ronment associated with a release.
(c) Section 107(a) cost recovery ac-
tions. (1) Responsible parties shall be
liable for all response costs incurred
by the United States government or a
State or an Indian tribe not inconsist-
ent with the NCP.
(2) Responsible parties shall be
liable for necessary costs of response
actions to releases of hazardous sub-
stances incurred by any other person
consistent with the NCP,
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§ 300.700
40 CFR Ch. I (7-1-91 Edition)
(3) For the purpose of cost recovery
under section 107(a)(4)(B) of
CERCLA:
(i) A private party response action
will be considered "consistent with the
NCP" if the action, when evaluated as
a whole, is in substantial compliance
with the applicable requirements in
paragraphs (c)(5) and (6) of this sec-
tion, and results in a CERCLA-quality
cleanup;
(ii) Any response action carried out
in compliance with the terms of an
order issued by EPA pursuant to sec-
tion 106 of CERCLA, or a consent
decree entered into pursuant to sec-
tion 122 of CERCLA, will be consid-
ered "consistent with the NCP."
(4) Actions under § 300.700(c)(l) will
not be considered "inconsistent with
the NCP," and actions under
§ 300.700(c)(2) will not be considered
not "consistent with the NCP," based
on immaterial or insubstantial devi-
ations from the provisions of 40 CPR
part 300.
(5) The following provisions of this
part are potentially applicable to pri-
vate party response actions:
(i) Section 300.150 (on worker health
and safety);
(ii) Section 300.160 (on documenta-
tion and cost recovery);
(iii) Section 300.400(0(1), (4), (5),
and (7) (on determining the need for a
Fund-financed action); (e) (on permit
requirements) except that the permit
waiver does not apply to private party
response actions; and (g) (on identifi-
cation of ARARs) except that applica-
ble requirements of federal or state
law may not be waived by a private
party;
(iv) Section 300.405(b), (c), and (d)
(on reports of releases to the NRC);
(v) Section 300.410 (on removal site
evaluation) except paragraphs (e)(5)
and (6);
(vi) Section 300.415 (on removal ac-
tions) except paragraphs (a)(2),
(b)(2)(vii), (b)(5), and (f); and includ-
ing § 300.415(i) with regard to meeting
ARARs where practicable except that
private party removal actions must
always comply with the requirements
of applicable law;
(vii) Section 300.420 (on remedial
site evaluation);
(viii) Section 300.430 (on RI/FS and
selection of remedy) except paragraph
(f)(l)(ii)(C)(6) and that applicable re-
quirements of federal or state law may
not be waived by a private party; and
(ix) Section 300.435 (on RD/RA and
operation and maintenance).
(6) Private parties undertaking re-
sponse actions should provide an op-
portunity for public comment concern-
ing the selection of the response
action based on the provisions set out
below, or based on substantially
equivalent state and local require-
ments. The following provisions of this
part regarding public participation are
potentially applicable to private party
response actions, with the exception of
administrative record and information
repository requirements stated there-
in:
(i) Section 300.155 (on public infor-
mation and community relations);
(ii) Section 300.415(m) (on communi-
ty relations during removal actions);
(iii) Section 300.430(c) (on communi-
ty relations during RI/FS) except
paragraph (c)(5);
(iv) Section 300.430(f)(2), (3), and (6)
(on community relations during selec-
tion of remedy); and
(v) Section 300.435(0 (on community
relations during RD/RA and oper-
ation and maintenance).
(7) When selecting the appropriate
remedial action, the methods of reme-
dying releases listed in Appendix D of
this part may also be appropriate to a
private party response action.
(8) Except for actions taken pursu-
ant to CERCLA sections 104 or 106 or
response actions for which reimburse-
ment from the Fund will be sought,
any action to be taken by the lead
agency listed in paragraphs (c)(5)
through (c)(7) may be taken by the
person carrying out the response
action.
(d) Section HHa)(2) claims. (1) Per-
sons, other than those listed in para-
graphs (d)(l)(i) through (iii) of this
section, may be able to receive reim-
bursement of response costs by means
of a claim against the Fund. The cate-
gories of persons excluded from pursu-
ing this claims authority are:
(i) Federal government;
(ii) State governments, and their po-
litical subdivisions, unless they are po-
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Environmental Protection Agency
§300.800
tentially responsible parties covered
by an order or consent decree pursu-
ant to section 122 of CERCLA; and
(ill) Persons operating under a pro-
curement contract or an assistance
agreement with the United States
with respect to matters covered by
that contract or assistance agreement,
unless specifically provided therein.
(2) In order to be reimbursed by the
Fund, an eligible person must notify
the Administrator of EPA or designee
prior to taking a response action and
receive prior approval, i.e., "preauthor-
ization," for such action.
(3) Preauthorization is EPA's prior
approval to submit a claim against the
Fund for necessary response costs in-
curred as a result of carrying out the
NCP. All applications for preauthori-
zation will be reviewed to determine
whether the request should receive
priority for funding. EPA, in its discre-
tion, may grant preauthorization of s.
claim. Preauthorization will be consid-
ered only for:
(i) Removal actions pursuant to
§ 300.415;
(ii) CERCLA section 104(b) activi-
ties; and
(iii) Remedial actions at National
Priorities List sites pursuant to
5 300.435.
(4) To receive EPA's prior approval,
the eligible person must:
(i) Demonstrate technical and other
capabilities to respond safely and ef-
fectively to releases of hazardous sub-
stances, pollutants, or contaminants;
and
(ii) Establish that the action will be
consistent with the NCP in accordance
with the elements set forth in para-
graphs (c)(5) through (8) of this sec-
tion.
(5) EPA will grant preauthorization
to a claim by a party it determines to
be potentially liable under section 107
of CERCLA only in accordance with
an order issued pursuant to section
106 of CERCLA, or a settlement with
the federal government in accordance
with section 122 of CERCLA.
(6) Preauthorization does not estab-
lish an enforceable contractual rela-
tionship between EPA and the claim-
ant.
(7) Preauthorization represents
EPA's commitment that If funds are
appropriated for response actions, the
response action is conducted in accord-
ance with the preauthorization deci-
sion document, and costs are reasona-
ble and necessary, reimbursement will
be made from the Superfund, up to
the maximum amount provided in the
preauthorization decision document.
(8) For a claim to be awarded under
section 111 of CERCLA. EPA must
certify that the costs were necessary
and consistent with the preauthoriza-
tion decision document.
(e) Section 106(6) petition. Subject
to conditions specified in CERCLA
section 106(b), any person who has
complied with an order issued after
October 16, 1986 pursuant to section
106(a) of CERCLA, may seek reim-
bursement for response costs incurred
in complying with that order unless
the person has waived that right.
(f) Section 123 reimbursement to
local governments. Any general pur-
pose unit of local government for a po-
litical subdivision that is affected by a
release may receive reimbursement for
the costs of temporary emergency
measures necessary to prevent or miti-
gate injury to human health or the
environment subject to the conditions
set forth in 40 CFR part 310. Such re-
imbursement may not exceed $25,000
for a single response.
(g) Release from liability. Implemen-
tation of response measures by poten-
tially responsible parties or by any
other person does not release those
parties from liability under section
107(a) of CERCLA, except as provided
in a settlement under section 122 of
CERCLA or a federal court judgment.
Subpart I—Administrative Record for
Selection of Response Action
SOURCE: 55 PR 8859, Mar. 8. 1990, unless
otherwise noted.
§ 300.800 Establishment of an administra-
tive record.
(a) General requirement. The lead
agency shall establish an administra-
tive record that contains the docu-
ments that form the basis for the se-
lection of a response action. The lead
agency shall compile and maintain the
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§ 300.805
40 CFR Ch. I (7-1-91 Edition)
administrative record in accordance
with this subpart.
(b) Administrative records for feder-
al facilities. (1) If a federal agency
other than EPA is the lead agency for
a federal facility, the federal agency
shall compile and maintain the admin-
istrative record for the selection of the
response action for that facility in ac-
cordance with this subpart. EPA may
furnish documents which the federal
agency shall place in the administra-
tive record file to ensure that the ad-
ministrative record includes all docu-
ments that form the basis for the se-
lection of the response action.
(2) EPA or the U.S. Coast Guard
shall compile and maintain the admin-
istrative record when it is the lead
agency for a federal facility.
(3) If EPA is involved in the selec-
tion of the response action at a federal
facility on the NPL, the federal
agency acting as the lead agency shall
provide EPA with a copy of the index
of documents included in the adminis-
trative record file, the RI/PS work-
plan, the RI/FS released for public
comment, the proposed plan, any
public comments received on the RI/
FS and proposed plan, and any other
documents EPA may request on a
case-by-case basis.
(c) Administrative record for state-
lead sites. If a state is the lead agency
for a site, the state shall compile and
maintain the administrative record for
the selection of the response action
for that site in accordance with this
subpart. EPA may require the state to
place additional documents in the ad-
ministrative record file to ensure that
the administrative record includes all
documents which form the basis for
the selection of the response action.
The state shall provide EPA with a
copy of the index of documents includ-
ed in the administrative record file,
the RI/FS workplan, the RI/FS re-
leased for public comment, the pro-
posed plan, any public comments re-
ceived on the RI/FS and proposed
plan, and any other documents EPA
may request on a case-by-case basis.
(d) Applicability. This subpart ap-
plies to all response actions taken
under section 104 of CERCLA or
sought, secured, or ordered adminis-
tratively or judicially under section
106 of CERCLA, as follows:
(1) Remedial actions where the re-
medial investigation commenced after
the promulgation of these regulations;
and
(2) Removal actions where the
action memorandum is signed after
the promulgation of these regulations.
(e) For those response actions not in-
cluded in paragraph (d) of this section,
the lead agency shall comply with this
subpart to the extent practicable.
§ 300.805 Location of the administrative
record file.
(a) The lead agency shall establish a
docket at an office of the lead agency
or other central location at which doc-
uments included in the administrative
record file shall be located and a copy
of the documents included in the ad-
ministrative record file shall also be
made available for public inspection at
or near the site at issue, except as pro-
vided below:
(1) Sampling and testing data, qual-
ity control and quality assurance docu-
mentation, and chain of custody
forms, need not be located at or near
the site at issue or at the central loca-
tion, provided that the index to the
administrative record file indicates the
location and availability of this infor-
mation.
(2) Guidance documents not gener-
ated specifically for the site at issue
need not be located at or near the site
at issue, provided that they are main-
tained at the central location and the
index to the administrative record file
indicates the location and availability
of these guidance documents.
(3) Publicly available technical liter-
ature not generated for the site at
issue, such as engineering textbooks,
articles from technical journals, and
toxicological profiles, need not be lo-
cated at or near the site at issue or at
the central location, provided that the
literature is listed in the index to the
administrative record file or the litera-
ture is cited in a document in the
record.
(4) Documents included in the confi-
dential portion of the administrative
record file shall be located only in the
central location.
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Environmental Protection Agency
§300.810
(5) The administrative record for a
removal action where the release or
threat of release requires that on-site
removal activities be initiated within
hours of the lead agency's determina-
tion that a removal is appropriate and
on-site removal activities cease within
30 days of initiation, need be available
for public inspection only at the cen-
tral location.
(b) Where documents are placed in
the central location but not in the file
located at or near the site, such docu-
ments shall be added to the file locat-
ed at or near the site upon request.
except for documents included in
paragraph (a)(4) of this section.
(c) The lead agency may make the
administrative record file available to
the public in microform.
§300.810 Contents of the administrative
record file.
(a) Contents. The administrative
record file for selection of a response
action typically, but not in all cases,
will contain the following types of doc-
uments:
(1) Documents containing factual in-
formation, data and analysis of the
factual information, and data that
may form a basis for the selection of a
response action. Such documents may
include verified sampling data, quality
control and quality assurance docu-
mentation, chain of custody forms,
site inspection reports, preliminary as-
sessment and site evaluation reports,
ATSDR health assessments, docu-
ments supporting the lead agency's de-
termination of imminent and substan-
tial endangerment, public health eval-
uations, and technical and engineering
evaluations. In addition, for remedial
actions, such documents may include
approved workplans for the remedial
investigation/feasibility study, state
documentation of applicable or rele-
vant and appropriate requirements,
and the RI/FS;
(2) Guidance documents, technical
literature, and site-specific policy
memoranda that may form a basis for
the selection of the response action.
Such documents may include guidance
on conducting remedial investigations
and feasibility studies, guidance on de-
termining applicable or relevant and
appropriate requirements, guidance on
risk/exposure assessments, engineer-
ing handbooks, articles from technical
journals, memoranda on the applica-
tion of a specific regulation to a site,
and memoranda on of f-site disposal ca-
pacity;
(3) Documents received, published,
or made available to the public under
§ 300.815 for remedial actions, or
§ 300.820 for removal actions. Such
documents may include notice of avail-
ability of the administrative record
file, community relations plan, pro-
posed plan for remedial action, notices
of public comment periods, public
comments and information received by
the lead agency, and responses to sig-
nificant comments;
(4) Decision documents. Such docu-
ments may include action memoranda
and records of decision;
(5) Enforcement orders. Such docu-
ments may include administrative
orders and consent decrees; and
(6) An index of the documents in-
cluded in the administrative record
file. If documents are customarily
grouped together, as with sampling
data chain of custody documents, they
may be listed as a group in the index
to the administrative record file.
(b) Documents not included in the
administrative record file. The lead
agency is not required to include docu-
ments in the administrative record file
which do not form a basis for the se-
lection of the response action. Such
documents include but are not limited
to draft documents, internal memo-
randa, and day-to-day notes of staff
unless such documents contain infor-
mation that forms the basis of selec-
tion of the response action and the in-
formation is not included in any other
document in the administrative record
file.
(c) Privileged documents. Privileged
documents shall not be included in the
record file except as provided in para-
graph (d) of this section or where such
privilege is waived. Privileged docu-
ments include but are not limited to
documents subject to the attorney-
client, attorney work product, deliber-
ative process, or other applicable privi-
lege.
(d) Confidential file. If information
which forms the basis for the selection
of a response action is included only in
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§300.815
40 CFR Ch. I (7-1-91 Edition)
a document containing confidential or
privileged information and is not oth-
erwise available to the public, the in-
formation, to the extent feasible, shall
be summarized in such a way as to
make it disclosable and the summary
shall be placed in the publicly avail-
able portion of the administrative
record file. The confidential or privi-
leged document itself shall be placed
in the confidential portion of the ad-
ministrative record file. If informa-
tion, such as confidential business in-
formation, cannot be summarized in a
disclosable manner, the information
shall be placed only in the confidential
portion .of the administrative record
file. All documents contained in the
confidential portion of the administra-
tive record file shall be listed in the
index to the file.
§ 300.815 Administrative record file for a
remedial action.
(a) The administrative record file for
the selection of a remedial action snail
be made available for public inspection
at the commencement of the remedial
investigation phase. At such time, the
lead agency shall publish in a major
local newspaper of general circulation
a notice of the availability of the ad-
ministrative record file.
(b) The lead agency shall provide a
public comment period as specified in
§ 300.430(f)(3) so that interested per-
sons may submit comments on the se-
lection of the remedial action for in-
clusion in the administrative record
file. The lead agency is encouraged to
consider and respond as appropriate to
significant comments that were sub-
mitted prior to the public comment
period. A written response to signifi-
cant comments submitted during the
public comment period shall be includ-
ed in the administrative record file.
(c) The lead agency shall comply
with the public participation proce-
dures required in § 300.430(f)(3) and
shall document such compliance in the
administrative record.
(d) Documents generated or received
after the record of decision is signed
shall be added to the administrative
record file only as provided in
§ 300.825.
§ 300.820 Administrative record file for a
removal action.
(a) If, based on the site evaluation,
the lead agency determines that a re-
moval action is appropriate and that a
planning period of at least six months
exists before on-site removal activities
must be initiated:
(1) The administrative record file
shall be made available for public in-
spection when the engineering evalua-
tion/cost analysis (EE/CA) is made
available for public comment. At such
time, the lead agency shall publish in
a major local newspaper of general cir-
culation a notice of the availability of
the administrative record file.
(2) The lead agency shall provide a
public comment period as specified in
§ 300.415 so that interested persons
may submit comments on the selection
of the removal action for inclusion in
the administrative record file. The
lead agency is encouraged to consider
and respond, as appropriate, to signifi-
cant comments that were submitted
prior to the public comment period. A
written response to significant com-
ments submitted during the public
comment period shall be included in
the administrative record file.
(3) The lead agency shall comply
with the public participation proce-
dures of § 300.415
-------
Environmental Protection Agency
§300.905
public. The lead agency is encouraged
to consider and respond, as appropri-
ate, to significant comments that were
submitted prior to the public comment
period. A written response to signifi-
cant comments submitted during the
public comment period shall be includ-
ed in the administrative record file.
(3) Documents generated or received
after the decision document is signed
shall be added to the administrative
record file only as provided in
§ 300.825.
§ 300.825 Record requirements after the
decision document is signed.
(a) The lead agency may add docu-
ments to the administrative record file
after the decision document selecting
the response action has been signed if:
(1) The documents concern a portion
of a response action decision that the
decision document does not address or
reserves to be decided at a later date;
or
(2) An explanation of significant dif-
ferences required by § 300.435(c), or an
amended decision document is issued,
in which case, the explanation of sig-
nificant differences or amended deci-
sion document and all documents that
form the basis for the decision to
modify the response action shall be
added to the administrative record
file.
(b) The lead agency may hold addi-
tional public comment periods or
extend the time for the submission of
public comment after a decision docu-
ment has "been signed on any issues
concerning selection of the response
action. Such comment shall be limited
to the issues for which the lead agency
has requested additional comment. All
additional comments submitted during
such comment periods that are respon-
sive to the request, and any response
to these comments, along with docu-
ments supporting the request and any
final decision with respect to the issue,
shall be placed in the administrative
record file.
(c) The lead agency is required to
consider comments submitted by inter-
ested persons after the close of the
public comment period only to the
extent that the comments contain sig-
nificant information not contained
elsewhere in the administrative record
file which could not have been submit-
ted during the public comment period
and which substantially support the
need to significantly alter the re-
sponse action. All such comments and
any responses thereto shall be placed
in the administrative record file.
Subpart J—Use of Dispersants and
Other Chemicals
SOURCE 55 FR 8861, Mar. 8. 1990, unless
otherwise noted.
§ 300.900 General.
(a) Section 311(c)(2)(G) of the Clean
Water Act requires that EPA prepare
a schedule of dispersants and other
chemicals, if any. that may be used in
carrying out the NCP. This subpart
makes provisions for such a schedule.
(b) This subpart applies to the navi-
gable waters of the United States and
adjoining shorelines, the waters of the
contiguous zone, and the high seas
beyond the contiguous zone in connec-
tion with activities under the Outer
Continental Shelf Lands Act, activities
under the Deepwater Port Act of 1974,
or activities that may affect natural
resources belonging to, appertaining
to, or under the exclusive management
authority of the United States, includ-
ing resources under the Magnuson
Fishery Conservation and Manage-
ment Act of 1976.
(c) This subpart applies to the use of
any chemical agents or other additives
as defined in subpart A of this part
that may be used to remove or control
oil discharges.
§ 300.905 NCP Product Schedule.
(a) Oil Discharges. (1) EPA shall
maintain a schedule of dispersants and
other chemical or biological products
that may be authorized for use on oil
discharges in accordance with the pro-
cedures set forth in § 300.910. This
schedule, called the NCP Product
Schedule, may be obtained from the
Emergency Response Division (OS-
210), U.S. Environmental Protection
Agency, Washington, DC 20460. The
telephone number is 1-202-382-2190.
(2) Products may be added to the
NCP Product Schedule by the process
specified in § 300.920.
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§300.910
40 CFR Ch. I (7-1-91 Edition)
(b) Hazardous Substance Releases
[Reserved].
§ 300.910 Authorization of use.
(a) The OSC, with the concurrence
of the EPA representative to the RRT
and, as appropriate, the concurrence
of the RRT representatives from the
states with jurisdiction over the navi-
gable waters threatened by the release
or discharge, and in consultation with
the DOC and DOI natural resource
trustees, when practicable, may au-
thorize the use of dispersants, surface
collecting agents, biological additives,
or miscellaneous oil spill control
agents on the oil discharge, provided
that the dispersants, surface collecting
agents, biological additives, or miscel-
laneous oil spill control agents are
listed on the NCP Product Schedule.
(b) The OSC, with the concurrence
of the EPA representative to the RRT
and, as appropriate, the concurrence
of the RRT representatives from the
states with jurisdiction over the navi-
gable waters threatened by the release
or discharge, and in consultation with
the DOC and DOI natural resource
trustees, when practicable, may au-
thorize the use of burning agents on a
case-by-case basis.
(c) The OSC may authorize the use
of any dispersant, surface collecting
agent, other chemical agent, burning
agent, biological additive, or miscella-
neous oil spill control agent, including
products not listed on the NCP Prod-
uct Schedule, without obtaining the
concurrence of the EPA representative
to the RRT, the RRT representatives
from the states with jurisdiction over
the navigable waters threatened by
the release or discharge, when, in the
judgment of the OSC, the use of the
product is necessary to prevent or sub-
stantially reduce a hazard to human
life. The OSC is to inform the EPA
RRT representative and, as appropri-
ate, the RRT representatives from the
affected states and, when practicable,
the DOC/DOI natural resource trust-
ees of the use of a product not on the
Schedule as soon as possible and, pur-
suant to the provisions in paragraph
(a) of this section, obtain their concur-
rence or their comments on its contin-
ued use once the threat to human life
has subsided.
(d) Sinking agents shall not be au-
thorized for application to oil dis-
charges.
(e) RRTs shall, as appropriate, con-
sider, as part of their planning activi-
ties, the appropriateness of using the
dispersants, surface collecting agents,
biological additives, or miscellaneous
oil spill control agents listed on the
NCP Product Schedule, and the appro-
priateness of using burning agents.
Regional Contingency Plans (RCPs)
shall, as appropriate, address the use
of such products in specific contexts.
If the RRT representatives from the
states with jurisdiction over the
waters of the area to which an RCP
applies and the DOC and DOI natural
resource trustees approve in advance
the use of certain products under spec-
ified circumstances as described in the
RCP, the OSC may authorize the use
of the products without obtaining the
specific concurrences described in
paragraphs (a) and (b) of this section.
§ 300.915 Data requirements.
(a) Dispersants. (1) Name, brand, or
trademark, if any, under which the
dispersant is sold.
(2) Name, address, and telephone
number of the manufacturer, import-
er, or vendor.
(3) Name, address, and telephone
number of primary distributors or
sales outlets.
(4) Special handling and worker pre-
cautions for storage and field applica-
tion. Maximum and minimum storage
temperatures, to include optimum
ranges as well as temperatures that
will cause phase separations, chemical
changes, or other alterations to the ef-
fectiveness of the product.
(5) Shelf life.
(6) Recommended application proce-
dures, concentrations, and conditions
for use depending upon water salinity,
water temperature, types and ages of
the pollutants, and any other applica-
tion restrictions.
(7) Dispersant Toxicity. Use stand-
ard toxicity test methods described in
Appendix C to part 300.
(8) Effectiveness. Use standard effec-
tiveness test methods described in Ap-
pendix C to part 300. Manufacturers
are also encouraged to provide data on
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Environmental Protection Agency
§300.915
product performance under conditions
other than those captured by these
tests.
(9) The following data requirements
incorporate by reference standards
from the 1988 Annual Book of ASTM
Standards. American Society for Test-
ing and Materials. 1916 Race Street,
Philadelphia, Pennsylvania 19103.
This incorporation by reference was
approved by the Director of the Feder-
al Register in accordance with 5 U.S.C.
552(a) and 1 CFR part 51.'
(i) Rash Point—Select appropriate
method from the following:
(A) ASTM—D 56-87, "Standard Test
Method for Flash Point by Tag Closed
Tester";
(B) ASTM—D 92-85, "Standard Test
Method for Flash and Fire Points by
Cleveland Open Cup";
(C) ASTM—D 93-85, "Standard Test
Methods for Flash Point by Pensky-
Martens Closed Tester";
(D) ASTM—D 1310-86, "Standard
Test Method for Flash Point and Fire
Point of Liquids by Tag Open-Cup Ap-
paratus"; or
(E) ASTM—D 3278-82, "Standard
Test Methods for Flash Point of Liq-
uids by Setaflash Closed-Cup Appara-
tus."
(ii) Pour Point—Use ASTM—D 97-
87. "Standard Test Method for Pour
Point of Petroleum Oils."
(iii) Viscosity—Use ASTM—D 445-86,
"Standard Test Method for Kinematic
Viscosity of Transparent and Opaque
Liquids (and the Calculation of Dy-
namic Viscosity)."
(iv) Specific Gravity—Use ASTM—D
1298-85, "Standard Test Method for
Density, Relative Density (Specific
Gravity), or API Gravity of Crude Pe-
troleum and Liquid Petroleum Prod-
ucts by Hydrometer Method."
(v) pH—Use ASTM—D 1293-84.
"Standard Test Methods for pH of
Water."
(10) Dispersing Agent Components.
Itemize by chemical name and per-
centage by weight each component of
1 Copies of these standards may be ob-
tained from the publisher. Copies may be
inspected at the U.S. Environmental Protec-
tion Agency. 401 M St., SW., Room LG,
Washington, DC, "or at the Office of the
Federal Register, 1100 L Street, NW., Room
8401. Washington, DC.
the total formulation. The percent-
ages will include maximum, minimum,
and average weights in order to reflect
quality control variations in manufac-
ture or formulation. In addition to the
chemical information provided in re-
sponse to the first two sentences, iden-
tify the major components in at least
the following categories: surface active
agents, solvents, and additives.
(11) Heavy Metals, Cyanide, and
Chlorinated Hydrocarbons. Using
standard test procedures, state the
concentrations or upper limits of the
following materials:
(i) Arsenic, cadmium, chromium,
copper, lead, mercury, nickel, zinc,
plus any other metals that may be rea-
sonably expected to be in the sample.
Atomic absorption methods should be
used and the detailed analytical meth-
ods and sample preparation shall be
fully described.
(ii) Cyanide. Standard calorimetric
procedures should be used.
(iii) Chlorinated hydrocarbons. Gas
chromatography should be used and
the detailed analytical methods and
sample preparation shall be fully de-
scribed.
(12) The technical product data sub-
mission shall include the identity of
the laboratory that performed the re-
quired tests, the qualifications of the
laboratory staff, including profession-
al biographical information for indi-
viduals responsible for any tests, and
laboratory experience with similar
tests. Laboratories performing toxicity
tests for dispersant toxicity must dem-
onstrate previous toxicity test experi-
ence in order for their results to be ac-
cepted. It is the responsibility of the
submitter to select competent analyti-
cal laboratories based on the guide-
lines contained herein. EPA reserves
the right to refuse to accept a submis-
sion of technical product data because
of lack of qualification of the analyti-
cal laboratory, significant variance be-
tween submitted data and any labora-
tory confirmation performed by EPA.
or other circumstances that would
result in inadequate or inaccurate in-
formation on the dispersing agent.
(b) Surface collecting agents. (1)
Name, brand, or trademark, if any,
under which the product is sold.
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§300.915
40 CFR Ch. I (7-1-91 Edition)
(2) Name, address, and telephone
number of the manufacturer, import-
er, or vendor.
(3) Name, address, and telephone
number of primary distributors or
sales outlets.
(4) Special handling and worker pre-
cautions for storage and field applica-
tion. Maximum and minimum storage
temperatures, to include optimum
ranges as well as temperatures that
will cause phase separations, chemical
changes, or other alterations to the ef-
fectiveness of the product.
(5) Shelf life.
(6) Recommended application proce-
dures, concentrations, and conditions
for use depending upon water salinity,
water temperature, types and ages of
the pollutants, and any other applica-
tion restrictions.
(7) Toxicity. Use standard toxicity
test methods described in Appendix C
to Part 300.
(8) The following data requirements
incorporate by reference standards
from the 1988 Annual Book of ASTM
Standards. American Society for Test-
ing and Materials, 1916 Race Street,
Philadelphia, Pennsylvania 19103.
This incorporation by reference was
approved by the Director of the Feder-
al Register in accordance with 5 U.S.C.
552(a) and 1 CFR part 51.2
(i) Flash Point—Select appropriate
method from the following:
(A) ASTM—D 56-87, "Standard Test
Method for Flash Point by Tag Closed
Tester";
(B) ASTM—D 92-85, "Standard Test
Method for Flash and Fire Points by
Cleveland Open Cup";
(C) ASTM—D 93-85, "Standard Test
Methods for Flash Point by Pensky-
Martens Closed Tester";
(D) ASTM—D 1310-86, "Standard
Test Method for Flash Point and Fire
Point of Liquids by Tag Open-Cup Ap-
paratus"; or
(E) ASTM—D 3278-82, "Standard
Test Methods for Flash Point of Liq-
8 Copies of these standards may be ob-
tained from the publisher. Copies may be
inspected at the U.S. Environmental Protec-
tion Agency, 401 M St., SW., Room LG,
Washington, DC, or at the Office of the
Federal Register, 1100 L Street, NW., Room
8401, Washington, DC.
uids by Setaflash Closed-Cup Appara-
tus."
(ii) Pour Point—Use ASTM—D 97-
87, "Standard Test Method for Pour
Point of Petroleum Oils."
(iii) Viscosity—Use ASTM—D 445-86,
"Standard Test Method for Kinematic
Viscosity of Transparent and Opaque
Liquids (and the Calculation of Dy-
namic Viscosity)."
(iv) Specific Gravity—Use ASTM—D
1298-85, "Standard Test Method for
Density, Relative Density (Specific
Gravity), or API Gravity of Crude Pe-
troleum and Liquid Petroleum Prod-
ucts by Hydrometer Method."
(v) pH—Use ASTM—D 1293-84,
"Standard Test Methods for pH of
Water."
(9) Test to Distinguish Between Sur-
face Collecting Agents and Other
Chemical Agents.
(i) Method Summary—Five millili-
ters of the chemical under test are
mixed with 95 milliliters of distilled
water and allowed to stand undis-
turbed for one hour. Then the volume
of the upper phase is determined to
the nearest one milliliter.
(ii) Apparatus.
(A) Mixing Cylinder: 100 milliliter
subdivisions and fitted with a glass
stopper.
(B) Pipettes: Volumetric pipette, 5.0
milliliter.
(C) Timers.
(iii) Procedure—Add 95 milliliters of
distilled water at 22 °C, plus or minus
3 °C, to a 100 milliliter mixing cylin-
der. To the surface of the water in the
mixing cylinder, add 5.0 milliliters of
the chemical under test. Insert the
stopper and invert the cylinder five
times in ten seconds. Set upright for
one hour at 22 °C, plus or minus 3 °C,
and then measure the chemical layer
at the surface of the water. If the
major portion of the chemical added
(75 percent) is at the water surface as
a separate and easily distinguished
layer, the product is a surface collect-
ing agent.
(10) Surface Collecting Agent Com-
ponents. Itemize by chemical name
and percentage by weight each compo-
nent of the total formulation. The per-
centages should include maximum,
minimum, and average weights in
order to reflect quality control vari-
86
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Environmental Protection Agency
§300.915
ations in manufacture or formulation.
In addition to the chemical informa-
tion provided in response to the first
two sentences, identify the major com-
ponents in at least the following cate-
gories: surface action agents, solvents,
and additives.
(11) Heavy Metals, Cyanide, and
Chlorinated Hydrocarbons. Follow
specifications in paragraph (a)(15) of
this section.
(12) Analytical Laboratory Require-
ments for Technical Product Data.
Follow specifications in paragraph
(a)(16) of this section.
(c) Biological Additives. (1) Name,
brand, or trademark, if any, under
which the additive is sold.
(2) Name, address, and telephone
number of the manufacturer, import-
er, or vendor.
(3) Name, address, and telephone
number of primary distributors or
sales outlets.
(4) Special handling and worker pre-
cautions for storage and field applica-
tion. Maximum and minimum storage
temperatures.
(5) Shelf life.
(6) Recommended application proce-
dures, concentrations, and conditions
for use, depending upon water salinity,
water temperature, types and ages of
the pollutants, and any other applica-
tion restrictions.
(7) Statements and supporting data
on the effectiveness of the additive, in-
cluding degradation rates, and on the
test conditions under which the effec-
tiveness data were obtained.
(8) For microbiological cultures, fur-
nish the following information:
(i) Listing of all microorganisms by
species.
(ii) Percentage of each species in the
composition of the additive.
(iii) Optimum pH, temperature, and
salinity ranges for use of the additive,
and maximum and minimum pH, tem-
perature, and salinity levels above or
below which the effectiveness of the
additive is reduced to half its optimum
capacity.
(iv) Special nutrient requirements, if
any.
(v) Separate listing of the following.
and test methods for such determina-
tions: Salmonella, fecal coliform, Shi-
gella, Staphylococcus Coagulase posi-
tive, and Beta Hemolytic Streptococci.
(9) For enzyme additives furnish the
following information:
(i) Enzyme name(s).
(ii) International Union of Biochem-
istry (I.U.B.) number(s).
(iii) Source of the enzyme.
(iv) Units.
(v) Specific Activity.
(vi) Optimum pH, temperature, and
salinity ranges for use of the additive,
and maximum and minimum pH. tem-
perature, and salinity levels above or
below which the effectiveness of the
additive is reduced to half its optimum
capacity.
(vii) Enzyme shelf life.
(viii) Enzyme optimum storage con-
ditions.
(10) Laboratory Requirements for
Technical Product Data. Follow speci-
fications in paragraph (a)(16) of this
section.
(d) Burning Agents. EPA does not re-
quire technical product data submis-
sions for burning agents and does not
include burning agents on the NCP
Product Schedule.
(e) Miscellaneous Oil Spill Control
Agents. (1) Name, brand, or trademark,
if any, under which the miscellaneous
oil spill control agent is sold.
(2) Name, address, and telephone
number of the manufacturer, import-
er, or vendor.
(3) Name, address, and telephone
number of primary distributors or
sales outlets.
(4) Special handling and worker pre-
cautions for storage and field applica-
tion. Maximum and minimum storage
temperatures, to include optimum
ranges as well as temperatures that
will cause phase separations, chemical
changes, or other alternatives to the
effectiveness of the product.
(5) Shelf life.
(6) Recommended application proce-
dures, concentrations, and conditions
for use depending upon water salinity,
water temperature, types and ages of
the pollutants, and any other applica-
tion restrictions.
(7) Toxicity. Use standard toxicity
test methods described in Appendix C
to part 300.
(8) The following data requirements
incorporate by reference standards
87
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§ 300.920
40 CFR Ch. I (7-1-91 Edition)
from the 1988 Annual Book of ASTM
Standards. American Society for Test-
ing and Materials, 1916 Race Street,
Philadelphia, Pennsylvania 19103.
This incorporation by reference was
approved by the Director of the Feder-
al Register in accordance with 5 U.S.C.
552(a) and 1 CFR part 51.3
(i) Flash Point—Select appropriate
method from the following:
(A) ASTM—D 56-87, "Standard Test
Method for Flash Point by Tag Closed
Tester";
(B) ASTM—D 92-85. "Standard Test
Method for Flash and Fire Points by
Cleveland Open Cup";
(C) ASTM—D 93-85, "Standard Test
Methods for Flash Point by Pensky-
Martens Closed Tester";
(D) ASTM—D 1310-86. "Standard
Test Method for Flash Point and Fire
Point of Liquids by Tag Open-Cup Ap-
paratus"; or
(E) ASTM—D 3278-82, "Standard
Test Methods for Flash Point of Liq-
uids by Setaflash Closed-Cup Appara:
tus."
(ii) Pour Point—Use ASTM—D 97-
87, "Standard Test Method for Pour
Point of Petroleum Oils."
(iii) Viscosity—Use ASTM—D 445-86,
"Standard Test Method for Kinematic
Viscosity of Transparent and Opaque
Liquids (and the Calculation of Dy-
namic Viscosity)."
(iv) Specific Gravity—Use ASTM—D
1298-85, "Standard Test Method for
Density, Relative Density (Specific
Gravity), or API Gravity of Crude Pe-
troleum and Liquid Petroleum Prod-
ucts by Hydrometer Method."
(v) pH—Use ASTM-D 1293-84,
"Standard Test Methods for pH of
Water."
(9) Miscellaneous Oil Spill Control
Agent Components. Itemize by chemi-
cal name and percentage by weight
each component of the total formula-
tion. The percentages should include
maximum, minimum, and average
weights in order to reflect quality con-
trol variations in manufacture or for-
3 Copies of these standards may be ob-
tained from the publisher. Copies may be
inspected at the U.S. Environmental Protec-
tion Agency, 401 M St., SW., Room LG,
Washington, DC. or at the Office of the
Federal Register, 1100 L Street, NW., Room
8401, Washington, DC.
mulation. In addition to the chemical
information provided in response to
the first two sentences, identify the
major components in at least the fol-
lowing categories: surface active
agents, solvents, and additives.
(10) Heavy Metals, Cyanide, and
Chlorinated Hydrocarbons. Follow
specifications in paragraph (a)(15) of
this section.
(11) For any miscellaneous oil spill
control agent that contains microbio-
logical cultures or enzyme additives,
furnish the information specified in
paragraphs (c)(8) and (c)(9) of this
section, as appropriate.
(12) Analytical Laboratory Require-
ments for Technical Product Data.
Follow specifications in paragraph
(a)(16) of this section.
§ 300.920 Addition of products to sched-
ule.
(a) To add a dispersant, surface col-
lecting agent, biological additive, or
miscellaneous oil spill control agent to
the NCP Product Schedule, the tech-
nical product data specified in
§ 300.915 must be submitted to the
Emergency Response Division (OS-
210), U.S. Environmental Protection
Agency. 401 M Street, SW., Washing-
ton. DC 20460. If EPA determines that
the required data were submitted,
EPA will add the product to the sched-
ule.
(b) EPA will inform the submitter in
writing, within 60 days of the receipt
of technical product data, of its deci-
sion on adding the product to the
schedule.
(c) The submitter may assert that
certain information in the technical
product data submissions is confiden-
tial business information. EPA will
handle such claims pursuant to the
provisions in 40 CFR part 2, subpart
B. Such information must be submit-
ted separately from non-confidential
information, clearly identified, and
clearly marked "Confidential Business
Information." If the submitter fails to
make such a claim at the time of sub-
mittal, EPA may make the informa-
tion available to the public without
further notice.
(d) The submitter must notify EPA
of any changes in the composition,
88
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Environmental Protection Agency
formulation, or application of the dis-
persant, surface collecting agent, bio-
logical additive, or miscellaneous oil
spill control agent. On the basis of this
data, EPA may require retesting of the
product if the change is likely to
affect the effectiveness or toxicity of
the product.
(e) The listing of a product on the
NCP Product Schedule does not con-
stitute approval of the product. To
avoid possible misinterpretation or
misrepresentation, any label, adver-
tisement, or technical literature that
refers to the placement of the product
on trre NeF Schedule must either re-
produce in its entirety EPA's written
statement that it will add the product
to the NCP Product Schedule under
§ 300.920(b), or include the disclaimer
shown below. If the disclaimer is used,
it must be conspicuous and must be
fully reproduced. Failure to comply
with these restrictions or any other
improper attempt to demonstrate the
approval of the product by any NRT
or other U.S. Government agency
shall constitute grounds for removing
the product from *he NCP Product
Schedule.
DISCLAIMER
[PRODUCT NAME] is on the U.S. Envi-
ronmental Protection Agency's NCP Prod-
uct Schedule. This listing does NOT mean
that EPA approves, recommends, licenses.
certifies, or authorizes the use of [product
name] on an oil discharge. This listing
means only that data have been submitted
to EPA as required by subpart J of the Na-
tional Contingency Plan, § 300.915.
89
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SECTION 2
PART III
RULES AND REGULATIONS
40 CFR 112
OIL POLLUTION PREVENTION
6/92
1ST
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§110.11
40 CFR Ch. I (7-1-91 Edition)
EPA predesignated On-Scene Coordi-
nator (OSC) for the geographic area
where the discharge occurs. All such
reports shall be promptly relayed to
the NRC. If It Is not possible to notify
the NRC or the predesignated OCS
immediately, reports may be made im-
mediately to the nearest Coast Guard
unit, provided that the person in
charge of the vessel or onshore or off-
shore facility notifies the NRC as soon
as possible. The reports shall be made
in accordance with such procedures as
the Secretary of Transportation may
prescribe. The procedures for such
notice are set forth in U.S. Coast
Guard regulations, 33 CPR part 153,
subpart B and in the National Oil and
Hazardous Substances Pollution Con-
tingency Plan, 40 CFR part 300, sub-
part E. (Approved by the Office of
Management and Budget under the
control number 2050-0046)
§ 110.11 Discharge at deepwater ports.
(a) Except as provided in paragraph
(b) below, for purposes of section
18(m)(3) of the Deepwater Port Act of
1974, the term "discharge" shall in-
clude but not be limited to, any spill-
ing, leaking, pumping, pouring, emit-
ting, emptying, or dumping into the
marine environment of quantities of
oil that:
(1) Violate applicable water quality
standards, or
(2) Cause a film or sheen upon or
discoloration of the surface of the
water or adjoining shorelines or cause
a sludge or emulsion to be deposited
beneath the surface of the water or
upon adjoining shorelines.
(b) For purposes of section 18(m)(3)
of the Deepwater Port Act of 1974, the
term "discharge" excludes:
(1) Discharges of oil from a properly
functioning vessel engine, (including
an engine on a public vessel), but not
discharges of such oil accumulated in
a vessel's bilges (unless in compliance
with MARPOL 73/78, Annex I); and
(2) Discharges of oil permitted under
MARPOL 73/78, Annex I.
PART 112—OIL POLLUTION
PREVENTION
Sec.
112.1 General applicability.
112.2 Definitions.
112.3 Requirements for preparation and
implementation of Spill Prevention Con-
trol and Countermeasure Plans.
112.4 Amendment of SPCC Plans by Re-
gional Administrator.
112.5 Amendment of Spill Prevention Con-
trol and Countermeasure Plans by
owners or operators.
112.6 Civil penalties for violation of oil pol-
lution prevention regulations.
112.7 Guidelines for the preparation and
implementation of a Spill Prevention
Control and Countermeasure Plan.
APPENDIX—MEMORANDUM or UNDERSTANDING
BETWEEN THE SECRETARY or TRANSPORTA-
TION AND THE ADMINISTRATOR or THE EN-
VIRONMENTAL PROTECTION AGENCY
AUTHORITY: Sees. 31KJK1KC), 31KJK2),
501(a), Federal Water Pollution Control Act
(sec. 2, Pub. L. 92-500, 86 Stat. 816 et sea.
(33 U.S.C. 1251 et sea.)); sec. 4(b). Pub. L.
92-500, 86 Stat. 897; 5 U.S.C. Reorg. Plan of
1970 No. 3 (1970), 35 FR 15623, 3 CFR 1966-
1970 Comp.; E.O. 11735, 38 FR 21243, 3
CFR.
SOURCE: 38 FR 34165, Dec. 11, 1973, unless
otherwise noted.
§ 112.1 General applicability.
(a) This part establishes procedures,
methods and equipment and other re-
quirements for equipment to prevent
the discharge of oil from non-trans-
portation-related onshore and off-
shore facilities into or upon the navi-
gable waters of the United States or
adjoining shorelines.
(b) Except as provided in paragraph
(d) of this section, this part applies to
owners or operators of non-transporta-
tion-related onshore and offshore fa-
cilities engaged in drilling, producing,
gathering, storing, processing, refin-
ing, transferring, distributing or con-
suming oil and oil products, and
which, due to their location, could rea-
sonably be expected to discharge oil in
harmful quantities, as defined in part
110 of this chapter, into or upon the
navigable waters of the United States
or adjoining shorelines.
(c) As provided in section 313 (86
Stat. 875) departments, agencies, and
instrumentalities of the Federal gov-
18
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188
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Environmental Protection Agency
§112-2
eminent are subject to these regula-
tions to the same extent as any
person, except for the provisions of
{112.6.
(d) This part does not apply to:
(1) Facilities, equipment or oper-
ations which are not subject to the ju-
risdiction of the Environmental Pro-
tection Agency, as follows:
(1) Onshore and offshore facilities,
which, due to their location, could not
reasonably be expected to discharge
oil into or upon the navigable waters
of the United States or adjoining
shorelines. This determination shall
be based solely upon a consideration
of the geographical, locational aspects
of the facility (such as proximity to
navigable waters or adjoining shore-
lines, land contour, drainage, etc.) and
shall exclude consideration of man-
made features such as dikes, equip-
ment or other structures which may
serve to restrain, hinder, contain, or
otherwise prevent a discharge of oil
from reaching navigable waters of the
United States or adjoining shorelines;
and
(ii) Equipment or operations of ves-
sels or transportation-related onshore
and offshore facilities which are sub-
ject to authority and control of the
Department of Transportation, as de-
fined in the Memorandum of Under-
standing between the Secretary of
Transportation and the Administrator
of the Environmental Protection
Agency, dated November 24, 1971, 36
FR 24000.
(2) Those facilities which, although
otherwise subject to the jurisdiction of
the Environmental Protection Agency,
meet both of the following require-
ments:
(i) The underground buried storage
capacity of the facility is 42,000 gal-
lons or less of oil, and
(ii) The storage capacity, which is
not buried, of the facility is 1,320 gal-
lons or less of oil, provided no single
container has a capacity in excess of
660 gallons.
(e) This part provides for the prepa-
ration and implementation of Spill
Prevention Control and Countermeas-
ure Plans prepared in accordance with
}112.7. designed to complement exist-
ing laws, regulations, rules, standards,
policies and procedures pertaining to
safety standards, fire prevention and
pollution prevention rules, so as to
form a comprehensive balanced Feder-
al/State spill prevention program to
minimise the potential for oil dis-
charges. Compliance with this part
does not in any way relieve the owner
or operator of an onshore or an off-
shore facility from compliance with
other Federal, State or local laws.
[38 FR 34165, Dec. 11. 1973, as amended at
41 FR 12857, Mar. 26, 1978]
§112.2 Definition*.
For the purposes of this part:
(a) Oil means oil of any kind or in
any form, including, but not limited to
petroleum, fuel oil, sludge, oil refuse
and oil mixed with wastes other than
dredged spoil.
(b) Discharge includes but is not lim-
ited to, any spilling, leaking, pumping,
pouring, emitting, emptying or dump-
ing. For purposes of this part, the
term discharge shall not Include any
discharge of oil which Is authorized by
a permit issued pursuant to section 13
of the River and Harbor Act of 1899
(30 Stat. 1121, 33 U.S.C. 407). or sec-
tions 402 or 405 of the FWPCA
Amendments of 1972 (86 Stat. 816 et
seq., 33 U.S.C. 1251 et seq.).
(c) Onshore facility means any facili-
ty of any kind located in, on, or under
any land within the United States,
other than submerged lands, which is
not a transportation-related facility.
(d) Offshore facility means any facil-
ity of any kind located In, on, or under
any of the navigable waters of the
United States, which is not a transpor-
tation-related facility.
(e) Owner or operator means any
person owning or operating an on-
shore facility or an offshore facility,
and in the case of any abandoned off-
shore facility, the person who owned
or operated such facility immediately
prior to such abandonment.
(f) Person includes an individual,
firm, corporation, association, and a
partnership.
(g) Regional Administrator, means
the Regional Administrator of the En-
vironmental Protection Agency, or his
designee, in and for the Region in
which the facility is located.
19
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§112.3
40 CFR Ch. I (7-1-91 Edition)
(h) Transportation-related and non-
transportation-related as applied to an
onshore or offshore facility, are de-
fined in the Memorandum of Under-
standing between the Secretary of
Transportation and the Administrator
of the Environmental Protection
Agency, dated November 24, 1971, 36
PR 24080.
(i) Spill event means a discharge of
oil into or upon the navigable waters
of the United States or adjoining
shorelines in harmful quantities, as
defined at 40 CFR part 110.
(j) United States means the States,
the District of Columbia, the Com-
monwealth of Puerto Rico, the Canal
Zone, Guam, American Samoa, the
Virgin Islands, .and the Trust Terri-
tory of the Pacific Islands.
(k) The term navigable waters of the
United States means navigable waters
as defined in section 502(7) of the
FWPCA, and includes:
(1) All navigable waters of the
United States, as defined in judicial
decisions prior to passage of the 1972
Amendments to the FWPCA (Pub. L.
92-500), and tributaries of such
waters;
(2) Interstate waters;
(3) Intrastate lakes, rivers, and
streams which are utilized by inter-
state travelers for recreational or
other purposes; and
(4) Intrastate lakes, rivers, and
streams from which fish or shellfish
are taken and sold in interstate com-
merce.
(1) Vessel means every description of
watercraft or other artificial contriv-
ance used, or capable of being used as
a means of transportation on water,
other than a public vessel.
§ 112.3 Requirements for preparation and
implementation of Spill Prevention
Control and Countermeasure Plans.
(a) Owners or operators of onshore
and offshore facilities in operation on
or before the effective date of this
part that have discharged or. due to
their location, could reasonably be ex-
pected to discharge oil in harmful
Quantities, as defined in 40 CFR part
110, into or upon the navigable waters
of the United States or adjoining
shorelines, shall prepare a Spill Pre-
vention Control and Countenneasure
Plan (hereinafter "SPCC Plan"), in
writing and in accordance with { 112.7.
Except as provided for in paragraph
(f) of this section, such SPCC Plan
shall be prepared within six months
after the effective date of this part
and shall be fully implemented as soon
as possible, but not later than one
year after the effective date of this
part.
(b) Owners or operators of onshore
and offshore facilities that become
operational after the effective date of
this part, and that have discharged or
could reasonably be expected to dis-
charge oil in harmful quantities, as de-
fined in 40 CFR part 110, into or upon
the navigable waters of the United
States or adjoining shorelines, shall
prepare an SPCC Plan in accordance
with § 112.7. Except as provided for in
paragraph (f) of this section, such
SPCC Plan shall be prepared within
six months after the date such facility
begins operations and shall be fully
implemented as soon as possible, but
not later than one year after such fa-
cility begins operations.
(c) Owners or operators of onshore
and offshore mobile or portable facili-
ties, such as onshore drilling or wor-
kover rigs, barge mounted offshore
drilling or workover rigs, and portable
fueling facilities shall prepare and im-
plement an SPCC Plan as required by
paragraphs (a), (b) and (d) of this sec-
tion. The owners or operators of such
facility need not prepare a new SPCC
Plan each time the facility is moved to
a new site. The SPCC Plan may be a
general plan, prepared in accordance
with § 112.7, using good engineering
practice. When the mobile or portable
facility is moved, it must be located
and installed using the spill preven-
tion practices outlined in the SPCC
Plan for the facility. No mobile or
portable facility subject to this regula-
tion shall operate unless the SPCC
Plan has been implemented. The
SPCC Plan shall only apply whDe the
facility is in a fixed (non-transporta-
tion) operating mode.
(d) No SPCC Plan shall be effective
to satisfy the requirements of this
part unless it has been reviewed by a
Registered Professional Engineer and
certified to by such Professional Engi-
neer. By means of this certification
20
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Environmental Protection Agency
§ 112.4
the engineer, having examined the fa-
cility and being familiar with the pro-
visions of this part, shall attest that
the SPCC Plan has been prepared in
accordance with good engineering
practices. Such certification shall in
no way relieve the owner or operator
of an onshore or offshore facility of
his duty to prepare and fully imple-
ment such Plan in accordance with
§ 112.7, as required by paragraphs (a),
(b) and (c) of this section.
(e) Owners or operators of a facility
for which an SPCC Plan is required
pursuant to paragraph (a), (b) or (c) of
this section shall maintain a complete
copy of the Plan at such facility if the
facility is normally attended at least 8
hours per day, or at the nearest field
office if the facility is not so attended,
and shall make such Plan available to
the Regional Administrator for on-site
review during normal working hours.
(f) Extensions of time.
(1) The Regional Administrator may
authorize an extension of time for the
preparation and full implementation
of an SPCC Plan beyond the time per-
mitted for the preparation and imple-
mentation of an SPCC Plan pursuant
to paragraph (a), (b) or (c) of this sec-
tion where he finds that the owner or
operator of a facility subject to para-
graphs (a), (b) or (c) of this section
cannot fully comply with the require-
ments of this part as a result of either
nonavailability of qualified personnel,
or delays in construction or equipment
delivery beyond the control and with-
out the fault of such owner or opera-
tor or their respective agents or em-
ployees.
(2) Any owner or operator seeking
an extension of time pursuant to para-
graph (f)(l) of this section may submit
a letter of request to the Regional Ad-
ministrator. Such letter shall include:
(1) A complete copy of the SPCC
Plan, if completed;
(li) A full explanation of the cause
for any such delay and the specific as-
pect* of the SPCC Plan affected by
the delay;
(ill) A full discussion of actions being
taken or contemplated to minimize or
mitigate such delay;
(iv) A proposed time schedule for
the Implementation of any corrective
actions being taken or contemplated.
including interim dates for completion
of tests or studies, installation and op-
eration of any necessary equipment or
other preventive measures.
In addition, such owner or operator
may present additional oral or written
statements in support of his letter of
request.
(3) The submission of a letter of re-
quest for extension of time pursuant
to paragraph (f)(2) of this section
shall in no way relieve the owner or
operator from his obligation to comply
with the requirements of 5 112.3 (a),
(b) or (c). Where an extension of time
is authorized by the Regional Admin-
istrator for particular equipment or
other specific aspects of the SPCC
Plan, such extension shall in no way
affect the owner's or operator's obliga-
tion to comply with the requirements
of 5112.3 (a), (b) or (c) with respect to
other equipment or other specific as-
pects of the SPCC Plan for which an
extension of time has not been ex-
pressly authorized.
[38 FR 34165, Dec. 11. 1973, as amended at
41 FR 12657, Mar. 26, 19763
§ 112.4 Amendment of SPCC Plans by Re-
gional Administrator.
(a) Notwithstanding compliance
with § 112.3, whenever a facility sub-
ject to J 112.3 (a), (b) or (c) has: Dis-
charged more than 1,000 U.S. gallons
of oil into or upon the navigable
waters of the United States or adjoin-
ing shorelines in a single spill event, or
discharged oil in harmful quantities,
as defined in 40 CFR part 110, into or
upon the navigable waters of the
United States or adjoining shorelines
in two spill events, reportable under
section 311(b)(5) of the FWPCA, oc-
curring within any twelve month
period, the owner or operator of such
facility shall submit to the Regional
Administrator, within 60 days from
the time such facility becomes subject
to this section, the following:
(1) Name of the facility;
(2) Name
-------
§112.4
40 CFR Ch. I (7-1-91 Edition)
(5) Maximum storage or handling
capacity of the facility and normal
daily throughput;
(6) Description of the facility, in-
cluding maps, flow diagrams, and topo-
graphical maps;
(7) A complete copy of the SPCC
Plan with any amendments;
(8) The cause(s) of such spill, includ-
ing a failure analysis of system or sub-
system in which the failure occurred;
(9) The corrective actions and/or
counter-measures taken, including an
adequate description of equipment re-
pairs and/or replacements;
(10) Additional preventive measures
taken or contemplated to minimize the
possibility of recurrence;
(11) Such other information as the
Regional Administrator may reason-
ably require pertinent to the Plan or
spill event.
(b) Section 112.4 shall not apply
until the expiration of the time per-
mitted for the preparation and imple-
mentation of an SPCC Plan pursuant
to § 112.3 (a), (b), (c) and (f).
(c) A complete copy of all informa-
tion provided to the Regional Adminis-
trator pursuant to paragraph (a) of
this section shall be sent at the same
time to the State agency in charge of
water pollution control activities in
and for the State in which the facility
is located. Upon receipt of such infor-
mation such State agency may con-
duct a review and make recommenda-
tions to the Regional Administrator as
to further procedures, methods, equip-
ment and other requirements for
equipment necessary to prevent and to
contain discharges of oil from such fa-
cility.
(d) After review of the SPCC Plan
for a facility subject to paragraph (a)
of this section, together with all other
information submitted by the owner
or operator of such facility, and by the
State agency under paragraph (c) of
this section, the Regional Administra-
tor may require the owner or operator
of such facility to amend the SPCC
Plan if he finds that the Plan does not
meet the requirements of this part or
that the amendment of the Plan is
necessary to prevent and to contain
discharges of oil from such facility.
(e) When the Regional Administra-
tor proposes to require an amendment
to the SPCC Plan, he shall notify the
facility operator by certified mall ad-
dressed to, or by personal delivery to,
the facility owner or operator, that he
proposes to require an amendment to
the Plan, and shall specify the terms
of such amendment. If the facility
owner or operator is a corporation, a
copy of such notice shall also be
mailed to the registered agent, if any,
of such corporation in the State where
such facility is located. Within 30 days
from receipt of such notice, the facili-
ty owner or operator may^submit writ-
ten information, views, aria arguments
on the amendment. After considering
all relevant material presented, the
Regional Administrator shall notify
the facility owner or operator of any
amendment required or shall rescind
the notice. The amendment required
by the Regional Administrator shall
become part of the Plan 30 days after
such notice, unless the Regional Ad-
ministrator, for good cause, shall
specify another effective date. The
owner or operator of the facility shall
implement the amendment of the
Plan as soon as possible, but not later
than six months after the amendment
becomes part of the Plan, unless the
Regional Administrator specifies an-
other date.
(f) An owner or operator may appeal
a decision made by the Regional Ad-
ministrator requiring an amendment
to an SPCC Plan. The appeal shall be
made to the Administrator of the
United States Environmental Protec-
tion Agency and must be made in writ-
ing within 30 days of receipt of the
notice from the Regional Administra-
tor requiring the amendment. A com-
plete copy of the appeal must be sent
to the Regional Administrator at the
time the appeal is made. The appeal
shall contain a clear and concise state-
ment of -the issues and points of fact
in the case. It may also contain addi-
tional information from the owner or
operator, or from any other person.
The Administrator or his designee
may request additional information
from the owner or operator, or from
any other person. The Administrator
or his designee shall render a decision
within 60 days of receiving the appeal
and shall notify the owner or operator
of his decision.
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Environmental Protection Agency
[38 FR 34185. Dec. 11. 1973. u amended at
<1 FR 12658. Mar. 26,19763
8112.5 Amendment of Spill Prevention
Control and Countermeaaure Plan* by
owners or operators.
(a) Owners or operators of facilities
subject to J 112.3 (a), (b) or (c) shall
amend the SPCC Plan for such facility
in accordance with § 112.7 whenever
there is a change in facility design.
construction, operation or mainte-
nance which materially affects the fa-
cDity's potential for the discharge of
oil into or upon the navigable waters
of the United States or adjoining
shore lines. Such amendments shall be
fully implemented as soon as possible,
but not later than six months after
such change occurs.
(b) Notwithstanding compliance
with paragraph (a) of this section,
owners and operators of facilities sub-
ject to § 112.3 (a), (b) or (c) shall com-
plete a review and evaluation of the
SPCC Plan at least once every three
years from the date such facility be-
comes subject to this part. As a result
of this review and evaluation, the
owner or operator shall amend the
SPCC Plan within six months of the
review to include more effective pre-
vention and control technology if: (1)
Such technology will significantly
reduce the likelihood of a spill event
from the facility, and (2) if such tech-
nology has been field-proven at the
time of the review.
(c) No amendment to an SPCC Plan
shall be effective to satisfy the re-
quirements of this section unless it
has been certified by a Professional
Engineer in accordance with
§ 112.3(d).
§112.6 Civil penaltiet for violation of oil
pollution prevention regulation*.
Owners or operators of facilities sub-
ject to { 112.3 (a).
-------
§112.7
40 CFR Ch. I (7-1-91 Edition)
(1) Curbing, drip pans;
(ii) Sumps and collection systems.
(d) When It Is determined that the
Installation of structures or equipment
listed in § 112.7(c) to prevent dis-
charged oil from reaching the naviga-
ble waters is not practicable from any
onshore or offshore facility, the owner
or operator should clearly demon-
strate such impracticability and pro-
vide the following:
(1) A strong oil spill contingency
plan following the provision of 40 CFR
part 109.
(2) A written commitment of man-
power, equipment and materials re-
quired to expeditiously control and
remove any harmful quantity of oil
discharged.
(e) In addition to the minimal pre-
vention standards listed under
§ 112.7(c), sections of the Plan should
include a complete discussion of con-
formance with the following applica-
ble guidelines, other effective spill pre-
vention and containment procedures
(or, if more stringent, with State rules,
regulations and guidelines):
(1) Facility drainage (onshore); (ex-
cluding production facilities}. (1)
Drainage from diked storage areas
should be restrained by valves or other
positive means to prevent a spill or
other excessive leakage of oil into the
drainage system or inplant effluent
treatment system, except where plan
systems are designed to handle such
leakage. Diked areas may be emptied
by pumps or ejectors; however, these
should be manually activated and the
condition of the accumulation should
be examined before starting to be sure
no oil will be discharged into the
water.
(ii) Flapper-type drain valves should
not be used to drain diked areas.
Valves used for the drainage of diked
areas should, as far as practical, be of
manual, open-and-closed design. When
plant drainage drains directly into
water courses and not into wastewater
treatment plants, retained storm
water should be inspected as provided
in paragraphs (e)(2)(lil) (B), (C) and
(D) of this section before drainage.
(iii) Plant drainage systems from un-
diked areas should, if possible, flow
into ponds, lagoons or catchment
basins, designed to retain oil or return
it to the facility. Catchment basins
should not be located in areas subject
to periodic flooding.
(iv) If plant drainage is not engi-
neered as above, the final discharge of
all in-plant ditches should be equipped
with a diversion system that could, in
the event of an uncontrolled spill,
return the oil to the plant.
(v) Where drainage waters are treat-
ed in more than one treatment unit,
natural hydraulic flow should be used.
If pump transfer is needed, two "lift"
pumps should be provided, and at least
one of the pumps should be perma-
nently installed when such treatment
is continuous. In any event, whatever
techniques are used facility drainage
systems should be adequately engi-
neered to prevent oil from reaching
navigable waters in the event of equip-
ment failure or human error at the fa-
cility.
(2) Bulk storage tanks (onshore); (ex-
cluding production facilities), (i) No
tank should be used for the storage of
oil unless its material and construction
are compatible with the material
stored and conditions of storage such
as pressure and temperature, etc.
(ii) All bulk storage tank installa-
tions should be constructed so that a
secondary means of containment is
provided for the entire contents of the
largest single tank plus sufficient free-
board to allow for precipitation. Diked
areas should be sufficiently impervi-
ous to contain spilled oil. Dikes, con-
tainment curbs, and pits are common-
ly employed for this purpose, but they
may not always be appropriate. An al-
ternative system could consist of a
complete drainage trench enclosure
arranged so that a spill could termi-
nate and be safely confined in an in-
plant catchment basin or holding
pond.
(iii) Drainage of rainwater from the
diked area into a storm drain or an ef-
fluent discharge that empties into an
open water course, lake, or pond, and
bypassing the in-plant treatment
system may be acceptable if:
(A) The bypass valve is normally
sealed closed.
(B) Inspection of the run-off rain
water ensures compliance with appli-
cable water quality standards and will
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Environmental Protection Agency
not cause a harmful discharge as de-
fined In 40 CFR part 110.
(C) The bypass valve Is opened, and
resealed following drainage under re-
sponsible supervision.
(D) Adequate records are kept of
such events.
(iv) Buried metallic storage tanks
represent a potential for undetected
spills. A new buried installation should
be protected from corrosion by coat-
ings, cathodic protection or other ef-
fective methods compatible with local
soil conditions. Such buried tanks
should at least be subjected to regular
pressure testing.
(v) Partially buried metallic tanks
for the storage of oil should be avoid-
ed, unless the buried section of the
shell is adequately coated, since par-
tial burial in damp earth can cause
rapid corrosion of metallic surfaces,
especially at the earth/air interface.
(vi) Aboveground tanks should be
subject to periodic integrity testing,
taking into account tank design (float-
ing roof, etc.) and using such tech-
niques as hydrostatic testing, visual in-
spection or a system of non-destruc-
tive shell thickness testing. Compari-
son records should be kept where ap-
propriate, and tank supports and foun-
dations should be included in these In-
spections. In addition, the outside of
the tank should frequently be ob-
served by operating personnel for
signs of deterioration, leaks which
might cause a spill, or accumulation of
oil inside diked areas.
(vil) To control leakage through de-
fective internal heating coils, the fol-
lowing factors should be considered
and applied, as appropriate.
(A) The steam return or exhaust
lines from Internal heating coils which
discharge into an open water course
should be monitored for contamina-
tion, or passed througn a settling
tank, skimmer, or other separation or
retention system.
(B) The feasibility of installing an
external heating system should also be
considered.
(viii) New and old tank installations
should, as far as practical, be fall-safe
engineered or updated into a fail-safe
engineered Installation to avoid spills.
Consideration should be given to pro-
viding one or more of the following de-
vices:
(A) High liquid level alarms with an
audible or visual signal at a constantly
manned operation or surveillance sta-
tion; in smaller plants an audible air
vent may suffice.
(B) Considering size and complexity
of the facility, high liquid level pump
cutoff devices set to stop flow at a pre-
determined tank content level.
(C) Direct audible or code signal
communication between the tank
gauger and the pumping station.
(D) A fast response system for deter-
mining the liquid level of each bulk
storage tank such as digital comput-
ers, telepulse. or direct vision gauges
or their equivalent.
(E) Liquid level sensing devices
should be regularly tested to insure
proper operation.
(ix) Plant effluents which are dis-
charged into navigable waters should
have disposal facilities observed fre-
quently enough to detect possible
system upsets that could cause an oil
spill event.
(x) Visible oil leaks which result in a
loss of oil from tank seams, gaskets,
rivets and bolts sufficiently large to
cause the accumulation of oil in diked
areas should be promptly corrected.
(xi) Mobile or portable oil storage
tanks (onshore) should be positioned
or located so as to prevent spilled oil
from reaching navigable waters. A sec-
ondary means of containment, such as
dikes or catchment basins, should be
furnished for the largest single com-
partment or tank. These facilities
should be located where they will
not be subject to periodic flooding or
•washout.
(3) Facility transfer operations,
pumping, and in-plant process (.on-
shore); (excluding production facili-
ties), (i) Buried piping installations
should have a protective wrapping and
coating and should be cathodlcally
protected if soil conditions warrant. If
a section of buried line is exposed for
any reason. It should be carefully ex-
amined for deterioration. If corrosion
damage is found, additional examina-
tion and corrective action should be
taken as indicated by the magnitude
of the damage. An alternative would
25
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40 CFR Ch. I (7-1-91 Edition)
be the more frequent use of exposed
pipe corridors or galleries.
(11) When a pipeline is not in service.
or in standby service for an extended
time the terminal connection at the
transfer point should be capped or
blank-flanged, and marked as to
origin.
(iii) Pipe supports should be proper-
ly designed to minimize abrasion and
corrosion and allow for expansion and
contraction.
(iv) All aboveground valves and pipe-
lines should be subjected to regular
examinations by operating personnel
at which time the general condition of
Items, such as flange joints, expansion
joints, valve glands and bodies, catch
pans, pipeline supports, locking of
valves, and metal surfaces should be
assessed. In addition, periodic pressure
testing may be warranted for piping in
areas where facility drainage is such
that a failure might lead to a spill
event.
(v) Vehicular traffic granted entry
into the facility should be warned ver-
bally or by appropriate signs to be
sure that the vehicle, because of its
size, will not endanger above ground
piping.
(4) Facility tank car and tank truck
loading/unloading rack (onshore), (i)
Tank car and tank truck loading/un-
loading procedures should meet the
minimum requirements and regulation
established by the Department of
Transportation.
(ii) Where rack area drainage does
not flow into a catchment basin or
treatment facility designed to handle
spills, a quick drainage system should
be used for tank truck loading and un-
loading areas. The containment
system should be designed to hold at
least maximum capacity of any single
compartment of a tank car or tank
truck loaded or unloaded in the plant.
(iii) An interlocked warning light or
physical barrier system, or warning
signs, should be provided in loading/
unloading areas to prevent vehicular
departure before complete disconnect
of flexible or fixed transfer lines.
(iv) Prior to filling and departure of
any tank car or tank truck, the lower-
most drain and all outlets of such ve-
hicles should be closely examined for
leakage, and if necessary, tightened.
adjusted, or replaced to prevent liquid
leakage while in transit.
(5) Oil production facilities (.on-
shore)—(i) Definition. An onshore pro-
duction facility may include all wells,
flowlines, separation equipment, stor-
age facilities, gathering lines, and aux-
iliary non-transportation-related
equipment and facilities in a single
geographical oil or gas field operated
by a single operator.
(ii) Oil production facility (onshore)
drainage. (A) At tank batteries and
central treating stations where an ac-
cidental discharge of oil would have a
reasonable possibility of reaching navi-
gable waters, the dikes or equivalent
required under § 112.7(c)(l) should
have drains closed and sealed at all
times except when rainwater is being
drained. Prior to drainage, the diked
area should be inspected as provided
in paragraphs (e)(2)(iii) (B), (C), and
(D) of this section. Accumulated oil on
the rainwater should be picked up and
returned to storage or disposed of in
accordance with approved methods.
(B) Field drainage ditches, road
ditches, and oil traps, sumps or skim-
mers, if such exist, should be inspected
at regularly scheduled intervals for ac-
cumulation of oil that may have es-
caped from small leaks. Any such ac-
cumulations should be removed.
(iii) OtZ production facility (onshore)
bulk storage tanks. (A) No tank should
be used for the storage of oil unless its
material and construction are compati-
ble with the material stored and the
conditions of storage.
(B) All tank battery and central
treating plant installations should be
provided with a secondary means of
containment for the entire contents of
the largest single tank if feasible, or
alternate systems such as those out-
lined in § 112.7(c)(l). Drainage from
undiked areas should be safely con-
fined in a catchment basin or holding
pond.
(C) All tanks containing oil should
be visually examined by a competent
person for condition and need for
maintenance on a scheduled periodic
basis. Such examination should in-
clude the foundation and supports of
tanks that are above the surface of
the ground.
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Environmental Protection Agency
(D) New and old tank battery instal-
lations should, as far as practical, be
fail-safe engineered or updated into a
fall-safe engineered installation to pre-
vent spills. Consideration should be
given to one or more of the following:
(J) Adequate r-»nk capacity to assure
that a tank will not overfill should a
pumper/gauger be delayed in making
his regular rounds.
(21 Overflow equalizing lines be-
tween tanks so that a full tank can
overflow to an adjacent tank.
(3) Adequate vacuum protection to
prevent tank collapse during a pipeline
run.
(4) High level sensors to generate
and transmit an alarm signal to the
computer where facilities are a part of
a computer production control system.
(iv) Facility transfer operations, oil
production facility (onshore). (A) All
above ground valves and pipelines
should be examined periodically on a
scheduled basis for general condition
of items such as flange joints, valve
glands and bodies, drip pans, pipeline
supports, pumping well polish rod
stuffing boxes, bleeder and gauge
valves.
(B) Salt water (oil field brine) dis-
posal facilities should be exained
often, particularly following a sudden
change in atmospheric temperature to
detect possible system upsets that
could cause an oil discharge.
(C) Production facilities should have
a program of flowline maintenance to
prevent spills from this source. The
program should include periodic ex-
aminations, corrosion protection, flow-
line replacement. and adequate
records, as appropriate, for the indi-
vidual facility.
(6) Oil drilling and workover facili-
ties (onshore). (1) Mobile drilling or
workover equipment should be posi-
tioned or located so as to prevent
spilled oil from reaching navigable
waters.
(11) Depending on the location.
catchment basins or diversion struc-
tures may be necessary to intercept
and contain spills of fuel, crude oil. or
oily drilling fluids.
(ili) Before drilling below any casing
string or during workover operations,
a blowout prevention (BOP) assembly
and well control system should be in--
stalled that is capable of controlling
any well head pressure that is expect-
ed to be encountered while that BOP
assembly is on the well. Casing and
BOP installations should be in accord-
ance with State regulatory agency re-
quirements.
(7) Oil drilling, production, or work-
over facilities (offshore), (i) Definition;
"An oD drilling, production or wor-
kover facility (offshore)" may include
all drilling or workover equipment.
wells, flowlines, gathering lines, plat-
forms, and auxiliary nontransporta-
tion-related equipment and facilities
in a single geographical oil or gas field
operated by a single operator.
(11) Oil drainage collection equip-
ment should be used to prevent and
control small oil spillage around
pumps, glands, valves, flanges, expan-
sion joints, hoses, drain lines, separa-
tors, treaters, tanks, and allied equip-
ment. Drains on the facility should be
controlled and directed toward a cen-
tral collection sump or equivalent col-
lection system sufficient to prevent
discharges of oil Into the navigable
waters of the United States. Where
drains and sumps are not practicable
oil contained in collection equipment
should be removed as often as neces-
sary to prevent overflow.
(Hi) For facilities employing a sump
system, sump and drains should be
adequately sized and a spare pump or
equivalent method should be available
to remove liquid from the sump and
assure that oil does not escape. A regu-
lar scheduled preventive maintenance
inspection and testing program should
be employed to assure reliable oper-
ation of the liquid removal system and
pump start-up device. Redundant
automatic sump pumps and control de-
vices may be required on some instal-
lations.
(iv) In areas where separators and
treaters are equipped with dump
valves whose predominant mode of
failure is in the closed position and
pollution risk Is high, the facility
should be specially equipped to pre-
vent the escape of oil. This could be
accomplished by extending the flare
line to a diked area If the separator Is
near shore, equipping it with a high
liquid level sensor that will automati-
cally shut-in wells producing to the
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§112.7
40 CFR Ch. I (7-1-91 Edition)
separator, parallel redundant dump
valves, or other feasible alternatives to
prevent oil discharges.
(v) Atmospheric storage or surge
tanks should be equipped with high
liquid level sensing devices or other ac-
ceptable alternatives to prevent oil dis-
charges.
(vi) Pressure tanks should be
equipped with high and low pressure
sensing devices to activate an alarm
and/or control the flow or other ac-
ceptable alternatives to prevent oil dis-
charges.
(vii) Tanks should be equipped with
suitable corrosion protection.
(viii) A written procedure for in-
specting and testing pollution preven-
tion equipment and systems should be
prepared and maintained at the facili-
ty. Such procedures should be includ-
ed as part of the SPCC Plan.
(ix) Testing and inspection of the
pollution prevention equipment and
systems at the facility should be con-
ducted by the owner or operator on a
scheduled periodic basis commensu-
rate with the complexity, conditions
and circumstances of the facility or
other appropriate regulations.
(x) Surface and subsurface well
shut-in valves and devices in use at the
facility should be sufficiently de-
scribed to determine method of activa-
tion or control, e.g., pressure differen-
tial, change in fluid or flow conditions,
combination of pressure and flow,
manual or remote control mecha-
nisms. Detailed records for each well,
while not necessarily part of the plan
should be kept by the owner or opera-
tor.
(xi) Before drilling below any casing
string, and during workover operations
a blowout preventer (BOP) assembly
and well control system should be in-
stalled that is capable of controlling
any well-head pressure that is expect-
ed to be encountered while that BOP
assembly is on the well. Casing and
BOP installations should be in accord-
ance with State regulatory agency re-
quirements.
(xii) Extraordinary well control
measures should be provided should
emergency conditions, including fire,
loss of control and other abnormal
conditions, occur. The degree of con-
trol system redundancy should vary
with hazard exposure and probable
consequences of failure. It is recom-
mended that surface shut-in systems
have redundant or "fail close" valving.
Subsurface safety valves may not be
needed in producing wells that will not
flow but should be installed as re-
quired by applicable State regulations.
(xiii) In order that there will be no
misunderstanding of joint and sepa-
rate duties and obligations to perform
work in a safe and pollution free
manner, written instructions should be
prepared by the owner or operator for
contractors and subcontractors to
follow whenever contract activities in-
clude servicing a well or systems ap-
purtenant to a well or pressure vessel.
Such instructions and procedures
should be maintained at the offshore
production facility. Under certain cir-
cumstances and conditions such con-
tractor activities may require the pres-
ence at the facility of an authorized
representative of the owner or opera-
tor who would intervene when neces-
sary to prevent a spill event.
(xiv) All manifolds (headers) should
be equipped with check valves on indi-
vidual flowlines.
(xv) If the shut-in well pressure is
greater than the working pressure of
the flowline and manifold valves up to
and including the header valves associ-
ated with that individual flowline, the
flowline should be equipped with a
high pressure sensing device and shut-
in valve at the wellhead unless provid-
ed with a pressure relief system to pre-
vent over pressuring.
(xvi) All pipelines appurtenant to
the facility should be protected from
corrosion. Methods used, such as pro-
tective coatings or cathodic protection,
should be discussed.
(xvii) Sub-marine pipelines appurte-
nant to the facility should be ade-
quately protected against environmen-
tal stresses and other activities such as
fishing operations.
(xviii) Sub-marine pipelines appurte-
nant to the facility should be in good
operating condition at all times and in-
spected on a scheduled periodic basis
for failures. Such inspections should
be documented and maintained at the
facility.
(8) Inspections and records. Inspec-
tions required by this part should be
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Environmental Protection Agency
Pt. 112, App.
in accordance with written procedures
developed lor the facility by the owner
or operator. These written procedures
and a record of the Inspections, signed
by the appropriate supervisor or in-
spector, should be made part of the
SPCC Plan and maintained for a
period of three years.
(9) Security (excluding oil produc-
tion facilities). (1) All plants handling,
processing, and storing oil should be
fully fenced, and entrance gates
should be locked and/or guarded when
the plant is not in production or is un-
attended.
(11) The master flow and drain valves
and any other valves that will permit
direct outward flow of the tank's con-
tent to the surface should be securely
locked in the closed position when in
non-operating or non-standby status.
(ill) The starter control on all oil
pumps should be locked in the "off"
position or located at a site accessible
only to authorized personnel when the
pumps are in a non-operating or non-
standby status.
(iv) The loading/unloading connec-
tions of oil pipelines should be secure-
ly capped or blank-flanged when not
in service or standby service for an ex-
tended time. This security practice
should also apply to pipelines that are
emptied of liquid content either by
draining or by inert gas pressure.
(v) Facility lighting should be com-
mensurate with the type and location
of the facility. Consideration should
be given to: (A) Discovery of spills oc-
curring during hours of darkness, both
by operating personnel. If present, and
by non-operating personnel (the gen-
eral public, local police, etc.) and (B)
prevention of spills occurring through
acts of vandalism.
(10) Personnel, training and spill
prevention procedures. (1) Owners or
operators are responsible for properly-
instructing their personnel in the op-
eration and maintenance of equipment
to prevent the discharges of oil and
applicable pollution control laws, rules
and regulations.
(11) Each applicable facility should
have a designated person who is ac-
countable for oil spill prevention and
who reports to line management.
(Ill) Owners or operators should
schedule and conduct spill prevention
briefings for their operating personnel
at intervals frequent enough to assure
adequate understanding of the SPCC
Plan for that facility. Such briefings
should highlight and describe known
spill events or failures, malfunctioning
components, and recently developed
precautionary measures.
APPENDIX—MEMORANDUM OP UND'EH-
STANDINC BETWEEN THE SECRETARY
or TRANSPORTATION AND THE AD-
MINISTRATOR OP THE ENVIRONMEN-
TAL PROTECTION AGENCY
SECTION ii—DEnwmoiis
The Environment*] Protection Agency
and the Department of Transportation
agree that for the purposes of Executive
Order 11548. the term:
(1) "Non-transportation-related onshore
and of/shore facilities" means:
(A) Fixed onshore and offshore oU well
drilling facilities Including all equipment
and appurtenances related thereto used In
drilling operations for exploratory or devel-
opment wells, but excluding any terminal
facility, unit or process Integrally associated
with the handling ot transferring of oil In
bulk to or from a vessel.
(B) Mobile onshore and offshore oil well
drilling platforms, barges, trucks, or other
mobile facilities Including all equipment and
appurtenances related thereto when such
mobile facilities are fixed In position for the
purpose of drilling operations for explorato-
ry or development wells, but excluding any
terminal facility, unit or process integrally
associated with the handling or transferring
of oil In bulk to or from a vessel.
(C) Fixed onshore and off&hore oil pro-
duction structures, platforms, derricks, and
rigs including all equipment and appurte-
nances related thereto, as well as completed
wells and the wellhead separators, oil sepa-
rators, and storage facilities used in the pro-
duction of oil. but excluding any terminal
facility, unit or process integrally associated
with the handling or transferring of oil In
bulk to or from a vessel.
(D) Mobile onshore and offshore oil pro-
duction faculties including all equipment
and appurtenances related thereto as well
as completed wells and wellhead equipment,
piping from wellheads to oil separators, oil
separators, and storage facilities used In the
production of oil when such mobile facilities
are fixed in position for the purpose of oil
production operations, but excluding any
terminal facility, unit or process Integrally
associated with the handling or transferring
of oil in bulk to or from a vessel.
29
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§113.1
40 CFR Ch. I C7-1-91 Edition)
(E) Oil refining facilities including All
equipment and appurtenances related there-
to as well as in-plant processing units, stor-
age units, piping, drainage systems and
waste treatment units used in the refining
of oil, but excluding any terminal facility.
unit or process integrally associated with
the handling or transferring of oil in bulk to
or from a vessel.
(F) Oil storage facilities including all
equipment and appurtenances related there-
to as well as fixed bulk plant storage, termi-
nal oil storage facilities, consumer storage.
pumps and drainage systems used in the
storage of oil. but excluding inline or break-
out storage tanks needed for the continuous
operation of a pipeline system and any ter-
minal facility, unit or process integrally as-
sociated with the handling or transferring
of oil in bulk to or from a vessel.
(G) Industrial, commercial, agricultural or
public facilities which use and store oil. but
excluding any terminal facility, unit or
process integrally associated with the han-
dling or transferring of oil in bulk to or
from a vessel.
(H) Waste treatment facilities Including
in-plant pipelines, effluent discharge lines,
and storage tanks, but excluding waste
treatment facilities located on vessels and
terminal storage tanks and appurtenances
for the reception of oily ballast water or
tank washings from vessels and associated
systems used for off-loading vessels.
(I) Loading racks, transfer hoses, loading
arms and other equipment which are appur-
tenant to a nontransportation-related facili-
ty or terminal facility and which are used to
transfer oil in bulk to or from highway vehi-
cles or railroad cars.
(J) Highway vehicles and railroad cars
which are used for the transport of oil ex-
clusively within the confines of a nontrans-
portatlon-reiated facility and which are not
intended to transport oil in interstate or
uitrastate commerce.
(K) Pipeline systems which are used for
the transport of oil exclusively within the
confines of a nontransportation-related fa-
cility or terminal facility and which are not
intended to transport oil in interstate or
intrastate commerce, but excluding pipeline
systems used to transfer oil In bulk to or
from a vessel.
(2) "Transportation-related onshore and
offshore facilities" means:
(A) Onshore and offshore terminal facili-
ties including transfer hoses, loi^lfog arms
and other equipment and appurtenances
used for the purpose of bundling or trans-
ferring oil in bulk to or from a vessel as well
as storage tanks and appurtenances for the
reception of oily ballast water or tank wash-
ings from vessels, but excluding terminal
waste treatment facilities and terminal oil
storage facilities.
(B) Transfer hoses, loading anna and
other equipment appurtenant to a non-
transportation-related facility which is used
to transfer ofl in bulk to or from a vessel.
(C) Interstate and intrastate onshore and
offshore pipeline systems Including pumps
and appurtenances related thereto as well
as In-line or breakout storage tanks needed
for the continuous operation of a pipeline
system, and pipelines from onshore and off-
shore oil production facilities, but excluding
onshore and offshore piping from wellheads
to oil separators and pipelines which are
used for the transport of oil exclusively
within the confines of a nontransportation-
related facility or terminal facility and
which are not intended to transport oil in
interstate or intrastate commerce or to
transfer oil in bulk to or from a vessel.
(D) Highway vehicles and railroad cars
which are used for the transport of oil in
interstate or intrastate commerce and the
equipment and appurtenances related there-
to, and equipment used for the fueling of lo-
comotive units, as well as the rights-of-way
on which they operate. Excluded are high-
way vehicles and railroad cars and motive
power used exclusively within the confines
of a nontransportation-related facility or
terminal facility and which are not intended
for use in interstate or intrastate commerce.
PART 113—LIABILITY LIMITS FOR
SMALL ONSHORE STORAGE FA-
CILITIES
Sec.
113.1
113.2
113.3
113.4
Subpart A — OH Storage
Purpose.
ApplicabUlty.
Definitions.
Size classes and associated liability
limits for fixed onshore oil storage fa-
cilities. 1.000 barrels or less capacity.
113.5 Exclusions.
113.6 Effect on other laws.
AUTHORITY: Sec. 311(f)(2). 86 Stat. 867 (33
U.S.C. 1251 (1972)).
SOURCE: 38 FR 25440. Sept. 13. 1973.
unless otherwise noted.
Subpart A—Oil Storage Facilities
§ 113.1 Purjxx*.
This subpart establishes size classifi-
cations and associated liability limits
for small onshore oil storage facilities
with fixed capacity of 1.000 barrels or
less.
30
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SECTION 3
PARTI
DOCUMENTING AN OIL SPILL
The OSC and the cleanup supervisor are responsible for ensuring the accurate documentation of an
oil spill cleanup operation. This documentation is necessary for protection in the event of lawsuits.
It is also a valuable tool to improve the management of cleanup operations and thus reduce expenses.
The study of well documented histories of past oil spills can also be used to improve a facilities oil
spill prevention program.
THE DAILY LOG
Regardless of who responds, documentation has to be completed. A log of daily events should be
kept from the time a spill is first noticed until cleanup operations are complete. One person should
be delegated the responsibility of recording all data pertaining to the spill on a daily basis. For legal
purposes, bound volumes with consecutively numbered pages should be used rather than looseleaf
notebooks. Records kept in looseleaf notebooks could be subject to claims that information was
purposefully removed or added. Each entry should record the date, time, place, action and
signature(s) of the witness(es). Because of its value particularly as potential legal evidence, the log
must be kept in a secure place.
Any information that could be of importance should be recorded while the clean-up is in progress.
Small, portable tape recorders allow a supervisor to verbally document operations as he views them
from the air, water or land. Tapes should be transcribed daily. Large spills may necessitate each
supervisor to keep a personal log. Entries from such logs should be consolidated and recorded into
the headquarters log. Information should be as complete as possible.
Some of the more important points to document include:
1. The limits of the spill. (Did the oil reach a certain intake, marina, beach or marsh?)
2. Damages resulting from the spill. (Were warnings issued?)
a. Property
1) boats - names and registration numbers
2) other
b. Life
1) human injury or death - names, addresses, extent of injuries
2) livestock - number of owner(s), address(es)
3) wildlife - number of oiled birds collected, numbered cleaned, number
surviving
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3. Prior condition of the area and property if known.
4. Cleanup operations.
a. Equipment and manpower available (cooperatives, contractors)
b. Actions taken (equipment and techniques employed, chemicals used, etc.)
c. Assessment of effectiveness/recommendations
5. Orders, directions on decision-making events.
a. The OSC shall keep a log of the decision-making events during the spill
cleanup. This is particularly important when the OSC approves the cleanup
area. This procedure will ensure that the orders from the OSC are very
clear.
b. The spiller shall record all orders and directions from the on-scene
coordinator in a log because the spiller is officially responsible to the federal
on-scene coordinator.
6. Record of manpower, equipment and materials used.
a. Contractors on a federal cleanup, shall submit to the OSC, daily time sheets
listing manpower, equipment and materials used.
b. These documents shall be signed by the OSC representative and the contractor
supervisor at the close of each work day.
c. Contractors must understand that only charges so verified and authorized by
the OSC will be accepted for payment. This action will avoid disagreement
upon completion of the cleanup.
PHOTOGRAPHS
Color photographs should be taken to record the source and the extent of the spill and the cleanup
effort. A 35 mm camera is recommended for documentation. The following information should be
recorded at the time each picture is taken:
1. name and location of the vessel, facility or site,
2. date and time the photograph was taken,
3. names of photographer and witnesses,
4. description of what is being photographed, and
5. reference to outstanding landmarks.
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In addition, lawyers often want information on shutter speed, f-stop, type of film used and details
of film processing. A Polaroid camera can be useful by providing the photographer with an
immediate visual record, allowing a scene to be reshot if needed to obtain an acceptable photograph.
For large spills, a professional photographer should be hired to handle photographic documentation.
The professional photographer will require information regarding what is to be photographed. The
photographer's name and number should be in the contingency plan.
OIL SAMPLING
Oil sampling is an important part of documentation during the spill and the cleanup. The federal
OSC may split the sampling with the responsible parties to verify the analysis. An oil spill can result
in a lawsuit, so all the facts of a spill should be available from the beginning of the spill to its
cleanup completion.
Methods of identifying particular oils essentially match samples based on the assumption that no two
oils have identical compositions unless they have identical histories. This relationship has been
termed the "fingerprint principle" because, in theory, every oil is unique. It should be emphasized
that this is a theory since weathering will tend to alter the composition of an oil, making it more
difficult to trace. Co-mingling with other products and contamination are also significant problems
in fingerprinting.
SAMPLING PROCEDURES FOR OIL SPILLS ON WATER
At the present time, there is no standard procedure for oil sampling although the EPA, U.S. Coast
Guard and ASTM are expected to publish methods soon. Until then, the following procedures
should be considered.
The objectives of oil sampling are to:
1. Determine the quantity of oil that makes identification possible after consultation with
the lab,
2. obtain a true representation of the oil;
3. handle the sample properly so that it is not contaminated or altered in any way; and
4. protect the legal validity of the sample identity and subsequent analyses.
As a part of the planning procedure, a sampling kit should be assembled which includes the
following items:
1. spatula,
2. note pad,
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3. pens with indelible ink,
4. sample bottles, glass or Teflon, with lids (pint, wide-mouth bottle and Teflon-lined
lid),
5. labels to identify location,
6. packing material or appropriate case to prevent breakage of sample bottles during
shipping,
7. pads for some type of sorbent material to pick up rainbows, and
8. rags for cleanup of personnel.
The recommended sample size varies, but generally one pint is sufficient. Many of the procedures
used for identification require only a small amount of material, so a sample should be taken even if
a full pint cannot be obtained. Duplicate samples should be taken from each area so that one bottle
can be sent to the laboratory for analysis and the other retained for reference. Glass and Teflon are
the only two types of containers recommended for oil spill sampling. Glass containers are most
frequently used because they are less expensive and more available. Care should be taken in packing
glass containers in dry ice. For this duty it is better to use Teflon containers. A Teflon-lined top
should be used, but any non-metallic closure is acceptable. Unused containers are preferred,
although previously used containers that have been cleaned with a strong detergent and thoroughly
rinsed are acceptable.
Sampling a slick is a simple procedure, but care must be taken to get a true representation of the
spill. When the oil is several inches thick the person taking the sample can skim a sufficient amount
from the top. However, when the oil is thin this is not possible. Plenty of samples should be taken
when there is enough available and the excess should be stored as duplicates. It is best to keep the
samples cold to prevent biological and chemical degradation.
To obtain a large enough sample from a thin layer of oil, first skim as much oil into a jar as
possible. Then turn the bottle upside down (with the cap screwed on) and slowly unscrew the cap.
Let the water run from the jar but tighten the cap before the oil escapes. Repeat this procedure
several times until a reasonable oil sample size is obtained.
When oil layers are so thin (rainbows) that a sample cannot be obtained using the upside-down
method, absorbent pads may be used. Several types are available and may be cut to size. Glass
fiber insulation material is used by some Coast Guard offices to take samples. This material has a
special coating that does not contaminate the sample. Pads used in gun cleaning also work well.
The pad should be placed in an appropriately sized bottle after it is well oiled. Several pads should
be oiled to obtain enough oil for analysis and placed in a sample bottle. The bottle should be labeled
as to the type of pads used. Other acceptable pads are sheets of Teflon, polypropylene fiber, rayon
waste and polyurethane foam. Another sampling device that is used fairly frequently is aluminum
foil. A sheet of heavy-duty foil is skimmed along the surface of the spill and placed into ajar.
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SAMPLING OILED BEACHES
Oil spill samples on beaches can be collected by picking up oil-coated sand and transferring it to
containers. Oil on rocks or debris can be scraped into containers with a spatula.
SOIL SAMPLING
Oil spill samples on dry land can be collected by picking up oil-coated soil and transferring it to
containers. Oil on rocks or debris can be scraped into containers with a spatula.
REFERENCE SAMPLES
Reference samples are taken to determine the source of the spill. Reference samples are important
because oil identification is basically accomplished by matching the oil sample with the reference to
determine the oil's origin. Reference samples should be taken from every possible spill source in
the area even though some may not appear to be involved with the spill. The references should be
properly labeled and described in a log as to location, nature and why they were selected. All facts
pertaining to the reference samples must be in writing and witnessed to be legally valid.
Underground leaks from service station tanks present some different sampling problems. Gasoline
may seep through the ground and float on the water table, traveling several miles underground. For
this reason, it is important to obtain reference gasolines from all possible seepage sources, even
though they may not be in the immediate vicinity of the spot where the leak was discovered. This
would include service station underground tanks, surface storage tanks and pipelines.
SAMPLE ANALYSIS
As part of the oil spill cleanup preparation, arrangements should be made with an analytical
laboratory to analyze oil samples. After samples are collected and witnessed, the person handling
the sampling should oversee the packaging and shipping. The person in charge should state in a
letter that he observed the samples being packaged and that he took the package to the carrier, who
received it and marked it in some distinctive way (i.e., adhering a numbered form to it). He should
also state that he requested the carrier to return to him evidence that the package was delivered to
the addressee. He should attach to the letter the carrier's receipt for the package and follow up to
see that the package was delivered.
When samples reach the laboratory, chemists have several analytical methods at their disposal to
identify the sample. The most commonly accepted methods are gas chromatography, atomic
absorption spectrophotometry and infrared analysis. These methods utilize various characteristics
of the oil to identify it.
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Gas chromatography is used to characterize the organic components such as isooctane and propane.
A small quantity of the sample is injected into a carrier gas and enters a small diameter column,
usually several feet long, filled with a chemical packing material. The column is heated to control
the rate the sample fractions move through the column. The small molecules travel at a faster rate
than the long chain molecules and are detected at the end through a flame measuring technique or
by other methods. Standard pure organic samples are also injected in the column. The readout oil
sample is compared to the readouts for standards. The device can determine quality and quantity
of different fractions of oil.
Atomic absorption spectroscopy is used in oil identification to determine the nickel/vanadium ration
of oils. This procedure is based on the premise that the nickel/vanadium ratio is unique to a
particular oil and does not change significantly during weathering. In atomic absorption
spectrophotometry, a light beam is directed through a flame that is burning the sample, then the light
from the flame passes through very small grids and onto a detector that measures the amount of
light. The wavelength of the light beam is characteristic of the metal being determined, and the
amount of light energy absorbed by the flame is a measure of the concentration of that metal in the
sample.
Infrared analysis is useful in oil analysis because nearly all chemical compounds show marked
selective absorption in the infrared regions. It has been found that infrared spectra are very
complex, making it improbable that any two compounds will have identical curves. The instrument
is capable of generating light over a range of wavelengths in the infrared region. The sample is
placed in a glass vial and infrared light passed through. Absorption of the infrared radiation
displaces the atoms from their normal positions and causes them to oscillate. The remaining light
passes on to a photocell and results in a reading on a graph.
SUMMARY
One of the most important tasks of the cleanup operation is to accurately record the history of the
oil spill. The purpose of documentation is to protect the company, minimize expenses and use the
log as a basis for critiquing the spill prevention and cleanup programs. It is important to record the
extent of the spill, orders that were received from the government on-scene coordinator, major orders
given to others and an assessment of the cleanup activities each day. Because one does not know
what may be important at the time, it is necessary to take more pictures, and samples and to record
the written information than one may believe necessary.
The spilled oil should be documented by taking samples of unspilled oil for reference and spilled oil
for comparison. The sampling program and arrangements for sample shipping and chemical analyses
should be preplanned.
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FURTHER READING
Haubold, S.A. 1981. Contingency planning for oil spill litigation. In: Proceedings, 1981 Oil Spill
Conference, pp. 691-694. American Petroleum Institute, Washington, D.C.
Lawler, G.C. and J.L. Laseter. 1979. Analytical documentation of spills of oil and hazardous
substances into the marine development. In: 1979 U.S. Fish and Wildlife Service Pollution
Response Workshop, pp. 172-198. U.S. Fish and Wildlife Service, Washington, D.C.
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APPENDIX I
OIL SPILL DOCUMENTATION
A COMPLETE WRITTEN OR TAPED RECORD SHOULD BE MADE OF ALL ACTIONS
TAKEN DURING A RESPONSE ACTIVITY. TO THE DEGREE POSSIBLE, THE RECORD
SHOULD BE MADE AS EVENTS OCCUR.
THE RECORD SHOULD INCLUDE AS A MINIMUM:
NOTIFICATION INFORMATION.
A TIME RECORD FROM THE SPILL INCIDENT TO COMPLETION OF
CLEAN-UP.
AMOUNT AND TYPE OF MATERIAL SPILLED, EXTENT OF THE SPILL,
AND ANY OTHER VISUAL OBSERVATIONS.
AN ANALYSIS OF THE SPILLED MATERIAL, COMPARING UNSPILLED
AND SPILLED.
THE RESPONSE TAKEN.
PARTY IDENTIFIED AS LIABLE FOR SPILL RESPONSE AND CLEAN-UP
COSTS.
ALL CONVERSATIONS WITH NON-COMPANY PERSONS.
A LISTING OF ALL PERSONS AT THE SCENE.
ALL COSTS INCURRED.
A DETERMINATION OF MATERIAL RECOVERED.
AN ASSESSMENT OF DAMAGES.
WHENEVER POSSIBLE, PHOTOGRAPHS SHOULD BE TAKEN TO ESTABLISH A VISUAL
RECORD.
by: CAPTAIN TIM PLUMMER
Marine Superintendent
The Standard Oil Co. (Ohio)
200 Public Square
Cleveland, OH 44144-02375
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NOTIFICATION INFORMATION
Date and Time of notification of spill.
Person reporting the spill.
Telephone number to reach person reporting the spill.
Vessel name.
Location of spill (detailed).
Date and time of the spill. Occurred or discovered.
Type of material spilled.
Quantity of material spilled.
Source of the spill:
Tank Overflow
Pipeline Failure
Hose Failure
Tank Rupture
Overboard Seasuction
Other
Unknown
Is spill stopped or continuing.
If continuing what is the flow rate and quantity remaining that could be spilled.
Actions underway and planned to stop the spill.
River and weather conditions (i.e., river stage, wind speed and direction, visibility,
forecast).
Summary of vessel damage.
Notification information:
Who was notified of the spill and when.
WRITTEN RECORD
All information should be as complete as possible. Assign a historian to keep THE written record
of what is happening.
His/her only job is to keep the record.
For legal purposes, bound volumes with consecutively numbered pages should be used rather than
loose leaf notebooks.
Each entry should include date, time, place, action, and signature of witnesses.
Small, portable tape recorders are very handy to use, but tapes should be transcribed daily into THE
written record.
There should be ONE record telling the whole story of the spill and cleanup efforts describing
everything that took place.
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AMOUNT AND TYPE OF MATERIAL SPILLED/EXTENT OF THE SPILL/OTHER VISUAL
OBSERVATIONS
The limits of the spill. Where has the oil reached and where is it likely to reach.
AN ANALYSIS OF THE SPILLED MATERIAL - SAMPLES
The objectives of oil sampling are:
1. To obtain a quantity of oil that makes identification possible.
2. To obtain a true representation of the oil spilled.
3. To handle the sample properly so that it is not contaminated or altered in any
way.
4. To protect the legal validity of the sample identity and subsequent analyses.
Proper labeling: date, time, location sample was taken, sampler.
The spilled oil should be documented by taking samples of unspilled oil for reference and spilled oil
for comparison. The sampling program and arrangements for sample handling and analyses should
be preplanned.
THE RESPONSE TAKEN
Equipment and manpower available from refinery, cooperative and contractors.
Actions taken, equipments used, techniques employed, chemicals used, etc.
Assessment of the effectiveness of the cleanup efforts each day.
PARTY IDENTIFIED AS LIABLE FOR SPILL RESPONSE AND CLEAN-UP COSTS.
If a vessel causes a spill, they would be responsible for the clean-up and costs.
We may have to or want to assume the responsibility for clean-up.
Our reputation and image are very important to us. If this is done we will pass the costs back to the
vessel.
ALL CONVERSATIONS WITH NON-COMPANY PERSONS.
Coast Guard, EPA, Police, Fire, etc.
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Media or other private sector should be referred to Public Affairs.
The government On-Scene Coordinator is overall in charge, so be sure to record all orders and
directions from him/her. Then have him/her sign to acknowledge.
A LISTING OF ALL PERSONS AT THE SCENE
Officials: U.S. Coast Guard
EPA
Police
Fire
Others
Contractors: Persons in charge.
Total number of workers.
Shifts and hours worked.
ALL COSTS INCURRED
Contractors should be required to submit time sheets daily listing manpower, equipment, and
materials used. J
These should be verified daily by a Sohio designated representative and contractor's representative
and stipulated as a requirement with the contractor for eventual payment.
DETERMINATION OF MATERIAL RECOVERED
This illustrates the effectiveness of the clean-up and helps to determine the amount of oil not
recovered.
AN ASSESSMENT OF DAMAGES
Property
1. Boats: names and registration numbers.
2. Docks: location.
3. Other.
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Life
1. Human injury or death - names, address, extent of injuries.
2. Livestock - numbers, owners, addresses.
3. Wildlife - number of oiled birds collected, number cleaned, number
surviving.
Include prior condition of the area if known.
PHOTOGRAPHS
Color photographs to help document the extent of the spill and clean-up effort. A 35 mm camera
is recommended.
The following information should be recorded for each photo.
1. Name and location of vessel, facility or site.
2. Date and time.
3. Names of photographer and witness.
4. Description of what's being photographed.
5. Reference to outstanding landmarks.
A polaroid is helpful for immediate use. A professional photographer should be used for large spills.
Use of a video camera is also very helpful to illustrate a perspective not possible with photographs.
NEED FOR GOOD DOCUMENTATION
Potential for legal scrutiny.
Insurance support.
A reference if lawsuits occur.
Substantiate or disprove clean-up costs.
Illustrate to officials the efforts made.
Minimize expenses.
Improve contingency plans and future responses.
SUMMARY
Because one does not know what may be important at the time, it is necessary to take many more
pictures, take more samples and record much more written information than one may believe
necessary. In other words, you can't record too much information.
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SECTION 3
PART II
OIL CLEANUP CONTRACTORS
Numerous contracting companies have been formed in recent years to assist in oil spill cleanup
operations. These companies range in size from the very small organization with limited equipment
to large well-staffed and well-equipped companies capable of handling major spills. The services
of general contractors not necessarily in the oil spill cleanup business are also important during
cleanup operations. In all cases, the function of a third party contractor is to assist a company in
cleaning up a spill.
CONTRACTING SERVICES AVAILABLE
Oil spill contractor services can range from furnishing equipment items, such as vacuum trucks or
pumps, to providing complete cleanup of a spill on a turn-key basis. The more limited assistance
of providing equipment can usually be arranged through heavy equipment contractors in most parts
of the country. Contractors that offer the service of turn-key oil spill cleanup are usually located
near major petroleum production, manufacturing and distribution centers.
A company may find its needs served best by prearranging for the services of a number of
contractors in their area. For example, a company may have an agreement to rent heavy equipment
with operators from a highway contractor, small equipment such as pumps, chain saws and portable
lights from a contractor supply firm; helicopters from an aircraft company; boats from a barge
company; and cleanup services from several oil cleanup contractors.
Some specific services that can be obtained from an oil cleanup contractor include:
1. spill-response units on call 24 hours a day that include well equipped trucks and
trained personnel to combat a spill in the initial stages;
2. backup manpower and equipment for large spills;
3. large, offshore or bay-type self-propelled skimmers;
4. warehouses stocked with sorbents and booms;
5. rental agreements with other contractors to bring in additional vacuum trucks and
other equipment;
6. experienced personnel to assist in supervising cleanup operations;
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7. commercial disposal sites for oily debris; and
8. oil reclamation facilities for recovered oil.
MANPOWER SUPPLY
One of the most important contract services is to provide a nucleus of trained supervisory personnel.
It is essential that enough trained supervisors be available to prevent individuals from becoming
overextended and unable to direct the work properly.
No one would expect a contractor to keep more than a skeleton crew available at any time for a spill,
so provisions must be made to greatly expand the contractor's force as required. The contractor
should have files on potential workers and may make public appeals for labor. These people will
be inexperienced and must have careful supervision. One contractor in New York believes that this
is best solved by operating a union company and hiring workers from the union hall. This can have
its disadvantages by raising the price for unskilled as well as skilled workers.
A large contractor in the Houston area built his business from a waste oil hauling and disposal
operation. He is capable of expanding to a 100-person oil spill labor force because of drivers
available for his trucking operation. This method of expanding his labor force has proven valuable.
THE CLEAN CHANNEL INC. CONTRACTOR
The second company described above acts as the contractor for Clean Channel Inc. of Houston. In
this arrangement the contractor is called by member companies to handle the entire cleanup
operation. Some members have personnel on call to contain the spill by deploying booms for quick
containment but leave the cleanup operation to the contractor. This contractor works the Texas City
area as well as Houston and therefore keeps equipment and personnel at each location. A warehouse
is located at the Houston site to store equipment, boom and sorbent. Facilities have been installed
to clean boom equipment using steam and solvent. Access to the warehouse is by boat off the
Houston Ship Channel, by highway and by helicopter. A helicopter pad has been constructed from
an old building slab.
THE CLEAN GULF CONTRACTOR
Halliburton Services of Harvey, Louisiana, is the prime contractor for Clean Gulf Associates. This
arrangement calls for the contractor to own and maintain the cooperative's equipment and to supply
special services. Halliburton does not supply manpower to operate the equipment and does not
supply boats. These are furnished by the member companies involved in the cleanup, but the
contractor does provide three marine supervisors in an advisory capacity.
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Halliburton has agreed to make available other personnel such as mechanics and foremen to assist
the supervisory personnel from member companies of the Halliburton Marine Supervisors. The
additional labor is paid at the contractor's normal rates. With regard to manual labor, Halliburton
assists a company in securing personnel through Brown and Root or tidelands Marine.
THE CONTRACTOR AS AN OIL SPILL EQUIPMENT SALES OUTLET
Many contractors double as oil spill cleanup sales outlets. This gives them an opportunity to
diversify and to obtain equipment at discount prices. Because these companies also use their
products under actual spill conditions, they are in a good position to evaluate the equipment. A
number of contractor-sales operations sell booms stamped with their own name. The boom is made
by a manufacturing company, but often to a particular contractor's specifications. Some of their
changes may be extra handholds, anchor points, or additional reinforcement.
PREVENTING CONFLICTS WITH CONTRACTORS
Some conflicts between agencies and cleanup contractors in the past have originated from
disagreement over charges for equipment and manpower. To prevent problems, a cleanup supervisor
should be assigned to each contractor to carefully follow the operation. The supervisor should keep
a daily log of all contractor operations and have a meeting each afternoon with the contractor
superintendent to discuss what was accomplished, what needs to be done the next day, what
equipment will be charged to the job and the number and classification of labor hours that will be
charged for the day. If charges for each day's operation are agreed to by the agency and the
contractor, fewer problems should arise when invoices are received.
Some specific points to discuss with the contractor include:
1. What equipment at the job site is being charged to the project but is no longer
required?
2. What is the procedure for charging overtime for personnel?
3. At what rates are overtime charges made?
4. Are living expenses charged to the job?
5. Are protective clothing and hand tools charged to the job?
Contractor rates should be agreed on before a spill occurs, not during a spill. Participants in this
course should determine if their company and its contractors have mutually approved a rate schedule
that can be employed for oil spill cleanup. Because of inflation the contractor will probably specify
an expiration date on the rate sheet. If this is the case, a new rate sheet should be obtained as prices
expire.
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WHO DOES THE CONTRACTOR WORK FOR?
Depending on the spill, the contractor may work for the company responsible for the spill or for the
EPA or Coast Guard. If the contractor works for the responsible party, the OSC can direct the
clean-up through the responsible party representative. Usually, contractors employed by the Coast
Guard have been called in to handle mystery spills or spills that the spiller will not or cannot clean
up. In some cases a contractor may initially be hired by the spiller, but if cleanup costs become
prohibitive, the Coast Guard may assume cleanup responsibility and directly supervise the contractor.
Contractors working for the U.S. Coast Guard or EPA are paid from the Oil Spill Liability Trust
Fund established by the Oil Pollution Act of 1990. Although in such cases the U.S. Government
assumes cleanup responsibility, the spiller is still liable to the U.S. Government for cleanup costs
up to his limit of liability regardless of what costs the spiller encumbered prior to having turned the
spill over to the Coast Guard or EPA.
CONTRACTOR'S PROBLEMS
Contractors often encounter difficulties collecting payment for their services. Many ship company
spills are paid through insurance claims and the insurance companies tend to pay only a portion of
the contractor's cost. The contractor is expected to keep hundreds of thousands of dollars worth of
specialized equipment ready to go at all times backed by an army of well-trained laborers. This is
not economically practical and companies should not expect this type of service without paying for
it. A company that wants to continue to have the services of a competent contractor will see that
all bills are verified and paid as expeditiously as possible.
PREPLANNING CLEANUP OPERATION WITH THE CONTRACTOR
If a company expects to rely on a cleanup contractor for a significant portion of the operation, the
facility response plans will identify a contractor. Since oil will often move great distances after a
spill occurs, the expected response time of the contractor is an important consideration for pre-
planning cleanup operations. The company developing the contingency plan must know how the
contractor will respond when called, i.e., how long it takes, what equipment will be moved in on
initial call up and what manpower will respond to the spill. Arrangements must be made for early
communication between the company and the contractor.
Contractors can assist in determining recovery locations that will be adequate for their equipment in
obtaining disposal sites for debris and waste oil. The contingency plan should be developed as a
team effort between the contractor and company, and the plan must be updated as required.
SUMMARY
Becoming acquainted with area contractors, their capabilities and services can result in an improved
contingency plan. Information regarding what equipment contractors have available to them, where
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they obtain their labor and what their limitations are as far as numbers and experience should be
obtained. The company should determine if a contractor has something special to offer, such as an
oily water disposal system or a solid waste landfill. Rates and responsibilities should be agreed on
before a spill occurs. A company representative should be assigned to follow the contractor's work,
and charges for the amount of manpower and equipment used each day should be determined during
a meeting with the contractor at the end of the day.
TYPICAL CONTRACTUAL AGREEMENT OUTLINE
All segments should be written by company personnel who are experienced with writing contracts.
A typical contractual agreement between an oil cleanup contractor and a company should contain the
following:
1. name, address and telephone number of contractor to perform services;
2. name of company to receive services;
3. purpose of agreement;
4. where the services will be performed;
5. details of services to be performed and unit cost of each service;
6. statement on the liability of all services provided by the contractor;
7. what the company will provide;
8. statement on the liability of the company;
9. how work will be supervised by the company;
10. when and how payments will be made to the contractor;
11. dates the agreement will be in effect;
12. statements on dissolving the contract and/or obtaining compensation upon failure by
the contractor to act or, in the event he acts, in some manner not in the interest of
the company;
13. signatures of each party; and
14. date signed.
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SECTION 3
PART III
OIL SPILL CLEANUP COOPERATIVES
Oil spill cleanup cooperatives have been formed by companies to help provide a more effective and
economical capability for oil spill cleanup than that which can be provided by a single company.
Although there are many cooperatives in existence, they differ in organization and management. The
size of a cooperative can range from a two-company gentleman's agreement to loan equipment to
a fully staffed organization such as Clean Bay Inc. of the San Francisco area that owns over two
million dollars worth of specialized equipment and is capable of handling almost any oil spill
situation.
SMALL EQUIPMENT COOPERATIVES
A small equipment cooperative can be formed between two or more companies for their mutual
benefit. A simple agreement outlining the purpose and operating procedures of the proposed
cooperative is drawn up and submitted to each party for written approval. The agreement can
commit all or part of available equipment for other members' use. Booms, sorbents and skimmers
are usually the items shared. Each member facility should have a reasonable supply of all items in-
house for initial containment and cleanup of any potential spill, relying on equipment owned by other
members as backup for larger spills.
THE CLEAN BAY INC. COOPERATIVE
Advantages of larger cooperatives such as Clean Bay Inc. become apparent during large-scale spills.
Because of the size of the 1973 Oakland Estuary spill (about 4,000 barrels) Clean Bay Inc., a well-
organized, competent cleanup cooperative, was designated by the Coast Guard on-scene coordinator
as principal cleanup contractor. Within two hours after activating Clean Bay's contingency plan, a
mobil communications headquarters was established at the spill site and cooperative supervisors were
on-scene arranging for additional materials, contract laborers, trucks and marine equipment. Two
12-hour shifts manned the operation around the clock. Cooperative manpower included 122
supervisors augmented by 462 contract personnel. Major equipment included 8 large skimmers, 20
other major marine vessels, 30 small boats, 40 tank, dump and vacuum trucks, 3 helicopters and
stockpiles of equipment and supplies such as pumps, hoses, hand tools, floodlights and sorbents.
The Clean Bay oil spill response team managed the cleanup, directing the activities of personnel and
equipment supplied by 48 contractors. The cooperative provided a full complement of business
functions including supervision, purchasing, accounting, engineering, public relations and legal
counsel.
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Cooperative management was supplied by member company installations in the area. When the
contingency plan was activated, foremen, engineers, superintendents and supervisors that had been
predesignated and pretrained left their regular duties at local refineries, terminals and offices to take
their places in the Clean Bay organization, serving as area foremen, communications operators, Coast
Guard liaison coordinators or in a number of other positions.
It is obvious that a tremendous amount of planning is necessary to successfully operate a major
cooperative such as Clean Bay Inc. The effectiveness of the cooperative effort relies heavily on an
up-to-date comprehensive contingency plan which reflects changes in the personnel and equipment
inventories of its participants. Each man called for duty must know where to go and what to do, and
because of shift work, sickness and vacation schedules, each person must have additional alternates
ready to take his place.
THE CLEAN GULF COOPERATIVE
Clean Gulf Associates (CGA), a large equipment cooperative based in New Orleans, Louisiana,
obtains all equipment and some manpower on a contract lease basis from Oil Field Service
Corporation has three basic goals:
1. to provide oil spill containment and cleanup capability for use by member companies;
2. to maintain equipment at strategic locations in a state of 24-hour readiness; and
3. to evaluate technological advances for possible use by Clean Gulf.
Current membership includes 37 companies whose operations cover 98 percent of the total
production area along the Gulf Coast. Membership is open to new companies at any time.
Five basic points that help explain the relationship between the contractor, Halliburton Services and
Clean Gulf Associates are as follows.
1. The contractor purchases equipment authorized by the Cooperative Executive
Committee made up of members from each industry.
2. The contractor stockpiles equipment at different locations to provide optimum
coverage of the area.
3. The contractor leases the equipment exclusively to Clean Gulf.
4. The contractor furnishes three full-time marine supervisors to maintain equipment in
good working condition, to train member company personnel and to give on-scene
operational assistance.
5. The contractor provides one full-time engineer to work on new equipment design and
evaluation.
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An operations manual is distributed to all member companies. The manual contains detailed
procedures for obtaining equipment, daily rental fees, equipment descriptions including limitations
and operating instructions and manpower requirements for each item. It also includes an inventory
of the oil spill containment, cleanup and auxiliary equipment stockpiled by companies along the Gulf
Coast. The manual, in conjunction with training aids developed by the cooperative, provides a good
base for training personnel who will be responsible for supervision of oil spill cleanup.
The cooperative maintains a mobile response unit ready to be dispatched to any member company's
spill. The unit comes to the job with sufficient manpower and equipment to handle small spills and
will initiate containment of larger spills until more help arrives.
Some of the special equipment in the Clean Gulf inventory are as follows:
1. a barge-mounted high volume open sea skimmer system,
2. helicopter spray systems,
3. bird scare equipment,
4. a waterfowl rehabilitation unit and
5. shallow water skimmers.
ADVANTAGES AND DISADVANTAGES OF COOPERATIVES
Cooperatives offer the advantages of expanded cleanup capabilities without the burden of total cost
for such services. These features are particularly attractive for small, remote facilities, although the
disadvantages of cooperative endeavors must also be considered. Possible disadvantages include:
1. inconvenience of location of member equipment,
2. additional response time needed to enter, locate contact personnel, load equipment
and return to spill site,
3. incompatibility of equipment (particularly booms),
4. decreased capacity to respond in the event member spills occur concurrently and
5. failure to return equipment in proper condition or at all.
Preplanning, tight organization, written agreements which clearly delineate responsibilities of
members and a sincere cooperative spirit can go a long way in eliminating most of the above and
at least minimizing others.
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HOW TO TAKE FULL ADVANTAGE OF A COOPERATIVE
Participants can take full advantage of a cooperative by:
1. learning the operation of the cooperative and taking an active part by meeting other
members and attending meetings;
2. visiting member facilities, examining their equipment and checking to see that the
inventory sheet for their facility is current;
3. verifying the procedure to obtain member equipment and having current telephone
numbers and names;
4. learning how to use any specialized equipment available from other members and
training company personnel in its use;
5. visiting larger, more organized cooperatives to see how their methods could be
incorporated into the local cooperative;
6. updating information on equipment for other members; and
7. seeing that cooperative members hold regular drills to simulate oil spill conditions.
HOW TO FORM A COOPERATIVE
After checking the company contingency plan, it should be determined if additional manpower and
equipment from an outside source would be beneficial. If a cooperative can be of help, the company
should consider joining. If there are one or more companies nearby that could benefit by a
cooperative and none have been formed in the area, it might be worthwhile to consider forming a
cooperative. To aid in forming cooperatives, the API Committee on Environmental Law developed
an agreement form published in 1971. The purpose of the standard form is to include the major
provisions necessary to start such an organization and to avoid some of the problems that have
occurred in the past.
Essentially, the form explains the purpose of the cooperative, area of operation, membership,
detailed procedures and bylaws. A copy of the agreement form is reproduced at the end of this
section as a reference. A second agreement from the west coast is also included as a guide.
SUMMARY
Cooperatives are entities formed by two or more companies for the purpose of providing a standby
pool of equipment and/or manpower available to combat oil spills. Cooperatives are not always
chartered, staffed or operated the same way throughout the country. Rather, their organization is
adapted to fit the needs of their members. To serve its own needs best, a company must take an
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active part in the operations of the cooperative. This includes keeping equipment current and
changing the cooperative as necessary to ensure that it operates in the interest of the members it
serves. Periodic drills are necessary to assure that the cooperative can be activated effectively.
Much can be learned from the major cooperatives such as Clean Bay of San Francisco and Clean
Gulf of New Orleans. It will be worth while to study their operations and apply what they have
learned to one's own situation.
The API has developed a suggested agreement form to aid in forming a cooperative. If a cooperative
can be of help, a meeting of company neighbors should be arranged for the purpose of forming one.
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AGREEMENT FOR OIL SPILL COOPERATIVE
This agreement shall constitute the rules and procedures of the
(hereinafter "Committee1") (NAME OF OIL CONTROL COORDINATING COMMITTEE)
I. Purpose of the Committee
The purpose of the Committee is to develop, maintain and improve a procedure among the
member companies of the Committee for mutual assistance and cooperation in the control of
oil spill emergencies occurring within the following described area:
The procedure will involve the making available by the Committee or one or more member
companies of materials, equipment or personnel, in accordance with the conditions specified
below, to the member company affected by such emergency or to designated government
agencies or third parties. The procedure shall not result in any monetary profit to the
Committee or its member companies.
II. Membership in the Committee
The Committee shall consist of those companies operating refineries, terminals, pipelines or
other facilities for handling, storing, transporting, manufacturing, producing or drilling for
petroleum or petroleum products or related hydrocarbons in or about the area described
above, who shall from time to time agree to participate on the Committee. A list of the
initial member companies is attached hereto as Exhibit A. A member company of the
Committee may at any time on 30 days' written notice to the Chairman, with copies to all
member companies of the Committee, withdraw from the Committee. Exhibit A shall be
amended to reflect the admission to or withdrawal from the Committee of any company. All
member companies shall sign acceptances of the provisions of these Rules and Procedures.
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III. Procedures
A. Materials and Equipment - To implement the above stated purpose, it will be the
responsibility of the Chairman of the Committee, with the assistance of the
Committee members, to collect and maintain the following information:
1. Equipment Lists: There shall be furnished by each member company a list
of the equipment (pickup devices, skimmers, vacuum trucks, oil booms, etc.)
which it would be willing to make available for use by a member company
affected by an oil emergency or by the Committee, as the case may be. All
listed equipment shall be released on authority of the contact personnel of the
respective member company unless that company clearly designates on the list
that certain of the equipment can be released only on higher authority and
provides the name and job title of such higher authority.
2. Materials Lists: There shall be furnished by each member company a list of
the materials (approved chemicals, straw, etc.) which it would be willing to
make available for use by a member company affected by an oil emergency,
or by the Committee, as the case may be. All listed materials shall be
released on authority of the contact personnel of the respective member
company unless the company clearly designates on the list that certain of the
material can be released only on higher authority and provides the name and
job title of such higher authority.
Each member company may, at its sole discretion, permit the use of its listed
equipment and materials outside the above described area in accordance with
the terms of this agreement, or otherwise remove or permit the removal of
any such equipment and materials from said area.
3. Personnel: It is not anticipated that personnel will be supplied, except in the
case of specialized equipment, in which case each member company should
indicate on its equipment list which items will require trained personnel.
Such personnel would be furnished on a voluntary basis only, as hereinafter
provided.
4. Authorized Contact Lists: Each member company shall supply the names or
titles and plant telephone numbers of responsible personnel in its plant who
are authorized to release material and equipment for said company. This list
should be in the order to be called. The first item on the list, if possible,
should be the title of personnel who are on duty at all times. Except for the
normal work week (Monday to Friday, excluding holidays), this person
should be called to request material or equipment. The second name on the
list should be the company's representative on the Committee who would
normally be called during regular office hours. This should be followed by
his alternate on the Committee and other officials such as Plant Manager,
General Superintendent, etc. The home telephone numbers for the names
individuals should also be supplied.
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5. Other Sources of Materials and Equipment: The Committee shall prepare and
maintain names, addresses and telephone numbers of other sources of
materials and equipment, including the various suppliers of approved
chemicals. In addition, the Committee may, in accordance with this
agreement, acquire additional equipment or materials, which shall be sorted
at member company facilities or other locations mutually satisfactory to the
member companies and released on the Authority of the Chairman or (in his
absence) the Vice Chairman, or on request of a member company when that
company is affected by an oil spill emergency. Equipment and materials as
acquired by the Committee shall be owned as tenants in common by all
member companies and shall be held by the Committee as agent of said
members; provided, however, that any member company withdrawal from the
Committee shall as of the effective date of said withdrawal be deemed to have
waived and assigned to the remaining member companies as tenants in
common all its rights, title and interest in said equipment and materials and
shall execute such waiver and assignment, unless other arrangements are
approved by majority action of the remaining member companies. The
committee shall prepare and maintain a list describing the nature and location
of such equipment and materials. It shall be the responsibility of each
company to keep current the company's respective lists. The Committee shall
arrange for distribution of the various lists to all member companies.
B. Emergency Procedures - The procedures to be followed in the event of an oil
emergency shall be as respectively indicated below.
1. Assistance to Members: Any member company affected by an oil spill
emergency may, if assistance is desired, call on the Committee and other
member companies for materials and equipment listed as available. The
nearest member companies at which the required items are located should be
called first.
The member company affected by the emergency and requesting assistance
shall be solely responsible for taking steps necessary to meet it. Said member
company shall repair and return, or replace in kind, any materials or
equipment supplied at its request by the Committee or other member
companies and prior thereto shall, as necessary, provide and pay for
temporary replacement. Said member company shall also reimburse the
Committee and other member companies for any out-of-pocket costs incurred
by them in furnishing such assistance, including without limitation any
premium pay for personnel and the costs of consumable materials incurred or
expended as a result of furnishing such assistance. In no event shall any
reimbursement result in monetary profit to the Committee, it being the intent
of the Committee not to operate for profit. Any personnel voluntarily
supplied by the Committee or other member companies shall be completely
under the supervision and control of the member company requesting
assistance, and said company shall hold the other member companies
harmless from any claims and actions (whether or not based upon negligent
acts or omissions) for injuries to or the death of such personnel or any other
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persons or damage to property of member companies or third parties arising
out of the emergency or the actions taken to meet the emergency, including,
but not limited to, any liability arising out of or caused by the use of any
materials, equipment, or personnel furnished by any member company;
provided, however, that if the oil spill emergency was caused or contributed
to by a member company other than the member company requesting such
assistance, nothing herein shall relieve the responsible member company (or
other party) of any liability otherwise present (including liability to the
affected member company) for causing or contributing to the oil spill
emergency.
The member company affected by the emergency shall be responsible for
reporting the emergency to any governmental authority concerned. Said
member company shall also be responsible for all information releases
concerning the emergency provided, however, that any references therein to
Committee activities shall be coordinated through the Committee's public
relations spokesman hereinafter referred to.
2. Assistance to Others: With respect to oil spill emergencies other than those
affecting member companies, it is the intent that assistance from the
Committee and its member companies be made available to the U.S. Coast
Guard or other government agencies having jurisdiction, upon request, in
accordance with the conditions set forth below. To this end, it shall be the
duty of the Chairman to inform the above agencies of the existence of the
Committee and to supply them with the names, telephone numbers and
addresses of the Chairman and one or more alternates. Any member
company receiving notice of such an oil emergency shall instruct the source
of such information to contact the appropriate government agencies
immediately. At the same time, such member company shall also inform the
Chairman or, in his absence, the Vice Chairman. Only if said government
agencies fail to contact the Chairman or Vice Chairman promptly shall they
contact said agencies and ask if assistance from the Committee is desired.
In the event of an oil spill emergency affecting persons or companies other
than member companies, if so requested by the U.S. Coast Guard or other
appropriate government agency, the use of listed equipment and materials by
or under the direction and supervision of said agency or other agencies or
parties not members of the Committee may be authorized by the Chairman
or, in his absence, the Vice Chairman or, if they are both unavailable, the
contact personnel of the member companies at which the needed equipment
and materials are located, at their sole discretion; on the condition, however,
that the person or company affected by the emergency grant to the member
companies providing such assistance the above described repair, replacement,
reimbursement and indemnification rights that are granted to said companies
by any member company requesting assistance under this agreement.
participation of personnel on a voluntary basis for the operation of listed
specialized equipment may similarly be authorized.
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In the event of an oil spill emergency the source of which is unknown, at the
request and cost and under the direction and supervision of the U.S. Coast
Guard or EPA, the Committee shall take action to contain and clean up such
spills.
C. Sharing of Nonreimbursed Costs and Expenses - Any costs and expenses incurred by
the Committee and member companies in connection with rendering such assistance
which are not otherwise reimbursed, including the repair or replacement cost of
expended, damaged, or destroyed materials or equipment and any liabilities to third
parties arising out of the use or misuse of such equipment or materials or any
deficiency thereof, shall be shared by all member companies on the basis of the
Participation Formula hereinafter referred to or equally in the event that no such
Participation Formula is agreed upon.
D. Inability to Furnish Assistance - Any member company which is unable to supply
assistance in any given emergency shall be bound by all the provisions of these Rules
and Procedures, but shall incur no additional liability solely by reason of such
inability to participate in such emergency.
IV. Liability
Notwithstanding anything herein to the contrary, no member company shall be liable for any
claims or penalties arising out of or resulting from the gross or wanton negligence or willful
misconduct of another member company while rendering assistance under this agreement.
V. Bylaws
A. The Committee shall have a Council composed of one representative appointed by
each member company. Each member company may also designate an alternate to
serve in place of that company's representative. A list of the present representatives
and alternates is attached hereto as Exhibit B. Member companies may change
representatives or alternates by notice in writing to the other member companies from
time to time, and Exhibit B shall be amended accordingly.
B. The Committee and its Council shall be headed by a Chairman and Vice Chairman
who shall be the representatives of member companies elected by vote of a majority
of the representatives of all member companies. After the initial election the Council
shall elect each year a new Vice Chairman, with the present Vice Chairman to
succeed to the Chairman's post. In the absence of the Chairman, the Vice Chairman
shall serve as Chairman.
C. The Chairman may, if he deems it necessary in the conduct of Council business,
designate a Secretary of the Council. The Secretary shall have no vote except as he
may serve as a representative or alternate.
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D. The Committee Council shall hold at least four meetings per year. The chairman
shall schedule and give at least ten days written notice of each such meeting.
Emergency meetings may, however, be called by the Chairman or, in his absence,
by the Vice Chairman by telephone or telegraph and a poll of the members may
likewise be taken when there is an emergency requiring immediate action.
E. The Committee Council will obtain information regarding different types of
equipment and materials and oil containment and recovery techniques and may, as
necessary, recommend to the Committee the purchase of certain equipment or
materials.
F. The Committee Council will develop and recommend to the Committee appropriate
methods of transporting, handling, storing and maintaining the available equipment
and materials.
G. The Committee Council will develop and recommend to the Committee appropriate
equipment and methods for disposing of recovered oil.
H. The Committee Council will determine the availability of third party cleanup services
adequately manned and equipped to provide all necessary services to effect
containment, cleanup and disposal of oil spills occurring at or from member company
facilities or vessels located in the area covered by this agreement and to obtain from
such third parties the proposed terms under which such services would be made
available to member companies on an independent contractor basis.
I. The Committee Council will consider and adopt a public relations contingency plan
which shall set forth the procedures to be followed and shall name a spokesman to
act for the Committee as necessary and desirable before the press and other news
media during an oil spill emergency.
J. The Committee Council shall develop such other information, procedures or
recommendations as it considers necessary for the Committee to function effectively.
Should the Council consider it necessary to obtain funds for the acquisition of
equipment or materials or other authorized Committee activities, the Chairman may
call upon member companies to meet such a need on the basis of a Participation
Formula mutually satisfactory to them.
K. Decisions on the day-to-day operations of the Committee shall be by majority vote
at its meeting of a majority of the representatives of all member companies.
Decisions involving policy or concerning the possible purchase by the Committee of
materials or equipment shall be adopted in the same manner.
L. These Rules and Regulations may be amended from time to time by majority action
of the member companies.
M. No amendment of these Rules and Procedures or decision to purchase materials or
equipment shall be binding upon any non-approving member until 35 days after such
member has received actual notice of the action taken.
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This agreement may be executed in counterpart and will be binding on any party signing a copy of
same. (
ACCEPTANCE
NAME OF COMPANY
ADDRESS
APPROVAL SIGNATURE.
TITLE
DATE OF APPROVAL
PORT SAN LUIS AND ESTERO BAY OIL
Spill Cooperative Agreement
Pacific Gas and Electric Company, Standard Oil Company of California, Texaco Inc. and Union Oil
Company of California (hereinafter collectively referred to as the "Participants"), agree on
, (date), as follows:
Purpose
The Participants shall cooperate with and assist each other and appropriate
governmental agencies and private organizations in the control and removal of oil
spills affecting public and private property, beaches, harbors and waters along the
coast of the State of California between the Point Estero and Point Sal (hereinafter
referred to as the "Area of Interest"). The Participants may also from time to time
cooperate with and assist or obtain the assistance of agencies and organizations
concerned with the control and removal of oil spills outside the Area of Interest.
Participants
2. The Participants are operators of facilities in the Area of Interest for the handling,
storing or transporting of petroleum products and related hydrocarbons. Others who
operate similar facilities may from time to time become Participants and parties to
this Agreement under terms to be established at such times by the Participants.
3. A Participant may withdraw from this Agreement at any time by written notice to
each of the other Participants. The withdrawal shall be effective thirty days after
such notice is sent. The withdrawal shall be effective thirty days after such notice
is sent. The withdrawing Participant shall remain liable for its share of any liability
incurred prior to the effective date of withdrawal. The withdrawing Participant shall
receive the value of its share in any jointly owned assets of the Participants as of the
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effective date of withdrawal. Such value shall be determined on the basis of original
cost depreciated at a rate of twenty, percent per annum.
The Committee
4. The Participants shall each appoint one representative and an alternate to a committee
which shall carry out and effectuate this agreement. Participants may change
representatives and alternates from time to time upon written notice to the other
Participants.
5. The Committee members shall elect a Chairman and Vice Chairman who shall each
serve for one year. The Vice Chairman shall each year be elected to the Chairman's
position. The Chairman, and in his absence the Vice Chairman, shall preside at all
meetings of the committee and shall perform such other duties specified in this
agreement or delegated by the committee.
6. The committee shall meet at least once each calendar quarter. The Chairman shall
schedule and give at least ten days notice of each such quarterly meeting. The
Chairman shall call such other meetings as may from time to time be requested by
a member of the Committee.
7. All decisions by the committee except those requiring the expenditure of money shall
be made by a simple majority of the votes cast with each Participant having one vote.
Decisions requiring the expenditure of money shall be made by a vote of a majority
of at least seventy-five percent of the votes eligible to be cast; each Participant having
a vote weighted in accordance with the participation formula set forth in Exhibit A.
A quorum shall consist of three Participants.
Assistance and Cooperations
8. Each Participant shall provide the other Participants with a list of personnel and oil
spill control and cleanup equipment and materials (including, but not limited to,
pickup devices, skimmers, vacuum trucks, oil booms, absorbents and chemicals)
which it may be willing to make available in the event of an oil spill. The list shall
also specify those items which require trained personnel and those items for which
a fee must be paid. Each Participant shall also provide the other Participants with
a list of persons, together with addresses and office and home telephone numbers,
who are authorized to make available personnel and items from the lists. All lists
shall be kept current by each Participant who shall inform each of the other
Participants of changes.
9. The committee shall prepare, keep current and distribute to the Participants a list of
suppliers of personnel, materials and equipment which can be used for oil spill
control and removal. The committee may also acquire and maintain equipment and
5/92 33
-------
materials. Such equipment and materials shall be owned by the Participants as
tenants in common without the right to partition and in accordance with the
participation formula set forth in Exhibit A. The cost of acquiring and maintaining
such material and equipment shall be borne by the Participants in accordance with the
participation formula set forth in Exhibit A.
10. Any Participant involved with or affected by an oil spill in the Area of Interest may
request any and all of the other Participants to make available for the use of the
affected Participants the personnel, materials and equipment set forth on the lists
distributed by the Participants. The affected Participant shall also have available for
its use any jointly owned equipment and materials. The personnel, materials and
equipment set forth on the lists distributed by the Participants may also be made
available to non-Participants if consented to by the Participant employing such
personnel or owning the material and equipment. The Chairman, or in his absence
the Vice Chairman, may make available to non-Participants any jointly owned
materials and equipment. If more than one Participant is affected by an oil spill,
personnel, materials and equipment shall be shared equally.
11. All material and equipment made available pursuant to this agreement shall be
returned promptly after use in the condition made available or replaced in kind.
Certain material and equipment may be made available on the basis that the user pay
a fee to the participant or to the committee allowing the use of the material and
equipment. Such fee shall be reasonable and shall take into account the cost of the
equipment and material, the cost of maintenance, amortization and cost of money.
Any such fee shall be paid upon return of the material and equipment. The personnel
made available hereunder shall be under the direction and control of the Participant
affected by the oil spill and during such time shall be considered the special
employees of such Participant. The Participant making available personnel hereunder
shall be reimbursed for all costs of such personnel including, but not limited to,
salary, benefits and related overhead.
12. Each Participant shall hold harmless and indemnify each other Participant, the
committee, and the agents, servants and employees of the foregoing, against and for
all loss and liability and costs incurred, including, but not limited to, attorneys' fees,
expenses, claims, fines, damages, or injuries resulting directly or indirectly from the
furnishing of personnel, materials and equipment hereunder to the indemnifying
party. A like indemnity shall be obtained from a non-Participant before such party
can use any personnel, material and equipment. The foregoing indemnity by a
Participant or non-Participant shall be applicable whether or not the loss and liability
indemnified against were caused or contributed to in whole or in part by the
negligence of any other Participant, non-Participant, the committee, or the agents,
servants and employees of the foregoing. The party furnishing this indemnity further
agrees that the parties to whom this indemnification provision extends shall have the
right, but not the obligation, to tender the defense to the indemnifying party of any
and all claims arising out of or in any way connected with matters which are the
subject of this indemnity, but that failure to tender any such law suit for defense shall
not release or relieve the party furnishing this indemnity of his obligations hereunder.
5/92 34
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Termination of Agreement
13. This Agreement shall continue in effect until terminated by the affirmative vote of at
least seventy-five percent of the Participants. Upon termination of the agreement, all
obligations shall be paid or otherwise provided for and remaining assets shall be
divided among the Participants in accordance with the participation formula set forth
in Exhibit A.
Pacific Gas and Electric Company
by
Standard Oil Company of California
by
Texaco Inc.
by
Union Oil Company of California
by
Exhibit "A"
Participation Formula
Each member shall total the gross barrels (at 60°F) of the following commodities handled by
it during the preceding calendar year.
a. crude oil or petroleum products transferred from ship to shore
facilities and
b. crude oil or petroleum products transferred from shore facilities to
ships.
The total barrels handled by each member as described above will be converted to the
percentage of the total barrels handled for all members. This percentage will be the
member's participation for the current calendar year.
5/92 35
-------
Company
Texaco
P.O. & E.
Union
Standard
Grand
Total
Bbl. to Vessels
2,480,000
23,719,000
Bbls. to Shore
229,000
854,000
3,590,000
229,000
Total Bbls.
229,000
854,000
6,070,000
23,921,000
31,074,000
Participation
Formula (% of
Grand Total)
2.74%
2.75%
19.53%
76.98%
100%
5/92
36
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SECTION 4
PARTI
PROPERTIES OF OIL THAT AFFECT RECOVERY
Knowledge of how oil reacts after it is spilled is essential for effective oil recovery. Crude oil and
refined petroleum products are not made of one type of molecule but are mixtures of different
molecules. The types of molecules are similar in structure except for the number and position of
carbon and hydrogen atoms in each molecule. During the refining step the molecules are sorted,
altered, and reorganized to produce specific blends of molecular types that have been found to work
best for the customer (FIGURES 1 AND 2).
"AVERAGE" CRUDE OIL
MOLECULAR TYPE
PARAFFIN HYDROCARBONS
(ALKANES)
30%
NAPHTHENE HYDROCARBONS
(CYCLOALKANES)
50%
AROMATIC HYDROCARBONS 15%
NITROGEN, SULFUR, 5%
& OXYGEN CONTAINING
COMPOUNDS
FIGURE 1
"AVERAGE" CRUDE OIL MOLECULAR TYPE
6/92
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GASOLINE
(C5 - C10)
KEROSENE
(C10 - C12)
30%
10%
LIGHT DISTILLATE OIL 1 5 %
HEAVY DISTILLATE OIL 25%
(C2o - C^)
RESIDUUM OIL
(> €40)
20%
FIGURE 2
"AVERAGE" CRUDE OIL MOLECULAR TYPE
Each blend will act slightly different because the properties of the molecules change as the chemical
structures change. As an example, one factor that controls the oil spreading rate is the viscosity of
the oil. The less viscous No. 2 oil, with shorter length molecules, will spread faster than the more
viscous No. 6 oil which has much longer molecules.
OIL SPREADING
Of the different ways oil may interact with the environment, the rate of spreading is perhaps the most
important. As discussed above, spreading rate is a function of the viscosity of the oil. Viscosity is
determined by the type of oil molecule and the temperature. In the winter, when the temperature
is very low, oil spilled on the ground will not penetrate the soil as quickly or spread over the surface
as rapidly as it would in the summer. If the ground is frozen, the oil will not penetrate at all. A
second factor affecting spreading rate is the surface tension of the oil. Like viscosity, surface tension
is also temperature dependent and tends to restrict spreading at low temperatures. Although the
factors that affect spreading are known and spreading rates can be predicted under carefully
controlled laboratory conditions, spreading rates for actual spills are very difficult to calculate with
6/92
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any degree of accuracy. Outdoor test results using two types of oil and two spill sizes are shown
in FIGURE 3. The data from the figure is not valid for accurately predicting slick areas with time
for a particular future spill because spreading rate is a function of temperature and other variables.
The graph is useful as a guide to show the relative effects of time, type of oil, and quantity of oil
on a slick area. A rule of thumb is that the diameter of an oil slick will double between four and
12 hours after a spill for spills of up to 5000 barrels. It is essential to remember that spreading is
a serious problem to the cleanup crew that can best be overcome by acting quickly to contain the
spill and remove the oil.
1600
1400
1200
1000
800
600
400
200
0
#
1 2 5
TIME IN HOURS AFTER SPILL
10
FIGURES
RELATIONSHIP OF SPILL AREA,
VOLUME OF SPILL AND TYPE OF OIL WITH TIME
Viscosity affects cleanup efforts with regard to pumping recovered oil. The more viscous the oil,
due to oil type and temperature, the more difficult it will be to pump. It is therefore important to
match pumps and hoses to the pumping conditions. It is also important to know the oil's pour point,
which indicates the temperature at which the oil can no longer be pumped. The pour point
temperature will be a function of the makeup of the oil. A waxy crude oil will have a high pour
point. Number 2 oil has a pour point of about 20°F. Number 6 oil has a pour point greater than
100°F and therefore must be heated prior to pumping.
OIL EVAPORATION
Volatility is an important characteristic because it governs the rate of evaporation of spilled oil and
will determine combustion properties. The flash point and the lower flammable limit are two terms
describing volatility. The flash point is the minimum temperature at which sufficient liquid is
6/92
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vaporized to create a mixture of fuel and air capable of being ignited. For example, the flash point
of gasoline is -45°F (-43°C) and that of No. 2 diesel is 125°F (52.7°C). Therefore gasoline is more
likely with and ignition source, to ignite in most spill situations. On the other hand, diesel's flash
point is above normal temperatures at most spill events. This does not mean that diesel will not
ignite. An ignition source can provide the temperature necessary for ignition and the initial
combustion can provide the temperature needed for continued combustion.
Combustion is possible when the ratio of fuel to air lies between certain limits. A mixture with not
enough fuel (too lean) or not enough air (too rich) will not support combustion. Since it is unlikely
that a too rich situation will occur during a spill, the too lean mixture is of primary interest. The
minimum volume of fuel (vapor) that will support combustion is called the lower flammable
(explosion) limit. For gasoline, this volume can be as low as 1.4 to 1.7% of the air volume. A
preferred way to check for combustibility is with a combustible gas detector. Remember that the
combustible gas detector test is only good where taken, and this information cannot be generalized
for the entire spill area. Furthermore, hydrocarbon products form a layer along the ground which
will, in time, mix with the air. The vapors are apt to settle in low places.
Most oils will emit combustible vapors, especially light oils such as gasoline and aviation fuels
(FIGURE 4). Combustion is likely where oil is concentrated at spill sources, behind booms, or on
the shoreline. Since three things are required for combustion to take place (fuel, oxygen [air], and
an ignition source), the removal of any one requirement will prevent combustion. Therefore, fuel
on land can be covered with a foam blanket or dirt to remove the air. Ignition sources can be
removed. Some common sources are: flames (matches, cigarettes), electric sparks (pumps, motors),
static sparks, and hot surfaces (mufflers, catalytic converters, pumps).
MOTOR GASOLINE
KEROSENE
THEORETICAL
EVAPORATION RATES
OF SEVERAL
SELECTED DISTILLATES.
NO. 2 FUEL OIL
NO. 4 FUEL OIL
NO. 6
TIME (HOURS)
FIGURE 4
RELATIVE EVAPORATION RATES OF HYDROCARBON FUELS SPILLED OIL
6/92
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A complex mixture such as crude oil will initially lose light fractions by evaporation followed by
^ successively higher boiling fractions (FIGURE 5). The evaporation rate will be increased by high
W winds (FIGURE 6). Rough weather conditions also increase evaporation by exposing more surfaces
of the oil at wave crests and as sprays. Because evaporation is enhanced by increased surface area,
more evaporation will occur as the oil spreads.
50
40
30
20
10
OIL TEMPERATURE
OIL - LIGHT ARABIAN CRUDE
API GRAVITY SOT - 34.1"
INITIAL SLICK THICKNESS - 0.1"
WIND VELOCITY - 10 MPH
120°F
100°F
70° F
50° F
10
20 30
TIME - hrs
40
50
FIGURES
OIL EVAPORATION VERSUS TIME AFTER A SPILL
50
40
30
20
10
WIND VELOCITY-
OIL - UOHT ARABIAN CRUDE
AM GRAVTTY « 6CTP - 34.1'
INITIAL SLICK THICKNESS - 0.1*
T - 70'P
20mph
lOmph
5mpk
Imp*
10
20 30
TIME-hrs
40
50
FIGURE 6
EFFECT OF WIND VELOCITY ON SLICK EVAPORATION
6/92
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Heavier components of crude oil will evaporate slowly and form a residue on the water surface. The
residue will have a higher specific gravity, a higher viscosity, and contain greater concentrations of
sulphur, metals, and wax man the original crude. Evaporation will result in losing a significant
portion of the spilled oil. Experience indicates that as much as 20 percent of the total weight of oil
can be lost within a few hours exposure. A much smaller percentage will be lost afterward. This
characteristic will assist the cleanup crew because the amount to be removed is decreased. It also
makes the remaining oil safer to handle.
BIOLOGICAL DEGRADATION
When oil is spilled in the environment, microorganisms that inhabit the spill area will begin to
degrade the oil by using it for food. The rate of degradation will depend on temperature, type of
oil, availability of nutrients, and presence of oxygen. It has been suggested that bacteria be added
to oil slicks to permit the organisms to degrade the oil at a faster rate. However, the process is more
complicated than merely adding organisms because of the requirement of oxygen and nutrients
needed for rapid degradation. The relative effect of biological degradation is significant depending
on the location of the spill. For example, there would be very little degradation in arctic waters, but
considerable oil degradation would occur in tropical waters. Compared to evaporation, however,
biological degradation is usually a small factor over a short period of time.
OTHER FACTORS
Most oils can be easily seen on top of the water with the exception of light oils such as No. 2 fuel
oil. Although No. 2 fuel oil floats, it is almost transparent and very difficult to see when a worker
is viewing the spill a few feet above water. This is why it is helpful to use helicopters to find spills.
Spilled oil is usually much lighter than water and will almost without exception float, although some
heavy oils have been reported to sink. Kuwait crude residue has a specific gravity of 1.023, and
Franion Heavy has a specific gravity of 1.027. However, it is not likely that these residues will sink
if spilled in sea water, which has an average specific gravity of 1.025. It is believed that a light
emulsion forms under the spill and acts to float the oil.
A small amount of the oil will dissolve and emulsify in the water, depending on the amount of light
fractions and degree of mixing caused by currents, waves, and vessel traffic. Light fractions will
dissolve in water up to a maximum of about 1000 parts per million. TABLE 1 lists some
hydrocarbon solubilities in distilled water.
Generally, oil density will tend to affect the ease of dispersion of the oil through the water column
(TABLE 1). Light fractions will dissolve in water up to a minimum of about 10,000 parts per
million. The problems with oil dissolving in the water are toxicity to aquatic life, odor in drinking
water, flavor change in drinking water, reduced cooling efficiency in cooling waters (power plants),
explosion hazard in industrial water supplies, and contamination of food or chemical products from
receiving waters. If an emulsion occurs, a thin combination of oil, water, and air (sometimes sand)
can develop. Under certain conditions a highly viscous emulsion called "chocolate mousse" can
develop which is difficult to recover and persistent in the environment. After the Amoco Cadiz and
Metula oil spills, chocolate mousse persisted on the shoreline for years2'3'4. The longer oil persists
in the water, the more water will combine with the oil to form an emulsion (FIGURE 7), and the
thicker or more viscous the emulsion will become (FIGURE 8). This will affect pumpability.
Heavy oils and crude oils are most subject to mousse formation. Although emulsion formation does
not significantly slow down the evaporation process, biodegradation is reduced due to the lack of
available oxygen inside the mousse.
6/92 6
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)
TABLE 1
DENSITY AND SOLUBILITY OF OIL COMPOUNDS5
Compound
PARAFFINS
Pentane
Hexane
Heptane
Octane
Nonane
Decane
NAPTHENES
Cyclopentane
Methyl Cyclopentane
Cyclohexane
Ethylcyclohexane
AROMATICS
Benzene
Toluene
Ethylbenzene
Xylene
Naphthalene
Density
.62
.66
.68
.70
.72
.73
.75
.75
.78
.79
.88
.87
.87
.88
1.15
Solubility in water
360 ppm
138 ppm
52 ppm
65 ppm
c. 10 ppm
c. 3 ppm
11 slight"
820 ppm
470 ppm
140 ppm
c. 80 ppm
c. 20 ppm
40
10
0.5
01
0.5
01
NOTE: ALASKAN CRUDE
FURNISHED BY UNION OIL CO.
5 10 15
DAYS WEATHERED
20
25
FIGURE?
WATER INCORPORATION INTO CRUDE WITH TIME6
6/92
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8
160
140
S 120
100
80
60
40
20
NOTE: ALASKAN CRUDE
FURNISHED BY UNION OIL
COMPANY
10 15 20
DAYS WEATHERED
25
30
FIGURES
VISCOSITY OF CRUDE WITH TIME.
The viscosity of oil also affects the way in which the oil will interact with a beach when driven
ashore. Light oil of low viscosity will tend to run off rocky surfaces and to seep into beach sands.
A highly viscous oil will more likely remain attached on a surface such as a seawall or boat and will
usually stay on top of beach sand (TABLE 2).
When samples of spilled oil are taken for analysis to determine legal questions, it is recommended
that the samples be taken soon after the spill and prior to significant weathering of the oil. As the
oil weathers and loses volatile components, the resulting substance is slightly different than it was
originally, causing problems in identification. The Coast Guard has sponsored a considerable
research program to more accurately trace weathered oil. Like other detection techniques, the new
methods also work better with "fresher" samples, but they are much more likely to determine if a
particular weathered sample originated from a particular facility. Sampling procedures will be
covered later.
SUMMARY
The two properties that immediately and most importantly affect spills are oil spreading and
evaporation of volatile fractions. Spreading will hamper recovery by distributing the oil over a
greater area. Evaporation of volatile fractions aids recovery by decreasing the amount of oil to be
recovered. Evaporation causes the viscosity and gravity of the remaining oil to increase. Although
biological degradation of spilled oil will take place, it is usually an important factor only with long-
term spills. Oil dissolution occurs to a relatively small extent, and the emulsification of oil depends
on the properties of the oil and mixing energy. As oil weathers it becomes difficult to compare with
unweathered oils. Therefore, the sampling program should begin soon after the cleanup program
is implemented.
6/92
8
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LITERATURE CITED
1. Dept. of Navy. 1977. Oil Spill Control for Inland Waters and Harbors, NAVFAC
P-908. Dept. of Navy, Alexandria, VA.
2. Long, B.F.N., J.H. Vandermealen, and T.P. Ahern. 1981. The evolution of
stranded oil within sandy beaches. In: Proc. 1981 Oil Spill Conference, pp 519-
524. American Petroleum Institute, Washington, DC.
3. Straughan, D. 1981. Intertidal ecological changes after the Metula oil spill.
Technical Report of the Allan Hancock Foundation No. 4, 138 pp. University of
Southern California, Los Angeles, CA.
4. Gandlach, E.R., D.D. Dameracki, and L.C. Thepeau. 1982. Persistence of Metula
oil in the Strait of Magellan six and one-half years after the incident. Oil and
Petrochemical Pollution A(l):37-48.
5. Nelson-Smith, A. 1973. Oil Pollution and Marine Ecology. 260pp. Plenum Press,
New York, NY.
6. URS Research Co. 1970. Evaluation of selected earth-moving equipment for the
restoration of oil-contaminated beaches. Final Report FWQA Contract No. 14-12-
811. U.S. Government Printing Office, Washington, DC.
6/92 10
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SECTION 4
PART II
CHARACTERISTICS OF OIL MOVEMENT ON WATER
OIL CHARACTERISTICS AND BEHAVIOR
The chemical and physical properties of the oil spilled and ambient conditions will determine how
the spilled oil will behave. The basic processes and their time frames are shown in FIGURE 9.
General statements on how light, medium and heavy oils will behave on water and their toxicological
properties are shown in TABLE 3.
PREDICTION OF SPILL MOVEMENT
Predict oil slick movement by vector addition of the two main motive forces that apply; surface
currents and winds. Surface currents will dominate spill movement unless the winds are extremely
strong. Wind will cause an oil slick to move at about three percent (3%) wind speed, and in the
same general direction. FIGURES 10 - 12 give an example of the vector addition method of oil
slick movement prediction. Aerial reconnaissance should be used to monitor spill location and verify
predictions.
TIME (HOURS)
MONTH
10 DAY 100 WEEK JO3
YEAR 10"
SPREADING !.".
DRIFT
EVAPORATION
DISSOLUTION
DISPERSION
EMULS1FI CATION
SEDIMENTATION
BIODEGRADATION
PHOTO OXIDATION
C.-C, C.— C,-
-C,.
C"
FIGURE 9
PROCESSES VS. TIME ELAPSED SINCE THE SPILL
(Exxon OH Spill Response Manual pp. 12-13)
6/92
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6/92
12
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Current 0.5 knots/hour
1 inch = 0.5 knots
Wind 20 knots/hour from
NW
20 knots x 3.4% - 0.7
knots/hour
FIGURE 10
CURRENT AND WIND VECTOR
VECTOR ADDITION FOR PREDICTION OF OIL SPILL MOVEMENT
Consistency of oil and ambient and forecasted weather conditions are important in determining the
rate and direction of the movement of the spilled oil. As OSC this will help predict where the oil
is going and where it may end up. Also knowing these conditions will be essential in preparing for
the cleanup to follow.
1. Draw surface water current and wind vectors in their respective directions (FIGURE 10). The
length of the vectors represent the velocity. Example: 0.5 knots = 1 inch.
2. Draw a line parallel to the wind vector starting from the tip of the current vector and measuring
the exact length of the wind vector (FIGURE 11, Line P).
3. Draw a line from the present slick position to the tip of Line P. This final line, called the
resultant vector, gives the speed and direction of the oil slick movement. The speed is determined
by the length of the resultant vector relative to the scale set in Step 1 and used in drawing the
components vectors. The direction of predicted oil slick movement can be determined from
compass heading (FIGURE 12).
6/92
13
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FIGURE 11
PARALLEL LINE TO WIND VECTOR
FIGURE 12
RESULTANT VECTOR OF SLICK MOVEMENT
6/92
14
-------
Example 1. Current only; no wind
0.5 knot current = 0.5 knot movement of oil
Current
0.5 knots
0.5 knots
Example 2. Wind only; no currents
12 knot wind x 3.4% =0.4 knot wind effect on the movement of the oil
Wind iv
12 knots r
0.4 knots
Example 3. Wind and water currents
Current
0.5 knots
Wind K
12 knots *
0.9 knots
Current ^
0.5 knots
-------
SECTION 4
PART III
MOVEMENT OF OIL ON WATER
Immediate action is required when oil spills occur on water to prevent the oil from becoming so
widely spread that containment and cleanup become enormously expensive. If effective containment
and cleanup procedures are initiated within an hour of a spill occurrence, estimated removal costs
are $250 per barrel. However, if two hours or more elapse before removing the oil, the cost can
be four or more times that amount. To keep response time to a minimum, it is necessary to know
how oil will move on water so that time will not be wasted hunting for the oil in the wrong area.
EFFECT OF WIND AND CURRENT
Oil slicks move as a result of wind and water currents. It is commonly assumed that oil slicks move
with the wind at approximately 3.4 percent of the wind velocity. The distances a slick can move at
different wind velocities and times are shown in TABLE 4. For example, within one hour a slick
will move a total distance of approximately 0.7 of a mile with a 20 mph wind.
TABLE 4
DISTANCE MOVED IN MILES FOR A GIVEN
WIND VELOCITY & TIME
Time after Spill
30 minutes
1 hour
2 hours
4 hours
8 hours
Wind Velocity, MPH
10
0.17
0.34
0.68
1.40
2.70
20
0.34
0.68
1.40
2.70
5.40
30
0.51
1.00
2.10
4.10
8.30
There is less agreement, however, concerning the effect of water currents on the movement of oil
slicks. If there is no wind, the oil will tend to move at about the same velocity as the water at the
surface. When the wind is blowing, the oil will be affected by both water and wind currents, and
the movement of the oil will be a function of both forces. If the wind direction is opposite to the
normal current, the wind can reduce or reverse the water velocity at the surface. Because of this
phenomenon, it is difficult to calculate water surface velocity. Water velocities published by the
U.S. Coast Guard and U.S. Geological Survey are useful for some purposes but are average
velocities rather than surface velocities. Therefore, a different method must be used to calculate oil
slick movements on water.
6/92
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DETERMINING SLICK VELOCITIES
Since response time is so important, it is necessary that the effect of wind and currents on oil slicks
be known at the time a spill occurs. To determine slick movements, drift measurements can be made
using shallow styrofoam chips or drift blocks. Chips or drift blocks should lie flat on the water
surface with little freeboard or draft. Measurements are especially valuable where the wind is
affected by obstacles such as building, trees, ships and other structures.
When the wind velocity is low, the slick tends to move with the water current. These currents
should be known in advance of a spill for various weather and tide conditions and again can best be
measured by chips or drift blocks. Water velocities area also required whether or not the wind is
blowing to predict boom efficiencies and anchoring requirements. FIGURE 13 indicates how a drift
float might be constructed to measure water currents. An empty beverage container can make a fair
drift float.
Other devices used to determine current speed are flowmeters, dye markers and tracking buoys.
FIGURE 13
DRIFT FLOAT TO MEASURE WATER CURRENTS
If these observations are not made prior to the spill, the spill itself must be observed for speed and
direction of drift, but the oil slick makes a very expensive drift test. More information on
determining slick movements will be discussed later.
SPILLS IN A CREEK
In this discussion, the difference between a creek and a river will depend on water depth. A boat
can travel the full length of a river, while a creek can be waded. Many creeks have little or no flow
during normal periods, but can have fast and deep flow during floods. Normally, the surface
6/92 18
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velocity in a creek is low and can be greatly affected by the wind. Creek bottoms may be very soft
and the bottom may be cluttered with broken glass and metal debris. Banks may be covered with
dense vegetation. Crossing creeks can usually be accomplished by short span bridges or culverts.
Bridges and culverts are often the best locations to try to stop the flow of an oil slick because of their
accessibility by surface transportation and the built-in ability to act as oil-water separators (FIGURE
14).
- OIL
O - CURRENT DIRECTION
Road
FIGURE 14
CONTAINMENT OF SPILLED OIL BY A CULVERT
SPILLS IN A RIVER
Spills in a river are often difficult to contain because the water is deep and currents may be very
swift, requiring most work to be conducted from boats. River banks may be steep and covered with
brush. High velocities and turbulence may cause some of the oil to sink temporarily below the
surface. Oil slicks moving downstream (or downwind) will eventually move to one side of the
channel where oil can usually be contained and removed from the back (FIGURE 15).
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FIGURE 15
MOVEMENT OF AN OIL SLICK AS IT IS CARRIED DOWNSTREAM
Flowing streams meander and flow alternately from pools through riffles. Pools and riffles are
usually formed by alternately wide and narrow channel sections (FIGURE 16) or by changes in the
slope of the channel bottom which produce deep reaches (pools) and shallow reaches (riffles).
River crossings are usually major structures that carry substantial traffic and usually cannot be used
as work platforms during cleanup operations. Rivers are also used as water supplies for
municipalities, industry and agriculture, so it is necessary to make plans to prevent spilled oil from
gaining access to any intake structure along the river. Some rivers also have marinas, parks, beaches
and fish camps that require special consideration.
Velocities in a river are never uniform (FIGURE 16); as a result, oil will usually drift to the outside
bank in a turn (FIGURE 17). Maximum surface velocities will normally be near the center of river
channels for straight sections of the river and move to the outside of a curve at a bend in the river.
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FIGURE 16
NON-UNIFORM VELOCITIES IN A RIVER
-------
A special problem in rivers is floating debris. Floating debris can destroy booms and can present
a hazard to crews working in boats. Boat traffic may also hamper cleanup operations.
SPILLS IN LAKES, ESTUARIES AND BAYS
An estuary is a semi-enclosed part of the coastal ocean where fresh water from the land mixes with
seawater. Many estuaries are the drowned lower reaches of rivers meeting the sea. A bay is an inlet
into the sea and is considered a part of an ocean that extends into the land. A lake is a large body
of water resupplied by surface runoff and/or groundwater.
Lakes, estuaries and bays have hydraulic characteristics of both rivers and oceans. They are often
highly developed with industry, recreational beaches, marinas and other highly visible areas that need
to be protected from oil spills.
Lakes are often used as water supplies and may have water intakes that must be protected. There
may also be sensitive areas in a lake where biological life is concentrated and should be protected.
Normally the water surface velocities that will cause the spilled oil to move are wind driven.
Waves are formed in any large body of water and have a significant effect on the movement,
containment and removal of oil. FIGURE 18 demonstrates the various parts of an idealized wave.
The crest is the highest part of the wave; the trough is the lowest part. The wave height is the
vertical distance from the bottom of the wave through to the top of the wave crest. The wave length
is the horizontal distance between successive wave crests or troughs. The wave period is the time
for successive wave crests to pass a fixed point. The wave steepness is the ratio of wave height to
wave length.
Waves are caused by the forces exerted by wind, tide, earthquake and gravity. Waves in the ocean
are normally classified as chop and swell. Chop refers to waves under the influence of the wind that
formed them, characterized by short wave lengths and short crests with little rhythmic pattern. Swell
pertains to long, smooth crested waves outside the generating area which show a relatively
predictable rhythm.
CHOP
WAVE LENGTH. L
FIGURE 18
PARTS OF AN IDEALIZED WAVE
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If the water is deeper than one-half of the wave length, the wave moves through the water with little
disturbance from the bottom. In deep water equal to or greater than one-half the wave length, the
water moves back and forth as the wave passes (FIGURE 19). The waves pass through the water
with relatively high velocities, but the water remains relatively stationary. Waves will break when
the H/L ratio reaches approximately 1/7.
As waves encounter shallow water, such as a beach, the wave height increases and the wave length
decreases. When the wave height becomes approximately 0.8 of the water depth, it forms a breaker.
In a breaker, the water moves with the wave exerting tremendous force on everything in its path.
Breakers approximately 60 feet high have been reported at the entrance to San Francisco Bay. The
height of breakers in a given area is determined by the height and direction of waves offshore. The
height of chop is determined by the speed and duration of the wind as well as the area of influence.
As waves move ashore, they are generally refracted and turn parallel to the shore.
DEEP WATER
\/
SHALLOW WATER
FIGURE 19
SUBSURFACE WATER MOVEMENT CAUSED BY WAVE ACTION
Tides are caused by the periodic rise and fall of the ocean surface. Tidal currents accompanying the
rise and fall produce fast surface currents in coastal oceans and estuaries. Most coastal areas have
two high tides and two low tides per tidal day of about 24 hours and 50 minutes. The Gulf of
Mexico normally has only one high and one low tide during the day. Some areas of the coast will
not have an easily predictable tide.
In San Francisco Bay and Chesapeake Bay, the surface water velocities are normally the result of
tidal currents. These currents may be affected by wind and flow from rivers, but the direction of
the surface water current is largely determined by tidal current. In other areas, such as in Laguna
Madre on the southern coast of Texas, the surface water current is determined largely by the wind
direction, and tidal currents have little effect. It is necessary to determine the factors that influence
water surface velocities in a particular area so that they can be predicted under various conditions.
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Estuaries and bays may have beaches and salt marshes. A salt marsh is a tidal flat covered with
vegetation. The vegetation is usually submerged only during the highest tides. Oil can move into
a salt marsh during flood tide and not be washed away with the ebb tide. Salt marshes are
biologically sensitive areas that need special consideration in spill preplanning.
Water flow in an estuary is usually very complex. An estuary will have fresh water flowing from
the river out to sea, while salt water from the sea will flow in and out of the estuary. This can result
in a wedge of salt water flowing in and out of the estuary with a surface cover of freshwater flowing
over the top. It is not unusual in some estuaries for the wind to move the surface fresh water in one
direction while the salt water wedge is moving in another direction (FIGURE 20).
SURFACE
BOTTOM
FIGURE 20
THE MOVEMENT OF SALT WATER AND FRESH WATER IN AN ESTUARY
Examples of the effects of tide, wind and freshwater flow on the movement of oil will be
demonstrated. FIGURE 21 shows the direction of movement of oil with no wind during ebb tide
in an estuary. In this case, the movement of the freshwater flow from the river and the movement
of the tide out to sea combine to cause a high surface velocity out to sea. FIGURE 22 indicates the
same freshwater flow and tide conditions with a wind from the north. A wind from the south during
a period of low river flow and high tide is shown in FIGURE 23. These conditions result in the oil
slick moving across the estuary to the opposite shore. An east wind or an incoming tide might move
the slick to the west behind the island.
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A SOURCE
OIL
x v
FIGURE 21
MOVEMENT OF OIL GIVEN AN EBB TIDE AND NO WIND
FIGURE 22
MOVEMENT OF OIL GIVEN AN EBB TIDE AND A NORTH WIND
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25
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A SOURCE
H OIL
FIGURE 23
MOVEMENT OF OIL GIVEN LOW RIVER FLOW, HIGH TIDE AND A SOUTH WIND
SPILLS IN THE OCEAN
The surface current in the deep sea is determined by winds and unequal heating and cooling of the
earth's surface. Deep sea surface currents may be seasonal but are usually predictable. As one
moves from the deep sea to the vicinity of a coastline, the surface water currents may become more
dependent upon tides, local winds and river flows where currents are usually less predictable. Deep
sea currents tend to meander just as flow in a river does, although on a much larger scale. Offshore
spills will tend to follow the deep sea surface currents, and their direction of travel should be
predictable except during extremely high wind conditions. It is usually more difficult to predict the
direction of movement of spills in coastal zones.
In addition to changing the direction of an oil slick, high wind velocities can result in the formation
of regularly spaced, staggered parallel rows of oil slicks called windrows or Langmuir cells. The
long axis of windrows are generally parallel to the direction of the wind. Windrows will also form
at lower wind speed when the surface water is cooled by evaporation or movement of cool air over
the water surface. Windrow formation is inhibited when the surface water is heated from warm air
flowing over the surface or warm rainfall. They will also be inhibited when the surface water has
a lower salinity, such as where a river flows into the sea or after a heavy rainfall. Natural windrow
formation is a boon to deep sea oil cleanup because it tends to gather the oil in long narrow bands.
The temperature and salinity of the water in the deep sea are more uniform than near the coast. As
the coast is approached, the temperature and salinity may change, and the changes may be seasonal
or may be affected by wind speed and direction. Coastal currents are generally parallel to the
coastline.
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SUMMARY
Immediate action after a spill can save a great deal of money and effort since the spill will usually
move with time and result in contamination of a greater area. Oil moves across the surface of water
as a result of wind and current. Therefore, it is important to have knowledge of tides, currents,
prevailing winds and other factors which will permit the cleanup supervisor to predict how and where
a slick will move. It is commonly assumed that oil slicks move with the wind at a velocity of
approximately 3.4 percent of the wind velocity.
Slick movement predictions can be made with chips or floats. These measurements are also useful
for estimating loads that will be exerted on booms and anchors.
Spills in creeks are normally cleaned up by crews moving about on foot along the bank and in the
water. Bridges and culverts are often useful cleanup locations, providing access points for personnel
and equipment. Direction of movement of oil is highly influenced by the wind on small creeks.
Spills in rivers are normally cleaned up by crews that must move about by boat. River currents
usually alternate from high to low velocities (riffles and pools) and the currents meander from bank
to bank. Oil will move to one bank or the other as it flows downstream. Containment and removal
of the oil will usually take place at the river bank. Bridges are often not usable as cleanup platforms
as in the case of a creek. Rivers will usually contain more sensitive areas that require special
consideration during spill recovery. Wind may greatly influence the movement of oil on rivers.
Debris in rivers can hamper cleanup operations.
Lakes, estuaries and bays present special problems in containment and cleanup operations. In larger
bodies of water, waves become very important. Some estuaries are predominantly controlled by tidal
currents, while wind driven currents control the movement of oil in others.
Spills in the ocean are affected by deep sea currents, wind currents and waves. Windrows will tend
to cause oil to form long, equally spaced rows of oil drifting with the wind. Deep sea currents are
more easily predicted than the surface currents that occur along a coast.
6/92 27
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SECTION 5
PARTI
CONTAINMENT AND RECOVERY OF OIL ON LAND
DAMAGE DUE TO LAND SPILLS OF OIL
While oil spills occurring on the water are visible and frequently receive much publicity,
underground leaks or tank truck accidents that allow the product to penetrate the soil often receive
less notoriety. Within the oil industry, however, the problems associated with hydrocarbon
contamination of both the soil and groundwater are well known. Statistical data on pipeline spills
in 1971 indicate that in 233 reported spill incidents, almost 158,000 barrels of crude oil and gasoline
were lost. Underground spills can lie hidden for decades, in some cases surfacing to pose cleanup
problems years later.
Even small quantities of hydrocarbons spilled on barren ground may cause difficulties. Attendant
problems include polluting water wells, damaging crop lands and causing general damage to the
ecosystem. In some instances, surface waters miles away from the original spill site may be
contaminated by hydrocarbons transported through underground water systems. Another problem
involves volatile petroleum products seeping into basements, sewer lines and telephone conduits.
The varied effects of hydrocarbon spills on land are due in part to the physical and chemical
properties of both the spilled product and the soil itself. Since the geology of a region may
determine to a large extent how a spill will behave, it should be carefully considered before attempts
are made to respond to an oil spill on land. Obviously, most oil spill cleanup on land will involve
soils of unknown characteristics. However, in areas where the potential for an oil spill is great, a
knowledge of the soil types and oil penetration depths into those soils will allow personnel in charge
of cleanup to determine the most economically feasible cleanup methods. Major land spills often
require geological experts to assess the situation and suggest cleanup procedures.
Sources of information concerning how oil acts on soil are varied. Actual prespill field studies
conducted at high spill risk areas, i.e., a storage facility, yield perhaps the best estimates. In the
absence of prespill information, rough estimates of penetration in soil may be made post-spill by
referring to county soil maps to determine soil type, followed by calculations based on the type of
product spilled.
OIL PENETRATION OF SOIL
Types of Soil
If the soil is relatively homogenous in structure and its texture is known, a reasonable
estimate of petroleum penetration rates may be calculated. Texture, for purposes of this
discussion, refers to the percent by weight of three mineral fractions: sand, silt and clay.
6/92 1
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The sand fraction may be further classified according to particle size. The U.S. Department
of Agriculture classification scheme is illustrated in TABLE 1.
TABLE 1
SIZE LIMITS OF SOIL SEPARATES3
Fraction
Sand
Silt
Clay
Soil Separate
Very course sand
Course sand
Medium sand
Fine sand
Very fine sand
Silt
Clay
Size (millimeters)
2-1
1-0.5
0.5 - 0.25
0.25 - 0.1
0.1 - 0.05
0.05 - 0.002
below 0.002
The percentage of each of the three main fractions is used to name the soil texture (FIGURE
1).
10 S. \
LOAMY
SAND|\_ SAND
70 60 50 40 30 20 10
FIGURE 1
SOIL TEXTURE PROFILES
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A knowledge of these soil texture types may be used in conjunction with county soil maps
in order to approximate how petroleum may penetrate the soil in any particular area. For
example, Pelican Island on the Galveston county soil map is shown to have an alkaline and
saline clayey and loamy soil, while the southwest end of Galveston Island consists of sandy
and loamy soil (FIGURE 2). Generally speaking, sandy soils are more easily penetrated by
hydrocarbons than the clay-type soils; hence, a hydrocarbon spill on the southwest end of
Galveston Island might be expected to penetrate to the groundwater table more quickly than
a comparable spill on Pelican Island.
U X 7.
LEGEND
DCEP NOMSMIWE SOILS OF THE MAINLAND
CD
I '' "I Lilt CnoMl feKirti hKWiul powV0
B*rn*ra4
-------
When a large volume of oil is spilled onto the soil, the oil may spread across the soil surface
and, depending upon its viscosity and the soil characteristics, may penetrate the soil,
eventually reaching the water table. At this point, the oil may depress the water table,
forming a thick lens-shaped mass that spreads throughout the funicular zone above the
groundwater table and is subject to the influence of the groundwater flow (FIGURE 3)4.
The funicular zone is that region above and approximately equal in thickness to the capillary
zone.
, X^... .- .f SOIL HORIZONS
<' OF VARYING
.-. .V'T/ PERMEABILITY
FUNICULAR ZONE
CAPILLARY FRINGE
GROUNDWATER TABLE
GROUNDWATER MOVEMENT
FIGURES
OIL CONTAMINATION PROFILE
Penetration Depths of Oil
A calculation of whether or not the oil will reach the groundwater may be made if the soil
properties are well known. The following formula has been found to be of value in many
cases5.
Formula 1 D = (K)(V)/A
D = maximum depth of penetration in meters (m)
V = volume of infiltrating oil in m3
A = area of infiltration in m2
K = a constant, depending upon the retention capacity of the soil and the viscosity
of the oil (TABLE 2)
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The accuracy of the calculations will be limited by the accuracy of the "K" values. Again,
the truest K values are those determined by individual prespill field studies. "K" values
given in TABLE 2 are the estimates of one author for dry soil (worst case) conditions.
Obviously, values for wet soils would differ greatly from those given. Thus, rainfall as a
factor must also be considered.
The maximum spreading of the oil lens on the water table may be calculated, if little
groundwater movement occurs, according to Formula 2.
Formula 2
S
F
V
A
d
K
S = (1000/F) {V-{[((A)(d))/K]}
maximum spread of oil in m2
thickness of oil layer in the capillary zone
volume of oil in m3
area of infiltration in m2
depth of groundwater in m
a constant depending on the retention capacity of the soil and viscosity of the
oil (TABLE 2)
TABLE 2
TYPICAL VALUE FOR K AND F
Soil
Coarse gravel
Gravel to coarse sand
Coarse to medium sand
Medium to fine sand
Fine sand to silt
K
Gasoline
400
250
130
80
50
Kerosene
200
125
66
40
25
F(mm)
Light Fuel Oil
100
62
33
20
12
5
8
12
20
40
For example, suppose a tank truck spills 14 cubic meters of light fuel oil on a medium to fine
sand. The spill diameter is 10 meters.
A
K
V
D
irr2 = (3.1416)(5m2) = 78.54m2
20 (from TABLE 2)
14m3
(K)(V)/A = (20)(14m3)/78.542 = 3.6m
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If the groundwater lies at a depth greater than 3.6 meters, then the assumption could be made
that the soil would sorb the fuel oil before it could reach the water table.
In another case, suppose that 15 cubic meters of gasoline were spilled on coarse sand. The
diameter of the spill is 10 meters, with a water table two meters beneath the soil surface.
The maximum spreading of the oil lens on top of the water table is calculated as follows.
F = 8mm
V = 14m3
A = Trr2
d = 2m
K = 250 (from TABLE 2)
S = (1000/F) (V-[((A)(d))/K]} = (1000mm/m/8mm) {14m3 -
[((78.54m2)(2m))/250]} = 1671 m2
S = 1700 m2
S = Area = irr2
Diameter of the gasoline of the water table = 2r = 46m
Note: The preceding formulas may be converted easily to graph form
for those who prefer to work with graphs.
These tables and calculations are practical only for light products. Since the flow rate of an
oil is inversely proportional to its viscosity, only those hydrocarbons of relatively low
viscosity (high flow rate) are likely to cause substantial migration problems in most soils.
Because heavy crudes have a low flow rate, a determination of their penetration rates is
usually unnecessary.6 Much of the information concerning groundwater depth and resulting
water table gradient can be obtained inexpensively by consulting a local well driller.
Hydrogeological Investigative Techniques
In order to most accurately predict whether or not a hydrocarbon will penetrate to the
groundwater table, prespill evaluation of data concerning the fluctuation of the water table,
variation in the soil moisture content, and permeability of the soil in the potential spill area
is desirable.
Ideally, investigative procedures should begin with a review of the hydrogeological data of
the region within a potential oil spill area. These data should include a study of the
geological structures along pipelines, tank farms and major transportation routes. Geological
maps are useful in revealing faults, limestone deposits and other geological features that
might facilitate the transport of spill products. Similarly, a general assessment of subsurface
conditions, including the probable direction of flow of underground water systems, should
be made. Finally, it may be useful to delineate the boundaries of various hydrogeological
systems.
The usual boundaries are rivers, into which spilled oil is sometimes carried by the
groundwater6.
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The second phase of investigative procedures, especially where the ground consists of
discrete soil horizons, involves an actual field investigation. Such an investigation may
include soil samples taken during percussion drilling. The samples may be examined for
grain size in order to accurately define the nature and location of the soil horizons. From
core samples one may also determine the porosity of each soil horizon. The boreholes may
be used for water permeability measurements. In addition, hydrocarbon percolation tests
may be made. The groundwater head distribution may be studied by inserting standpipes (for
monitoring the water level) into the complete boreholes.
Pumping tests in selected wells can be made to determine the transport potential
(transmissivity) of the aquifer6. These combined data offer a working knowledge of:
1. the amount of hydrocarbon that must be spilled in order to reach the groundwater,
2. the direction and rate of migration of the product once the groundwater is
contaminated,
3. the geological or hydrogeological boundaries that exist, and
4. the rate at which the product may be extracted from the ground.
This information can be translated into a cross-sectional map showing the probable direction
of travel of the oil as it follows the groundwater system (FIGURE 4).
WATER TABI.E
STREAM
FIGURE 4
SAMPLE GROUNDWATER SYSTEM
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SUMMARY
Hydrocarbons move through the soil depending upon the properties of both the soil and the product.
A prior knowledge of soil types and permeabilities, as well as the general hydrogeological features
of an area can help in preplanning a response to an oil spill on land. This information may be
gained from geological maps, county soil maps and actual field studies of an area.
LITERATURE CITED
1. Meyer, Charles F. (Ed.), "Polluted Groundwater: Some Causes, Effects, Controls and
Monitoring," EPA-600/4-73-0016, PB Reports, 1973.
2. Butts, E.G., "While oil leaks in pipeline and storage facilities don't receive the press
coverage accorded oil spills at sea, losses from leaks of this sort are needlessly high.
Incentives are needed in Canada to encourage research which will help alleviate this
problem," Revue de Flngeniere, pp. 45-47, Mai/Jui, 1977.
3. Thompson, Louis M. and Frederick R. Trueh, Soils and Soil Fertility. New York: McGraw-
Hill Book Company, pp 46-47.
4. Moll, R., "The Migration of Oil Products in the Subsoil with Regard to Groundwater
Pollution by Oil," Advances in Water Pollution Research. S.H. Jenkins (Ed.), New York:
Pergamon Press, 1971.
5. Concawe Secretariat, "Inland Oil Spill Cleanup Manual," Report No. 4.74, 1974.
6. Harper, T. R., "Investigation, Prediction and Control of the Contamination of Groundwater
by Oil," Petroleum Review, Volume 30, No. 356, pp. 484-487, 1976.
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CLEANUP TECHNIQUES
Methods of cleaning up spills on land are varied to suit the following situations:
1. oil moving horizontally on land, and
2. oil sorbed by the soil above the water table.
In the case of oil moving horizontally on land, the problem can be further divided into three main
situations. If oil is spilled on land around a tank farm or loading facility, prior planning should
dictate the course of action. According to guidelines for Spill Prevention Control and
Countermeasure (SPCC) Plans published in the Federal Register of December 11,1973, entitled "Oil
Pollution Prevention", section 112,7, subsections b and c state:
(b) where experience indicates a reasonable potential for equipment failure such
as tank overflow, rupture or leakage, the plan should include a prediction of
the direction, rate of flow and total quantity of oil which could be discharged
from the facility as a result of each major type of failure.
(c) appropriate containment and/or diversionary structures or equipment to
prevent discharge oil from reaching a navigable water course should be
provided. One of the following preventative systems or its equivalent should
be used as a minimum:
1) Onshore facilities
i. dikes, berms or retaining walls sufficiently impervious to
contain spilled oil
ii. curbing
iii. gutters or other drainage systems
iv. weirs, booms or other barriers
v. spill diversion ponds
vi. materials
When hydrocation spills occur on city streets as from a tank truck accident, the first agency to
respond is usually the fire department. Unfortunately, the first response of many fire departments
may be to hose the product into nearby storm sewers or roadside ditches. The fact that the fire
department initiates this action does not relieve the company of the liability for damages caused by
the spill. In some cases, hosing the spill into a sewer system may actually increase the spill
damages. In cities where the potential for a tank truck accident is high, a map of the storm sewer
system should be obtained from the city. Prior to knowledge of information such as flow rates and
directions, access points and high fire hazard areas in the system will allow a quick and positive
response to a spill that enters the sewer. Proper training and equipment for removing a volatile
hydrocarbon in such a special situation are essential. Perhaps one of the better general response
procedures, especially appropriate if the product is highly toxic or soluble, is to keep the product out
of the sewers. This may be done by constructing simple dikes of any readily available material that
is impervious to oil. If soil is used, it should be relatively impermeable. Also, several types of
6/92 Q
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commercially available quick-setting foam may be used to construct dikes. Collapsible storage
bladders may be used for emergency containment of spilled product. These sausage-like devices also
allow a leaking or damaged tank truck to be unloaded quickly at the scene of the accident. In
deciding whether to contain hydrocarbons on land or flush them into sewers, consideration should
be given to minimizing fire and explosion hazards. If the product presents no immediate fire or
explosion hazard, the best response may be to keep it out of the sewers and remove it from the land
surface. Oil on roadways can be pushed to collection sumps, trenches or vacuum devices. Loose
sorbents can be worked on top of pavement to remove residual oil.
Land spills in remote areas pose special problems. Leaks from surface pipelines, tank truck
accidents in rural areas, and oil field spills are common sources. Planning the response to such spills
is difficult, but many workers in the industry have found that topographic maps of the areas along
pipelines and around production fields help in figuring the direction of oil moving along the surface.
Before a spill occurs, a list of earthmoving contractors and equipment should be made (for type see
Appendices). A telephone call to one of these agents is sometimes the quickest way to get a
retaining dike built. Some companies have special spill kits for remote areas which include
equipment for confining moving surface oil. Crude oil and heavy fuel oils on the soil can be floated
with water in ditches, trenches or behind dikes to limit oil penetration into the soil.
Hydrocarbons that are sorbed by the soil above the water table may be treated in several ways,
depending upon the nature of the soil and product. If the spill area is shallow with a clay or water
seal along the bottom, flushing with water will, with limited effectiveness, float the oil from the soil.
Although rarely employed, natural sorbents, such as sawdust, hay or ground corncobs, mulched into
contaminated soil have been used where other cleanup methods have proven ineffective. After
having been mixed into the soil, the sorbents are removed by a water stream, collected and disposed
of properly (FIGURE 5). In frozen soils, high pressure water to dissolve oil or steam cleaning to
lower oil viscosity is used to float oil with only minor damage to plants. These tools also work well
on roadways, walls and other man-made structures.
<— SORBENTS
CLAY OR
DAMP SOIL
FIGURES
SORBENT/HYDRAULIC REMOVAL OF OIL
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A common method of treating soil contaminated with hydrocarbons is simply allowing the oil to
biodegrade. The success of this method depends on the oil toxicity, available nutrients, available
water, ambient temperature and oxygen availability. Biodegradation of alkane hydrocarbons proceeds
readily by naturally occurring microorganisms such as yeast, bacteria, mycobacteria and mold fungi.
More complex hydrocarbons such as aromatics biodegrade more slowly.
Before initiating any response, volatile hydrocarbons should be allowed to evaporate. Later, various
techniques can be used to increase the biodegradation rate. The techniques include:
1. Tilling
2. Adding fertilizer
3. Adding Lime
4. Adding bacteria
5. Temporary drainage
6. Aeration
If the oil depth is shallow, discing and adding fertilizer can add oxygen and nutrients which will
cause rapid conversion of soil to carbon dioxide and water by bacteria. Repeated treatments will
usually be necessary. Tillage should not be used on dry soils that may be blown away upon
disturbance. Some workers have found that plowing organic matter such as sewage treatment plant
sludge into the oily soil can increase the biodegradation rate. However, others suggest that it does
not. For example, sawdust added to arctic soils has only added more organic matter to the soil
which increase the biological oxygen demand.
Other additives such as lime may be considered for corrosive oils on acidic soils to neutralize the
added acidity. Special bacteria cultures may be added to inoculate a site. However, it has been
debated whether the cultures are more effective than naturally occurring bacteria. They have shown
some success on very acidic soils.
To add air into the soil, temporary drainage with tilling and fertilization may help wet forest sites.
Entry of air into the soil will facilitate oil volatilization and degradation. However, drainage without
soil mixing can do more harm than good. Excessive drainage can cause soil problems such as soil
subsidence.
Oil deeper in the ground, below the aerobic bacteria zone, may be degraded by air pumped into the
ground. For small spill areas, soil aeration by pumping air through buried perforated pipe or drilled
holes can oxidize volatile hydrocarbons and hydrogen sulfide and increase aerobic bacteria
degradation. Recent research has experimented with hydrogen peroxide injection into soil layers to
oxidize volatiles. However, this technique may sterilize the soil. Other research using surfactants
can increase oil leaching, yet surfactants may clog soil. Before applying any land modifying
technique, consultation with soil scientists and local government personnel is suggested.
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Other cleanup techniques are burning, soil removal and water infiltration. Burning is often thought
of as a final cleanup process. However, more work is usually needed. Burning can remove large
amounts of oil or the last traces of oil remaining after oil removal operations. It will also oxidize
volatile hydrocarbons. Burning can leave an oil film or crust which may prevent seedling shoot
penetration, can spread oil further than unburned spill boundaries, can kill plants which may
contribute to erosions, and or can produce products more toxic than the original oil product.
Therefore, if burning is used, biodegradation techniques should be used to help eliminate oil.
Soil removal is possible for shallow contaminated soils and spills of small area. The amount of oil
contaminated can be tremendous even for heavy fuel oils (FIGURE 6). Contaminated soil does not
mean the soil is sterile. Soil should not be removed in most cases unless absolutely necessary.
15
10
0 2 4 6 8 10
VOLUME OF CONTAMINATED SOIL (TO SATURATION)
(THOUSANDS OR CUBIC YARDS (30% POROSITY)
FIGURE 6
RELATION OF SPILL SIZE TO VOLUME OF SOIL CONTAMINATED
TO POINT OF SATURATION (soil immobilization)2
Problems associated with soil removal are contact with buried structures (pipelines, cables), damage
to building foundations, explosion hazard in pits when working with volatile products, and equipment
breaking through impermeable layers in the subsoil which would allow greater product penetration.
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Problems associated with soil removal are contact with buried structures (pipelines, cables), damage
to building foundations, explosion hazard in pits when working with volatile products, and equipment
breaking through impermeable layers in the subsoil which would allow greater product penetration.
Water infiltration has proven to be impractical during most spills to float oil to the surface. In gravel
or sandy soils where the groundwater table is less than a foot from the surface, oil can be flooded
to the surface and either recovered or burned. However, water flooding can limit oxygen in the soil
and contribute to carbon dioxide toxicity, can accelerate nitrate leaching, can decrease aerobic
bacteria and cause denitrification. It is impractical in subfreezing weather.
After all cleanup activities are complete, any containment devices such as dikes, trenches, etc.,
should be removed. The topography should resemble a prespill appearance. Revegetation or
restoration can now be considered. Revegetation can increase biodegradation in some cases.
Planting leguminous species over the spill site can add nitrogen to the soil which can aid
biodegradation. Crops such as alfalfa tend to breakup residual high molecular weight hydrocarbons8.
Although many legumes are used in site revegetation (TABLE 3), some such as alsike clover and
white clover are known to tolerate oil while alfalfa has a low tolerance of oil. Grasses may also be
used for revegetation (TABLE 4). Some such as brome grass and reed canary grass are known to
have high oil tolerances. Which species is chosen will depend on the time of year planted, soil
characteristics and amount of oil in the soil. Once again, consultation with local soil scientists is
advised.
TABLE 3
LEGUMES COMMONLY USED FOR REVEGETATION9
Variety
Alfalfa (many
Birdsfoot trefoil
Sweet clover
Red clover
Alsike clover
Korean lespedeza
Servicea lespedeza
Hairy Vetch
White clover
Crownvetch
Best
Seeding Time
Late summer
Spring
Spring
Early spring
Early spring
Early spring
Early spring
Fall
Early fall
Early fall
Seed Density*
seeds/ft2
5.2
9.6
6.0
6.3
16.0
5.2
8.0
0.5
18.0
2.7
Important
Characteristics
Good on alkaline
Good on infertile
Good pioneer on
Not drought
Similar to red clover
Annual, widely
Perennial, tall erect
Winter annual,
World-wide, many
Perennial, creeping
Areas/Conditions
of Adaption
Widely adapted
Moist, temperate, U.S.
Widely adapted
Cool, moist area
Cool, moist areas
Southern, U.S.
Southern, U.S.
All of U.S.
All of U.S.
Northern U.S.
* Number of seeds per square foot when applied at 1 Ib/acre.
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TABLE 4
GRASSES COMMONLY USED FOR REVEGETATION9
Variety
Redtop bentgrass
Smooth bromegrass
Field bromegrass
Kentucky bluegrass
Tall fescue
Meadow fescue
Orchard grass
Annual ryegrass
Timothy
Reed canarygrass
Best
Seeding Time
Fall
Spring
Spring
Fall
Fall
Fall
Spring
Fall
Fall
Late summer
Seed Density*
seeds/tP
14.0
2.9
6.4
50.0
5.5
5.3
12.0
5.6
30.0
13.0
Important
Characteristics
Strong, rhizomatous
Long-lived perennial
Annual, fibrous
Alkaline soils, rapid
Slow to establish,
Smaller than tall,
More heat tolerant
Hot winter hardy,
Shallow roots, bunch
Tall, coarse, sod
Areas/Conditions
of Adaption
Wet, acid soils, warm
Damp, cool summers,
Cornbelt eastward
North, mimic, U.S.
Widely adapted, damp
Cool to warm regions,
Temperate U.S.
Moist southern U.S.
Northern U.S., cool
Northern U.S., wet
* Number of seeds per square foot when applied at 1 Ib/acre.
SUMMARY
Movement of oil on top and into the soil will depend on topography, soil permeability and structures
below the surface. Oil penetration into the soil can be predicted.
Oil on hard surfaces can be pushed into collection devices or sucked into vacuum devices. Final
cleaning can use sorbents or water. Oil on other surfaces may use heavy equipment to remove oil
and contaminated soil, water flooding within dikes to float oil, sorbents and water flooding to recover
oil, or burning to remove oil.
Oil below the surface can be removed by aeration and biodegradation. Tilling, fertilizing, liming,
adding bacteria and drained soil may increase aeration and biodegradation. Soil removal and water
infiltration require special consideration of the effects of the techniques.
Final cleanup involves site restoration. Containment devices should be removed and sites revegetated
where needed. Techniques should be used that facilitate site restoration as quickly as possible.
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LITERATURE CITED
1. Thompson, L.M. and F.R. Trueh. Soils and Soil Fertility. McGraw-Hill Book Company,
New York.
2. Coony, J.J. and J.E. Phrson. 1955, Avocado irrigation. Calif. Agric. Est. Leafley 50.
1, MoM R. 1971, The migration of oil products in the subsoil with regard to groundwatei
pollution by oil. In; Advances in Water Pollution Research (S.H. Jenkins, Ed.). Pergamon
Press, New York.
4 Concawe Secretariat. 1974. Inland Oil Spill Cleanup Manual, Report No, 4.74. The
Hague, Netherlands.
5. Harper, T.R. 1976. Investigation, prediction and control of the contamination of
groundwater by oil. Petroleum Review 30(356):484-487.
i. McGill W.B 1977, Soil restoration following oil spill - a review, J. Canadian Petroleum
60-67.
7. VanLoocke, R., R. de Borger, J.A. Voets, and W. Verstra, etc. 1975, Soil and groundwater
contamination by oil spills; problems and remedies. Intern. J. Environ. Studies 8:99-111.
8 Dept of the Navy. 1977. Oil Spill Control for Inland Waters and Harbors NAVFAC P-
908. January, 1977. Alexandria, VA.
9, Lutton, R.J. 1980. Evaluating cover systems, for solid and hazardous waste. SW-867.
U.S. Environmental Protection Agency, Washington, D.C.
FURTHER READING
Gupin, C., W.J. Syratt. 1975. Biological aspects of land rehabilitation following hydrocarbon
contamination. Environ. Pollut. 8:107-112.
6/92 15
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SECTION 5
PART II
CONTAINMENT AND RECOVERY OF OIL IN ICE AND SNOW
SPILLS IN WATER WITH THIN ICE
The primary concern with oil recovery where ice is involved is personnel exposure due to extreme
weather conditions which can cause frostbit, loss of limb, or loss of life. This threat along with the
possibility of sudden weather deterioration makes oil containment and recovery particularly
hazardous. Therefore, it is recommended that individuals working on or near icy waters have safety
lines connected from themselves or their life jackets to a buddy who can pull a fallen buddy from
the water. Additional cold weather survival gear, such as a warming house to limit exposure and
a helicopter for emergency response, should be available at the cleanup site.
Another concern with oil recovery is the oil's movement. Oil spreading rates in cold weather are
less than oil spreading rates in warm weather. Those oils that are semi-solid at 0°C will not spread
significantly (i.e., Bunker C, heavy crude).
Oil in water with thin ice will move similarly to oil in water. However, where currents are
involved, oil movement will be slower where ice is encountered. Dark colored oil may be visible
beneath thin ice to aid in locating the oil, but light colored oils, such as diesel or gasoline, may be
difficult to observe under ice.
Containment techniques are the same as for oil in water although a thick ice sheet can be manipulated
to aid in oil containment. The ice can be broken so that the ice ridge acts as an oil barrier in no
current situations or can be broken at an angle to the current to act as a deflection device in a
current. At the recovery site, a boom or other oil barrier should be used.
Oil can be recovered with either vacuum trucks or skimmers. The major problem with these is ice
debris. The use of screens and the skimmer types chosen can reduce the severity of this problem.
One particularly useful skimmer has been the rope mop skimmer. At sub freezing temperatures,
diesel is recoverable with these skimmers. However, for higher viscosity oils, such as Bunker C,
hot water baths can be used to remove oil from the mop.
Another potential problem can be the pumps used with skimmers. Once started, a pump should be
run continuously to prevent freeze-up of product in hosing. Since draining of pumping systems may
not be feasible in freezing temperatures, antifreeze solutions should be added into the pump intake
when a pump is not running. When a product is moving through the hose, product warmers, which
heat the product or insulation placed below the hose (i.e., sorbent roll) can be used to keep the
product moving. Since products under ice are near freezing temperature, subfreezing temperature
above the ice surface can change the pumpability of products recovered. In some spills, bucket lines
have been used to transport recovered oil from the skimmer to tank trucks when products in hosing
has solidified.
6/92 17
This part of the Inland Oil Spill Course manual was reproduced by permission ofThe Occupational and Environmental Safety Training Division
of the Texas Engineering Extension Service The Texas A & M University System.
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SPILLS IN WATER COVERED WITH THICK ICE
Oil can combine with thick ice in several ways to slow or stop its movement. Oil spilled on ice can
stay on the surface or penetrate channels and cracks in the ice. Experiments with this phenomenon
have recorded that as much as 25 percent of the crude oil spread on ice was absorbed in the ice.
In sea water, brine channels form where salt is expelled from the ice. Generally, salt water is 31
parts per thousand (ppt) or less in salinity. Although first year ice is around 10 ppt in salinity,
salinity decreases as ice ages. These brine channels can allow surface oil to rise to the surface. Oil
under ice can be trapped in subsurface ice pockets or cavities. If the temperature decreases, oil will
become encapsulated in the ice as the surrounding ice freezes. Oil under or encapsulated in ice can
penetrate small channels that form as the ice freezes and melts to form surface melt pools. This
process is accelerated when the dark oil under the ice surface absorbs radiant energy from sunlight.
This can cause the ice to melt, forming more channels. Experiments have demonstrated that oil
under ice can flow into channels to a height of 15 cm (5.9in) above the water, containing about 5
percent of the spilled oil.
The use of sophisticated aerial photography for detecting oil under ice has been unsuccessful or
impractical; and although the use of radar and acoustic techniques have shown promise, they need
more research and refinement. The most widely used technique for finding oil under thick ice
involves waiting for the oil to appear on the water surface or drilling test holes through the ice and
waiting for the oil to surface.
In a current, maximum oil movement can be predicted by assuming that the oil will move at the
current velocity. However, the oil will usually move slower than the current velocity due to its
contact with the ice (FIGURE 7). When oil does move in a current, hydrocarbon monitors,
explosimeters, or "sniffers" can detect the presence of oil in test holes, ice leads, or other ice
openings.
FIGURE?
SUBSURFACE BARRIERS
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Other techniques that have been used in clear water are the use of underwater divers who can
monitor the ice under the surface for oil. The major difficulties with these two techniques are their
inability to maneuver in fast currents and the expenses incurred.
A less expensive technique used when ice is clear or translucent is using lights lowered beneath the
ice to reveal oil shadows cast through the ice when dark. Darkness will occur naturally at night or
can be created using large black plastic sheeting over the ice during the day. The oil in the shadows
should be confirmed by drilling an auger hole. Liquid can be removed from the hole to check for
oil, or gas can be sampled with a hydrocarbon monitor for oil vapors.
When oil is found, the area should be marked, as additional snowfall can obscure a site and delay
the cleanup response. Finding an unmarked site from memory will be difficult, as the site's physical
characteristics may be changed by snowfall.
Before any oil spill control technique is initiated on ice, the ice thickness should be determined by
drilling as many test holes through the ice as necessary. The weight bearing capacity of the ice
should be checked, and other previously mentioned safety precautions should be observed.
Choosing a containment and recovery technique will not only depend on ice thickness but also on
the ice type. If ice sheets are rafted (overlapping broken ice sheets), oil may surface between sheets
in the openings. However, working on sloping ice sheets that may sink or rise due to the
surrounding pressure from other rafted ice can be dangerous.
If access is available to oil contained by rafted ice, boring can be initiated when the oil collects to
a minimum depth of five centimeters. Ice can make an effective containment device by holding the
burning oil in place and keeping the burning oil from spreading as it does in open water.
The main problems with burning oil are getting the oil to ignite and keeping the oil ignited. Since
oil fires are always smoky, health risks are associated with dark colored particulate carbon and soot.
They can cool and fall on snow or ice, where these particles readily absorb radiant energy and melt
the surrounding ice, causing slipper conditions. If the oil is of high sulfur content, burning will
release sulfur dioxide, which can cause respiratory problems for individuals near the smoke. All of
these burning products are potential health hazards to surrounding residential areas, as smoke from
oil fires has been carried 50 miles or more from the oil burning site.
In areas where ice is relatively flat and stationary, oil can be contained with a number of subsurface
barriers. One simple oil barrier can be made by cutting a thin slot in the ice and placing plywood
or some similar barrier through the slot. Subsequent freezing will hold the material in place. These
barriers should be placed at a 30° angle to the current to divert oil to a recovery point near the
shoreline (FIGURE 7).
Barriers can also be constructed by simply using water on first year ice. This can be accomplished
by adding water to the upper ice surface where it will quickly freeze. The added weight causes the
ice to sink, forming a barrier (FIGURE 8). Since the ice thickness varies due to temperature, the
subsurface ice will melt slowly. Adding more water to the surface can quickly minimize the
problems with subsurface ice melt.
6/92 19
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WATER SPRAY
NEW ICE
OIL
CURRENT
FIGURES
ICE BARRIER
Using the principle of ice thickness, response to temperature pockets or troughs in subsurface ice can
be made by applying insulation to the ice surface (FIGURE 9). However, do not expect the
subsurface ice to melt rapidly.
WATER
FIGURE 9
ICE TROUGH
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Auger holes and slotting can also be used in conjunction with subsurface barriers or simply by
themselves. These techniques allow oil to come to the surface waters. Since surface water will
freeze, continued ice removal is required. Auger holes work best in stationary oil deposits. Care
should be taken in coastal areas and in entrapped oil pockets where pressure from tidal action and
ice crystal growth (respectively) can cause pressures under the ice and force oil and water to spurt
out of newly cut holes. In stationary or flowing waters, slots can be used. Slots cut in the ice above
flowing water should be placed at angles up to 30° to the current to force contained oil to a recovery
site (FIGURE 10). Typically slots are one and a half times the ice thickness. This width allows
oil caught in the flowing water time to surface.
OIL
WATER
FLOW
FIGURE 10
ICE SLOT
Equipment used in making slots are chain saws, circular saws and trenching machines, while manual
or hydraulic lifts, cranes, and tractors are used in removing ice blocks. The water depth will
determine if ice blocks need to be removed. Shallow water, sand bars or underwater obstruction
may necessitate ice removal. On the other hand, if the water is deep enough, some blocks can be
pushed under the ice on the downstream side of the slot and can be utilized as an additional barrier
in the spill response. Once completed, all slush and ice fragments should be removed from the slot
6/92
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to allow the oil to be carried down the slot by the current. Recovery equipment can be used to
collect the oil on the down current side of the slot.
Another oil recovery technique that has been found to have limited success is contaminated ice
removal. This method is usually considered unsuccessful since recovered oil is less than one percent
of the total volume recovered. Even with the use of heavy mechanical equipment scraping oil off
the ice, it is impractical at best. Oil on ice or snow surfaces is relatively easy to recover. Oil can
be mixed with snow which can contain 30 to 50 percent oil by volume. The use of heavy equipment
or manual removal techniques on oiled snow will depend on the ice thickness. The use of snow as
a sorbent material decreases when oil viscosity is high, when oil-snow temperature differences
decrease, and when snow porosity decreases (wet snow).
If access is not readily available, waiting for future recovery may be necessary., Due tc the slow
weathering of oil in cold climates, the formation of tar-like residue may take many months to form.
SUMMARY
A major concern with containment and cleanup of oil in icy waters is personnel safety. Oil can rise
into pockets under ice sheets, freeze within ice, form surface pools, or surface between edges of ice
sheets.
In a thin ice situation, conventional containment and recovery devices can be used once ice is broken.
However, it may be possible to break ice in a way to aid in oil recovery.
Cleanup of oil with thick ice will involve finding oil and making cleanup sites. Containment of oil
can include subsurface barriers, ice barriers, ice troughs and ice slots. Oil can be removed by
vacuum devices, skimmers or burning. Oil on ice can be removed by manually or mechanically
scooping oil into trucks, sucking oil with vacuum devices or mixing oil with snow wilt' removal by
trucks. Since oil weathers slowly with ice, spill cleanup can be postponed until weather conditions
improve if access is poor or if weather or ice conditions threaten personnel safety.
FURTHER READING
Department of the Navy. Oil Spill Control for Inland Waters and Harbors. Report NAVPAC, P-
908.
Hoult, D.P. 1974. Oil in the Arctic. U.S. Coast Guard No. Dot. CG-42913-A, App C, Feb. 1974.
Wolfe, L.S. and D.P. Hoult, 1974. Effects of oil under sea ice. J. Alacoil B.
Logan, W.J., D.E. Thorton, and S.L. Ross. 1975. Oil Spill Counter Measures for the Southern
Beaufort Sea. Canada Environmental Protection Service, Report EPA-3-Ec-77-6. 126 pp
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NORCOR Engineering and Research Ltd. 1975. The Interaction of Crude Oil With Arctic Sea Ice.
Beaufort Sea Technical Report No. 27. Beaufort Sea Project, Environmental Protection Service,
Victoria, British Columbia, Canada.
Schrier, E., MJ. Miller, L. Grain, D. Maiero, P. Dibner and B.L. Westree. 1978 Cleanup
Efficiency and Biological Effects of a Fuel Oil Spill in Cold Weather. The January 1977 Brouchard
No. 65. Oil Spill in Buzzards Bay, Massachusetts. URS 7004-05-01, 199 pp.
Tsang, G. and E.G. Chen. 1978. Laboratory Study of Diversion of Oil Spilled Under ice Cover.
Report to Prairie Region Oil Spill Containment and Recovery Advisory Committee, 42 op
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SECTION 5
PART III
NATURAL RESOURCE DAMAGE ASSESSMENT (NRDA)
A PROCESS OF ASSESSING AND ASSIGNING COMPENSATORY DAMAGES RELATED TO
RELEASES OF OIL AND HAZARDOUS SUBSTANCES
AUTHORIZED BY:
CERCLA - COMPREHENSIVE ENVIRONMENTAL RESPONSE COMPENSATION AND
LIABILITY ACT, NOW CALLED SARA - SUPERFUND AMENDMENTS AND
REAUTHORIZATION ACT.
SPECIFICALLY, SECTION 301 (C):
REQUIRING THE PROMULGATION OF REGULATIONS FOR THE ASSESSMENT OF
DAMAGES FOR INJURY TO, DESTRUCTION OF, OR LOSS OF NATURAL RESOURCES
RESULTING FROM THE RELEASE OF OIL OR HAZARDOUS SUBSTANCES.
NATURAL RESOURCES ARE DEFINED AS:
"Land, fish, wildlife, biota, air water, groundwater, drinking water supplies, and other such
resources belonging to, managed by, held in trust by ... or otherwise controlled by the
United States ... any state or local government or foreign government."
(Note that this does not include damages to private property or to private parties, which are
recoverable under other laws)
Also addressed by the CLEAN WATER ACT (CWA)
CERCLA Section 301 (c) specifies:
* Type A - a standard procedure for simplified assessments requiring minimal field
observation, and
* Type B - alternative (complex) protocols for conducting assessments on a case-by-
case basis.
* Section 301 (c) also stipulates that the regulations should:
** identify the "best available" procedures to determine damages
6/91 25
This part of the Inland Oil Spill Course manual was reproduced by permission of The Occupational and Environmental Safety Training Division
of the Texas Engineering Extension Service The Texas A & M University System.
-------
** take into considerations factors including replacement value, use value, and
the ability of the ecosystem or resource to recover.
NOTE: use of the rule is optional
pre-assessment - decision to conduct an assessment: does the discharge warrant a
NRDA?
** Criteria:
a discharge or release occurred
natural resources are potentially affected
sufficient substance to potentially cause injury
data is obtainable at a reasonable cost
response actions may not remedy the injury
assessment plan - planning; coordination; involvement of public, PRP's and other
trustees;
insures that the assessment is performed in a planned and systematic manner, and that
the methodologies selected can be conducted at a reasonable cost
** level of detail
** type A/type B decision
** technical information: general
** assessment - injury, pathway, and damage determinations; injury
distinguished from damages
** post-assessment - compile record, damage award, and restoration plan
TYPE A - OVERVIEW
* based on a computer model (sometimes referred to as the NRDA Model for Coastal
and Marine Environments + NRDAM/CME)
* applicable only to spills in coastal and marine environments
* prepared for 10 different areas (including Northern Gulf Coast)
* contains three submodels:
physical fates
biological effects
economic damages
6/91 26
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TYPE A - CONSIDERATIONS FOR USE
* release occurred in a coastal or marine environment
* spilled substance is included in the program
* the injured biological resources are included in the program
* the discharge was of short duration
* the discharge or release was minor
* the discharge or release was a single event
* the discharge caused the closure of a fishing area, beach, or hunting area
* and others!
* type A model must be used if conditions apply, except that:
** the PRP's may request that a Type B assessment be performed
TYPE A - INPUTS
Inputs to the computer program include:
* case number of the spilled substance
* amount spilled
* date of release (spill)
* area of spill
* bottom type at spill site
* amount of spilled material recovered by cleanup
* number and duration of area closures
* information on currents, tides, winds, and water depth
* selected oceanographic and water quality conditions
6/91 27
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TYPE B - OVERVIEW
* used for discharges in any area
* may require considerable field observations
* specific procedures determined by trustees; there are not specific procedures specified
* consider:
** short and long term injury, destruction, loss
** direct and indirect injury
** replacement value
** use value
** ability of resource to recovery
TYPE B - CONSIDERATION FOR USE
* the discharge must be covered by CERCLA or CWA
* a finding that the discharge could have resulted in some injury to a natural resource
* the trustees are concerned about the potential injury and the extent of injury
TYPE B - SPECIFIC TECHNICAL INFORMATION NEEDS
* confirmation of exposure
* economic methodology determination
* quality assurance plan
* objectives of testing and sampling for injury or pathways
TYPE B - DAMAGES
* to recover damages under a TYPE B assessment, the trustees must:
** demonstrate that an injury occurred to a natural resource (compare to
standards, criteria, characteristics, guidelines, etc.)
6/91 28
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** establish that the injury was the result of the discharge
that is, demonstrate exposure pathways
** only committed resource uses may be considered
damage costs may be determined by one of two methods:
** restoration/replacement method
** alternative valuation method - assigning a cost to the loss of a resource or the
public's use of a resource
** damages were originally required to be the lesser of restoration costs, or loss
of use values; this has since been overturned in court
** all money recovered through the NRDA process is to be used only for actions
approved in the restoration plan
6/91 29
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SECTION 5
PART IV
SHORELINE PROTECTION AND RESTORATION
Oil deposited on beaches and shorelines is one of the greatest problems of the cleanup crew because
of the expense for cleanup and restoration. It has been estimated that up to 50 percent of the total
cost for some spills was directly attributed to beach and shoreline restoration. Cleanup cost will
depend on the natural and manmade features of the shoreline, tides, weather, distance to disposal pits
and forms of restoration required.
SHORELINE PARAMETERS
Exposure
The potential for booming a shoreline will depend on its exposure to wind and wave action.
Shoreline exposure varies along its length so that there is a transition from exposed sites to
sheltered sites.
Exposed shorelines are subjected to swell and storm waves which allows them to be more
self-cleaning than sheltered shorelines. Sheltered shorelines are protected from wave cleaning
action by sand bars, peninsulas, reefs, or spits.
Energy Level
The energy level is determined by the amount of current, wave, and tidal action to the
shoreline. These actions will influence oil persistence on the shoreline and contamination of
other nearby shorelines.
High energy shorelines are generally exposed to swell and storm waves and swift currents
that can bury or remove quantities of oily sediments over a short time interval. Low energy
shorelines are generally sheltered from wave cutting actions and swift currents. Indicators
of high energy shorelines include:
1. Short transitions from shallow to deep water.
2. Rounded sediment particles.
3. Highly sorted beach material (e.g., sand, pebbles, cobbles, boulders - only one type
in beach material).
Shoreline Access
Transporting manpower and equipment to oiled shorelines is a prime consideration in
deciding whether cleanup should be initiated.
Due to these factors, a shoreline sensitivity index has been developed. See TABLE 5.
6/92 31
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TABLE 5
SHORELINE SENSITIVITY INDEX FOR OIL SPILLS
1. Exposed rocky coast
2. Wave cut platforms
3. Fine grained sand beaches
4. Coarse grained sand beaches
5. Exposed tidal flats
6. Mixed sand and gravel beaches
7. Gravel beaches
8. Sheltered rocky coasts
9. Sheltered tidal flats
10. Marshes, swamps, and mangroves
Sensitive or Unique Features
Biological, physical, and cultural characteristics will influence an area's sensitivity and
uniqueness. Biological characteristics include:
1. rare, threatened, or endangered species,
2. reserves and preserves,
3. waterfowl concentrating areas,
4. mammal and bird rookeries,
5. commercial important species,
6. recreational important species, and
7. ecologically productive areas (e.g., marshes).
Physical characteristics include:
1. high erosion potential areas if disturbed,
2. geologically designated study sites,
3. fossiliferous formations, and
4. mineral-bearing formations.
Cultural characteristics include:
1. archaeological study areas,
2. tribal fishing areas, and
3. historical monuments.
6/92 32
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Other Considerations
Recreation and industrial areas should be considered as to their use by the public. Public
opinion can become adverse when favorite boating and swimming areas are fouled, private
and public beach fronts are oiled, or private and public services are affected. For example,
oil in cooling or process water intakes may reduce or totally close an industry. Further
contaminated domestic and agricultural freshwater supplies may temporarily reduce services
in water consumption.
PROBLEMS WITH SHORELINES CLEANUP
Shoreline cleanup is certainly one of the most visible activities which will invite the press, private
citizens, and volunteers to the cleanup site. When these people arrive at the site, company personnel
should be assigned to direct the press to designated public relations personnel and property owners
with complaints to a claims person. Volunteers can be told that their help is not required or can be
directed to the Coast Guard, EPA, or other government agency. Public relations and claims are
covered in a later section. There is nothing wrong with sightseers watching cleanup operations as
long as neither they nor their cars get in the way.
Often, operations must be conducted in confined areas where movement is severely restricted. In
these cases one or more persons are necessary to direct the traffic of the trucks entering and leaving
the shoreline. It is best to have a uniformed officer present to direct traffic where it enters the main
road. This person can handle traffic as well as small incidents that may arise between citizens and
the company. Off-duty policemen, sheriffs deputies, and constables are usually available for hire.
They are trained to handle traffic, know how to handle confrontations, will place the cleanup
operations in good stead with the police force, and will usually work for reasonable wages.
METHODS TO LIMIT SHORELINE DAMAGE
Under ideal conditions, there will be enough time between notification of an oil spill and its reaching
the shoreline to take some measures to protect the beaches. Providing the wave action is not
excessive, properly placed booms, angled away from the shoreline, will prevent oil from reaching
areas that will be difficult and expensive to clean up (FIGURE 11). Booms can be commercially
or "home" made such as logs, boards, or metal sheeting. Booms angled toward the shoreline can
divert oil to a specific area for recovery (FIGURE 12). Small points, inlets and sand bars can be
effective recovery areas. Heavy equipment can be used to build temporary dams to block off
marshes or swamps from rivers or lakes until the oil threat has passed (FIGURE 13).
6/92 33
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CURRENT
FIGURE 11
OIL DEFLECTION BOOMING
FIGURE 12
OIL COLLECTION BOOMING
6/92
34
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FIGURE 13
OIL DEFLECTION DAMMING
Sorbents placed on the beach to sorb the oil as it comes in are useful for rivers or small lakes, but
not for open bodies of water subject to breaking waves. For effective usage of sorbents in areas
subject to changing water levels, reservoir engineers, soil scientists, or local citizens should be
consulted to predict the optimum time for deployment. Sorbent sheets and booms are superior to
loose sorbent, which tends to mix with the sand and silt and be carried out into the water, posing
recovery problems. To be most effective, the sorbent should be laid along the low-water mark, and
as the water and oil move up the beach, the sorbent should be worked into the oil through natural
wave action or by mechanical means. Straw should not be used if other sorbents are available. It
can be used on shore to limit oiling or tied together into a temporary boom when other materials
cannot be secured quickly.
Spraying water on a beach will reduce the amount of oil that adheres to rocks or bulkheads. Water
soaked sand beaches will reduce the low penetration of low viscosity oil into pore spaces. Continued
water spraying can wash oil off sand, rock, or bulkheads.
Spraying collecting agents along the shore has been suggested as a method to prevent contamination1.
In the United States, collecting agents cannot be used until authorized by the government on-scene
coordinator and can be applied no more than four times every six hours over a 24-hour period.
A considerable research effort sponsored by the API is underway to develop new and more effective
methods to protect beaches. In addition to chemical collecting new methods include the use of oil-
6/92
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eating bacteria and chemical films that spread a coating on the sand and rocks to prevent oil from
adhering to the shoreline. This work is still in the development stage. Application of chemicals to
beaches for protection from oil is usually not permitted by the EPA in the United States. The EPA's
stringency regarding the use of dispersants stems from the toxicity of first generation dispersants and
their limited effectiveness. New second generation dispersants have been used successfully on
foreign beaches. These water-soluble agents are much less toxic and more effective than their first
generation counterparts. However, the EPA continues to carefully regulate their application.
BEACH RESTORATION
When oil reaches a shoreline and contaminates the surface, various cleanup methods can be used that
should be matched to the limitation of the shore substrate. These methods are:
1. Removal of oil with heavy equipment.
2. Removal of oil with manual scraping.
3. Evaporation of oil by tilling.
4. Water flushing and oil collection.
5. Removal of oil with sorbents.
Many types of heavy equipment can be used on beaches2 (Appendices I and II). For long expanses
of oiled, sandy beach, it is suggested that a motor grader be used in combination with a self-loading
pan. The first step of the procedure is to windrow the oiled sand with the motor grader. Most
graders are fitted with narrow tires which will bog the machine down on a sandy beach. This can
be solved by fitting the grader with large flotation tires. The pans will have flotation tires and should
have little trouble maneuvering on the beach. If this becomes a problem, the pans can reduce the
volume of sand carried per trip.
The motor grader-pan combination is considered to be the most efficient method to remove oiled
sand. However, standard pans with pushers to help load the material and front-end loaders
substituted for pans can also be used. Because the front-end loaders carry less material per trip than
pans, a much lower production rate will be achieved. It is best to use rubber-tired front-end loaders
because track-mounted loaders are slow and inefficient.
Another type of heavy equipment is the beach cleaner (FIGURE 14). They are used on recreation
beaches to remove debris that comes ashore. Oil, especially heavy oil, on top of a shoreline can be
picked up. Many beach cleaners are towed by tractor or front-end loader where a rotating blade or
drum with blades scoops up surface material onto an inclined plane. Inclined planes can be solid,
solid with small holes, or wire conveyor belts. The latter two inclined planes allow loose sand to
fall back on the beach. At the end of the conveyor is a container for holding the debris.
Heavy equipment can be used to remove most of the oily sand or rocks, but hand cleaning will be
necessary around rocks, jetties, and marinas. For open beaches where heavy equipment cannot have
access, it is suggested that oiled sand, silt, and debris be raked and shoveled by laborers into piles
for pickup. Piles can be removed by front-end loaders or by manual labor. This technique removes
less sand or gravel than using heavy equipment. Be sure not to remove more sand than is necessary
and not to destroy vegetation bordering the beach. Accept slightly oiled spots around vegetation,
boulders, and imbedded rocks.
6/92 36
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Number 2 fuel oil poses a special problem to beaches because it penetrates deeply and quickly. This
condition is best handled by exposing as much contaminated beach sand as possible to the sun and
wind to speed evaporation. The oiled sand can be exposed with motor graders or by plowing. After
oil removal, sites can be tilled to mix any unrecovered oil into the beach to increase bwdegradation.
Techniques used on gravel, cobbles, or shingle beaches are few. Due to the large pore spaces in the
beaches, medium to light oils can penetrate below the surface which hinders cleanup operations.
Most heavy equipment and draglines remove massive amounts of beach material.
Movin;; feelb
TRACTOR POWER
TAKEOFF
Inclined Blade
TRACTOR POWER SCREENING MESH
7AKI OFT
Rotating Drum
^- —.
1ATERAL CONVEYOR
FIGURE 14
BEACH CLEANER WORKING PRINCIPLES3
6/92
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Water flushing can float oil out of the beach or can drive oil deeper into the beach. Water flushing
has been used on mud, sand, gravel, cobbles, and shingle beaches. It is used to remove non-sticky
oils. Generally, large amounts of low-pressure water are sprayed on the highest elevation of
contaminated beach to wash oil into containment devices. A series of low pressure hoses, perforated
pipe, or irrigation systems can be used to apply water. Berms can be built on the shore to channel
the oil to a collection sump (FIGURE 15) or booms can be placed just off shore. Skimmers or
vacuum trucks can remove oil from the sumps. Test flushing should determine the suitability of this
technique before large scale use.
COOU 1"p*'!""* 1
-------
back to the operator. Protective clothing is also used in steam cleaning to protect the operator from
the steam and hot water. The processes are slow and expensive; a skimmer crew must follow behind
the rock cleaning crew and a boom should be placed around the working area to prevent
recontamination of the cleaned area.
MARSH RESTORATION
The difficulty in marsh cleanup and restoration arises from its susceptibility to change from various
factors. A change in water level, water drainage, burning, insect blights, and oil spill cleaning
activities can trigger a marsh community change that can result in gradual or massive plant die-offs
and subsequent changes.
Furthermore, the effects of marsh cleaning activities will vary with plant species4. Generally, annual
marsh plants are affected more than perennial marsh plants. The effects from cleanup activities vary
with the technique5'6.
Some marsh cleaning techniques are manual or mechanical cutting of plants, use of sorbents, water
flushing with skimming, burning, soil removal and natural recovery. In some cases a combination
of techniques is used. Cutting plants to remove oil has been successful after some spills. Although
most marsh plants can withstand massive foliage loss from insects or cutting, marsh roots and
rhizomes can be severely damaged by foot or vehicular traffic. Loss of plants can increase soil
erosion and upset the entire marsh community. Some mechanical harvesters have been modified for
marsh cutting and manual cutting from atop boats and plywood sheeting will minimize impact. Soil
disturbance when foot traffic is used for sorbent recovery causes oil to penetrate into footprints
(sometimes leg prints). In some cases, this problem has been diminished by water flooding and
skimming. Pumping water to an enclosed marsh and floating the oil to a recovery site does not
require foot traffic. However, care should be taken to applying water so that channels are not dug
at pump discharge sites. Natural or mineral sorbents may be added at the pumpsite Sorbents may
be collected in screens from behind barriers. Care should be taken to return the site to its normal
water level.
Another alternative is burning. Some marsh grasses are intolerant of burning. Additional problems
can arise if the heat of combustion creates more harmful chemicals than the original oil Another
consideration is that even though marsh grasses may die, an increase in open water in a once dense
marsh will provide more areas for ducks, herons, or blackbirds. Local authorities should be
consulted abou? the effects of burning on the marsh and nearby human communities.
Cases of soil erosion upon soil removal in marshes are many. Making channels for "easy" oil
removal have changed water flow patterns which in turn have changed marsh plant dominance or
eliminated marsh plants altogether. This technique is sometimes used for marsh drainage operations.
Consult local authorities before removing soil from a marsh.
Small quantities of oil may produce fewer harmful effects than cleanup techniques. For large spills,
removing most oi the oil and naturally degrading the remaining oil may be a good choice.
6/92 39
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SHORELINE REVEGETATION
Revegetation of shorelines will most likely be marshes or mangroves. Many techniques are currently
being developed7. Some studies are using artificially grown plants and transplanting them into a
marsh by tieing the roots to 16-penny nails and sinking the nails into the marsh. Others are hand
planting grasses or mangroves or seeds, juvenile plants or adult plants. In transplanting intolerant
marsh or mangrove species, some success has been demonstrated using seeds or plants from areas
that have survived previous oil spills.
TERMINATION OF CLEANUP
The decision to end cleanup activities and allow natural degradation of remaining oil must be made
on a case-by-case basis. Generally, shoreline cleanup will terminate when fresh oil contamination
is no longer occurring and the remaining oil is immobilized and not a threat to other areas.
However, other factors that should be considered are:
1. when environmental damage from cleanup operations is greater than environmental
damage from leaving oil in place,
2. when the local environmental expert or OSC agrees to a halt of cleanup activities,
3. when cleanup costs increase significantly while oil removal decreases significantly,
and
4. when occasional oil spots remain.
OAKLAND ESTUARY SPILL CLEANUP
During the Oakland Estuary spill, as with most spills, there were many tons of oily debris to remove
from the water. Around dock areas debris was contained with booms while cranes with clamshell
buckets were used to dip debris from the water. In all some 1400 cubic yards of debris were
recovered and had to be transported from the area. This type of operation calls for many dump
trucks making continuous circuits for more debris. Since the equipment is rented by the hour, care
should be taken to be certain that there is a proper balance between the number of trucks and loading
equipment. One cannot afford to have trucks waiting for the crane or cranes waiting for trucks. It
is best to station a person at the loading site to spot the trucks and keep them moving. This may be
a good position for an off-duty police officer if highway or city traffic is involved.
At the Oakland spill, two Corps of Engineers trash removal boats were placed in service to help with
debris removal. A 1500 cubic yard trash barge was anchored in the area to receive the debris picked
up by clamshell buckets. In areas which were difficult to reach with a clamshell, small boats
carrying laborers cleaned up pockets of oil and debris. This method was particularly useful under
piers and dwellings that extended over the water.
After the Oakland Estuary spill was cleaned up, local observers noted that the estuary was cleaner
than it had been for many years because of the massive removal of debris. This was also noted at
the Paulsboro, New Jersey spill. At the Paulsboro spill, however, it was necessary to bring in new
sand to replace a stretch of beach in front of a number of residences. Sand replacement is extremely
costly and should be avoided by removing only as much sand as necessary when cleaning the beach.
If sand must be replaced, it becomes a typical heavy construction project best handled through a
contractor.
6/92 40
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The depth of sand along a beach subject to waves, tidal action and seasonal high water stages, such
as along a river, will not be constant throughout the year. This is particularly true for coastal
beaches that tend to erode during winter storms and redeposit during summer storms. This
phenomenon can work to the advantage of the cleanup crew if the spill occurs during high sand
levels, but will be a disadvantage when sand levels are low. One may be expected to haul in sand
after cleanup has been completed when the normal sand level is low.
OIL REMOVAL FROM ROCKS AND BULKHEADS
Shoreline restoration often includes the removal of oil from rocks and bulkheads using high pressure
water sprays. Sprays used for this purpose can produce working pressures as high as 10,000 psi and
therefore require the operator to wear heavy work clothes, gloves, hard hat, and eye protectors.
This is necessary because pieces of rock and oil ricochet back to the operator. The process is slow
and expensive; a skimmer crew must follow behind the rock cleaning crew and a boom should be
placed around the working area to prevent recontamination of the cleaned area. EXXON
recommends that dispersants be used to aid oil removal from solid objects. The procedure involves
spraying a concentrated oil-based detergent directly on the oiled surface just prior to cleaning and
using a three percent addition of a water-based dispersant with the high pressure spray. This
technique was used by EXXON at the Tampa Bay spill on seawalls oiled with No. 6 oil. This was
done prior to the recent legislation on oil spill cleanup and was approved by the State of Florida on-
scene coordinator. Before using this method, one must obtain permission from the on-scene
coordinator.
HANDLING RECOVERED OIL
Pumps
Choosing a pump to transfer oil should be carefully considered. Some pumps may emulsify
the oil and water picked up while other pumps may not work well against a strong back
pressure. A general description of pump types is:
Centrifugal Pumps
• Can pump at very high rates.
• Simple, rugged, inexpensive and easy to repair.
• Best suited for pumping water or low viscosity oil.
• Will emulsify oil and water if pumped together.
• Sensitive to debris, especially stringy material.
• Cannot pump against high back pressure.
Diaphragm Pumps
• Simple, one moving part construction.
• Handles thick slurries and debris without stalling.
• Lends itself to ultra-safe, compressed air operation.
• Moderate tendency to emulsify oil and water.
• Cannot pump against high back pressure.
• Gives pulsating flow - undesirable for weir skimmers.
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Positive Displacement
Handles extremely high viscosity slurries or emulsions.
Can pump against extremely high back pressure.
Can pass debris up to two inches in diameter or more.
Only slight tendency to emulsify oil and water.
Generally more difficult to repair in the field than other type
pumps.
More expensive than centrifugal or diaphragm of equal
capacity.
Vacuum Systems
• Extremely gentle treatment of the fluids handled.
• Handles all kinds of debris up to several inches in diameter
and several pounds in weight.
• Can pick up "chocolate mousse" in thick or thin layers from
water or land surfaces.
• Cannot lift a water column more than 30 feet.
• Vacuum pump is usually large and expensive.
• Usually requires a large integral storage vessel to contain the
picked up liquid.
Storage - See Containment/Debris Disposal
SUMMARY
Shoreline restoration and protection are usually the most expensive cleanup operations, the most
time-consuming, and often cause the most problems. Designated public relations personnel should
be assigned the job of handling sightseers, the press and volunteers. Booms, sorbents and berms will
limit damage to the shore, but some oiling may take place. It is important to maximize the use of
earthmoving equipment and minimize hand labor. Modern dispersants or collecting agents have been
used effectively outside the U.S. but are not normally approved for use in this country. Research
is presently underway through the API directed toward improved beach protection.
REFERENCES
Concawe, 1980, Disposal techniques for spilt oil. Concawe Report No. 9180. The Hague, 51 pp.
Foget, C., Schrier, E., Cramer, M. and Castle, R., 1979, Manual of Practice for Protection and
Cleanup of Shorelines: Volume I and II. U.S. Environmental Protection Agency, EPA-60017-79-
187b, 283 pp.
Lewis, J.C. and Bunce, E.W. (editors), 1980. Rehabilitation and creation of selected coastal
habitats: Proceedings of a workshop. U.S. Fish and Wildlife Service, FWS/OBS-80/27, 162 pp.
6/92 42
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APPENDIX I
SHORELINE CLEANUP TECHNIQUES
1 Cleanup
Technique
Description
Primary Use of Cleanup
Technique
Technique
Requirements
1 . Motor grader/
elevating
scraper
2. Elevating
scraper
3. Motor grader/
front-end loader
4. Front-end
loader - rubber
tired or tracked
5. Bulldozer/
rubber-tired
front-end loader
6. Backhoe
7. Dragline or
clamshell
8. High pressure
flushing (hydro-
blasting)
Motor grader forms
windrows for pickup by
elevating scraper.
Elevating scraper picks
up contaminated material
directly off beach.
Motor grader forms
windrows for pickup by
front-end loader.
Front-end loader picks
up materials directly off
beach and hauls it to
unloading area.
Bulldozer pushes
contaminated substrate
into piles for pickup by
front-end loader.
Operates from top of a
bank or beach to remove
contaminated sediments
and loads into trucks.
Operates from top of
contaminated area to
remove oiled sediments.
High pressure water
streams remove oil from
substrate where it is
channeled to recovery
area.
Used primarily on sand and gravel beaches
where oil penetration is 0 to 3 cm, and
trafficability of beach is good. Can also be
used on mudflats.
Used on sand and gravel beaches where oil
penetration is 0 to 3 cm. Can also be used to
remove tar balls or flat patties from the
surface of a beach.
Used on gravel and sand beaches where oil
penetration is less than 2 to 3 cm. This
method is slower than using a motor grader
and elevating scraper but can be used when
elevating scrapers are not available. Can also
be used on mudflats.
Used on mud, sand or gravel beaches when oil
penetration is moderate and oil contamination
is light to moderate. Rubber-tired front-end
loaders are preferred because they are faster
and minimize the disturbance of the surface.
Front-end loaders are the preferred choice for
removing cobble sediments. If rubber-tired
loader cannot operate, tracked loaders are the
next choice. Can also be used to remove
extensively oil-contaminated vegetation.
Used on coarse sand, gravel or cobble beaches
where oil penetration is deep, oil penetration
is deep, oil contamination extensive and
trafficability of the beach is poor. Can also be
used to remove heavily oil contaminated
vegetation .
Used to remove oil contaminated sediment
(primarily mud or silt) on steep banks.
Used on sand, gravel or cobble beaches where
trafficability is very poor (i.e., tracked
equipment cannot operate) and oil
contamination is extensive.
Used to remove oil coatings from boulders,
rock and manmade structures; preferred
method of removing oil from these surfaces.
Good Trafficability.
Heavy equipment
access.
Fair to good
trafficability. Heavy
equipment access.
Fair to good
trafficability. Heavy
equipment access.
Fair to good
trafficability for
rubber-tire loader.
Heavy equipment
access.
Heavy equipment
access. Fair to good
trafficability for
front-end loader.
Heavy equipment
access. Stable
substrate at top of
bank.
Heavy equipment
access to operating
area. Equipment
reach covers
contaminated area.
Light vehicular
access. Recovery
equipment.
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APPENDIX I
SHORELINE CLEANUP TECHNIQUES
Cleanup
Technique
Description
Primary Use of Cleanup
Technique
Technique
Requirements
9. Steam cleaning
10. Sand-blasting
1 1 . Manual
scraping
12. Sump and
pump/vacuum
13. Manual removal
of oiled
materials
14. Low pressure
flushing
15. Beach cleaner
16. Manual sorbent
application
17. Manual cutting
18. Burning
Steam removes oil from
substrate where it is
channeled to recovery
area.
Sand moving at high
velocity removes oil
from substrate.
Oil is scraped from
substrate manually using
hand tools.
Oil collects in sump as it
moves down the beach
and is removed by pump
or vacuum truck.
Oiled sediments and
debris are removed by
hand, shovels, rakes,
wheelbarrows, etc.
Low pressure water
spray flushes oil from
substrate where it is
channeled to recovery
points.
Pulled by tractor or self-
propelled across beach,
picking up tar balls or
patties.
Sorbents are applied
manually to contaminated
areas to soak up oil.
Oiled vegetation is cut by
hand, collected and
stuffed into bags or
containers for disposal.
Upwind end of
contaminated area is
ignited and allowed to
burn to down- wind end.
Used to remove oil coatings from boulders,
rocks and manmade structures.
Used to remove thin accumulations of oil
residue from manmade structures.
Used to remove oil from lightly contaminated
boulders, rocks and manmade structures or
heavy oil accumulation when other techniques
are not allowed.
Used on firm sand or mud beaches in the
event of continuing oil contamination where
sufficient long-shore currents exist and on
streams and rivers in conjunction with
diversion booming.
Used on mud, sand, gravel and cobble
beaches when oil contamination is light or
sporadic and oil penetration is slight or on
beaches where access for heavy equipment is
not available.
Used to flush light oils that are not sticky
from lightly contaminated mud substrates,
cobbles, boulders, rocks, manmade structures
and vegetation.
Used on sand or gravel beaches, lightly
contaminated with oil in the form of hard
patties or tar balls.
Used to remove pools of light, non-sticky oil
from mud, boulders, rocks and manmade
structures.
Used on oil contaminated vegetation.
Used on any substrate or vegetation where
sufficient oil has collected to sustain ignition;
if oil is a type that will support ignition and
air pollution regulations so allow.
Light vehicular
access. Recovery
equipment. Fresh
water supply.
Light vehicular
access. Oil must be
semi-solid. Supply
of clean sand.
Foot access.
Scraping tools and
disposal containers.
Heavy equipment
access. A long-
shore current
present.
Foot or light
vehicular access.
Light vehicular
access. Recovery
equipment.
Moderate to heavy
vehicular access.
Good trafficability.
Foot or boat access.
Disposal containers
for sorbents.
Foot or boat access.
Cutting tools.
Light vehicular or
boat access. Fire
control equipment.
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APPENDIX I
SHORELINE CLEANUP TECHNIQUES
Cleanup
Technique
Description
Primary Use of Cleanup
Technique
Technique
Requirements
19. Vacuum trucks
20. Push
contaminated
substrate into
surf
21. Breaking up
pavement
22. Disc into sub-
strate
23. Natural
recovery
Truck is backed up to oil
pool or recovery site
where oil is picked up
via the vacuum hose.
Bulldozer pushes
contaminated substrate
into surf zone to
accelerate natural
cleaning.
Tractor fitted with a
ripper is operated up and
down beach.
Tractor pulls discing
equipment along
contaminated area.
No action taken. Oil left
to degrade naturally.
Used to pick up oil on shorelines where pools
of oil have formed in natural depressions, or
in the absence of skimming equipment to
recovery floating oil from the water surface.
Used on contaminated cobble and lightly
contaminated gravel beaches where removal of
sediments may cause erosion of the beach or
backshore area.
Used on low amenity cobble, gravel or sand
beaches or beaches where substrate removal
will cause erosion where thick layers of oil
have created a pavement on the beach surface.
Used on nonrecreational sand or gravel
beaches that are lightly contaminated.
Used for oil contamination on high energy
beaches (primarily cobble, boulder and rock)
where wave action will remove most oil
contamination in a short period of time.
Heavy equipment
access. Large
enough pools on
land or thick enough
oil on water for
technique to be
effective.
Heavy equipment
access. High energy
shoreline.
Heavy equipment
access. High energy
shoreline.
Heavy equipment
access. Fair to good
trafficability. High
energy environment.
Exposed high energy
environment.
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APPENDIX II
IMPACTS ASSOCIATED WITH CLEANUP TECHNIQUES
Cleanup
Technique
Description
Physical Effect of Use
Biological Effect of Use
1 . Motor
grader/
elevating
2. Elevating
scraper
3. Motor
grader
4. Front-end
loader -
rubber-tired
or tracked
5. Bulldozer/
rubber-tired
front-end
loader
6. Backhoe
7. Dragline or
clamshell
8. High-
pressure
flushing
(hydro -
blasting)
Motor grader forms
windrows for pickup by
elevating scraper.
Elevating scraper picks
up contaminated material
directly off beach.
Motor grader forms
windrows for pickup by
front-end loader.
Front-end loader picks
up material directly off
beach and hauls it to
unloading area.
Bulldozer pushes
contaminated substrate
into piles for pickup by
front-end loader.
Operates from top of a
bank or beach to remove
contaminated sediments
and loads into trucks.
Operates from top of
contaminated area to
remove oiled sediments.
High pressure water
streams remove oil from
substrate; oil is
channeled to recovery
area.
Removes only upper 3 cm of
beach.
Removes upper 3 to 10 cm of
beach. Minor reduction of
beach stability. Erosion and
beach retreat.
Removes only upper 3 cm of
beach.
Removes 10 to 25 cm of beach.
Reduction of beach stability.
Erosion and beach retreat.
Removes 15 to 50 cm of beach.
Loss of beach stability. Severe
erosion and cliff or beach
retreat. Inundation of back-
shores.
Removes 25 to 50 cm of beach
or bank. Severe reduction of
beach stability and beach
retreat.
Removes 25 to 50 cm of beach.
Severe reduction of beach
stability. Erosion and beach
retreat.
Can disturb surface of substrate.
Removes shallow burrowing
Polychaetes, bivalves and
amphipods. Recolonization likely
to rapidly follow natural
replenishment of the substrate.
Removes shallow and deeper
burrowing polychaetes, bivalves
and amphipods. Restabilization of
substrate; reestablishment of long-
lived indigenous fauna may take
several years.
Removes shallow burrowing
polychaetes, bivalves and
amphipods. Recolonization likely
to rapidly follow natural
replenishment of the substrate.
Removes almost all shallow and
deep burrowing organisms.
Restabilization of the physical
environment slow; new faunal
community could develop.
Removes all organisms.
Restabilization of substrate and
repopulation of indigenous fauna is
extremely slow; new faunal
community could develop in the
interim.
Removes all organisms.
Restabilization of substrate and
repopulation of organisms is
extremely slow; new faunal
community could develop in the
interim.
Removes all organisms.
Restabilization of substrate and
repopulation of indigenous fauna is
extremely slow; new faunal
community could develop in the
interim.
Removes some organisms and
shells from the substrate, damage
to remaining organisms variable.
Oil not recovered can be toxic to
organisms downslope of cleanup
activities.
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APPENDIX II
IMPACTS ASSOCIATED WITH CLEANUP TECHNIQUES
Cleanup
Technique
Description
Physical Effect of Use
Biological Effect of Use
9. Steam
cleaning
10. Sand-
blasting
1 1 . Manual
scraping
12. Sump and
pump/vacuu
m
1 3 . Manual
removal of
oiled
materials
14. Low-
pressure
flushing
15. Beach
cleaner
16. Manual
sorbent
application
Steam removes oil from
substrate where it is
channeled to recovery
area.
Sand moving at high
velocity removes oil
from substrate.
Oil is scraped from
substrate manually using
hand tools.
Oil collects in sump as it
moves down the beach
and is removed by pump
or vacuum truck.
Oiled sediments and
debris are removed by
hand, shovels, rakes,
wheelbarrows, etc.
Low-pressure water
spray flushes oil from
substrate and is
channeled to recovery
points.
Pulled by tractor or self-
propelled across beach
picking up tar balls or
patties.
Sorbents are applied
manually to contaminated
areas to soak up oil.
Adds heat (> 100°C) to
surface.
Adds material to the
environment. Potential
recontamination, erosion and
deeper penetration into
substrate.
Selective removal of material.
Labor-intensive activity can
disturb sediments.
Requires excavation of a sump
60 to 120 cm deep on shoreline.
Some oil will probably remain
on beach.
Removes 3 cm or less of beach.
Selective. Sediment disturbance
and erosion potential .
Does not disturb surface to any
great extent. Potential for
recontamination.
Disturbs upper 5 to 10 cm of
beach.
Selective removal of material.
Labor intensive activity can
disturb sediments.
Removes some organisms from
substrate but mortality due to the
heat is more likely. Empty shells
remaining may enhance
repopulation. Oil not recovered
can be toxic to organisms
downslope of cleanup activities.
Removes all organisms and shells
from the substrate. Oil not
recovered can be toxic to
organisms downslope of cleanup
activities.
Removes some organisms from the
substrate, crushes others. Oil not
removed or recovered can be toxic
to organisms repopulating the
rocky substrate or inhabiting
sediment downslope of cleanup
activities.
Removes organisms at sump
location. Potentially toxic effects
from oil left on the shoreline.
Recovery depends on persistence
of oil at the sump.
Removes and disturbs shallow
burrowing organisms. Rapid
recovery .
Leaves most organisms alive and
in place. Oil not recovered can be
toxic to organisms downslope of
cleanup.
Disturbs shallow burrowing
organisms.
Foot traffic may crush organisms.
Possible ingestion of sorbents by
birds and small mammals.
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APPENDIX II
IMPACTS ASSOCIATED WITH CLEANUP TECHNIQUES
Cleanup
Technique
Description
Physical Effect of Use
Biological Effect of Use
17. Manual
cutting
18. Burning
19, Vacuum
trucks
20. Push
contaminate
d substrate
into surf
21. Breakup
pavement
22. Disc into
substrate
23. Natural
recovery
Oiled vegetation is cut by
hand, collected and
stuffed into bags or
containers for disposal.
Upwind end of
contaminated area is
ignited and allowed to
burn to down-wind.
Truck is backed up to oil
pool or recovery site
where oil is picked up
via vacuum hose.
Bulldozer pushes
contaminated substrate
into surf zone to
accelerate natural
cleaning.
Tractor fitted with a
ripper is operated up and
down beach.
Tractor pulls discing
equipment along
contaminated area.
No action taken. Oil left
to degrade naturally.
Disturbs sediments because of
extensive use of labor; can
cause erosion.
Causes heavy air pollution; adds
heat to substrate, can cause
erosion if root system damaged.
Some oil may be left on shore-
line or in water.
Disruption of top layer of
substrate; leaves some oil in
intertidal area. Potential
recontamination.
Disruption of sediments.
Leaves oil on beach.
Leaves oil buried in sand.
Disrupts surface layer of
substrate.
Some oil may remain on beach
and could contaminate clean
areas.
Removes and crushes some
organisms. Rapid recovery.
Heavy foot traffic can cause root
damage and subsequent slow
recovery.
Kills surface organisms caught in
burn area. Residual matter may
be somewhat toxic (heavy metals).
Removes some organisms.
Potential for longer-term toxic
effects associated with oil left on
the shoreline. Recovery depends
on persistence of oil left in the
pools.
Kills most of the organisms
inhabiting the uncontaminated
substrate. Recovery of organisms
usually more rapid than with
removing substrate.
Disturbs shallow and deep
burrowing organisms.
Disturbs shallow burrowing
organisms. Possible toxic effects
from buried oil.
Potential toxic effects and
smothering by the oil. Potential
incorporation of oil into the food
web. Potential elimination of
habitat if organisms will not settle
on residual oil.
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SECTION 6
PREVENTING OIL SPILLS
THE VALUE OF SPILL PREVENTION
This section stresses the importance of avoiding oil spills in the environment through a conscientious
program of spill prevention. Prevention measures are always worth the money because of the
staggering costs for oil spill cleanup. As an example, the cost of the Oakland Estuary spill came to
$1.2 million or about $300 per barrel. Additional costs such as loss of property and bad publicity
occur that are not easily measured in dollars.
A SYSTEMATIC APPROACH
It is helpful to follow a systematic approach to effectively prevent oil spills. The following
procedure is recommended:
1. review oil spill statistics, with emphasis on spills originating under similar operations
to those under study;
2. analyze the causes of the incidents;
3. based on this analysis, inspect the facility for potential spill situations;
4. develop a priority ranking for potential spill sites based on the likelihood of
occurrence, volume of oil involved, frequency of transfers and effect on the
environment;
5. initiate action to reduce the probability of these incidents in order of their priority.
PRINCIPLE CAUSES ON LAND
Natural Forces
Natural forces often cause oil spills. Heavy rains can cause drip pans to overflow, and
hurricanes may cause spills at offshore wells, around dock areas and at refineries. There is
no way to prevent natural catastrophes, but there are ways to decrease effects, such as
closing valves, tying down drums and other loose objects, filling tanks with water, raising
dikes, shutting in wells and evacuating unneeded personnel.
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Excluding acts of God, the majority of oil spill incidents are caused by human error or
equipment failure.
Human Error
Operating procedures should be reviewed on a regular basis to ensure that they reflect current
requirements. Operation training programs should be reviewed to ensure that personnel are
receiving adequate instruction on equipment and procedures. Employee awareness and
motivation programs should be instituted to convince the employee of the necessity of
preventing oil spills. The concern demonstrated by management is a critical aspect of such
a program (for example, fixing minor leaks, acting promptly on suggestions and insisting on
good housekeeping).
Equipment Failure
Proper equipment must be used for each job. For example, flexible hose with the correct
pressure rating should always be used. Equipment must be kept in good condition through
adequate maintenance and inspection programs.
THE SPCC PROGRAM
A federal program designed to help prevent oil spills in the Spill Prevention Control and
Countermeasure (SPCC) program administered by the Environmental Protection Agency (EPA).
SPCC plans are required to be available at all facilities large enough to require them. A copy of the
SPCC rules and regulations is included in the front pocket of the binder (Federal Register Vol. 38,
Number 237, Part II).
The SPCC program covers "non-transportation related onshore and offshore facilities" which includes
facilities engaged in drilling, producing, gathering, storing, processing, refining, transferring,
distributing or consuming oil and oil products. A facility is under SPCC regulation if it has
discharged or could discharge oil to navigable waters. The rules do not cover small facilities with
aboveground storage capacity of less than 32 barrels or facilities that do not have single containers
with a capacity greater than 16 barrels. A SPCC plan is required for underground storage facilities
having total capacities in excess of 1000 barrels.
General Prevention Measures
An example of the spill prevention measures outlined in SPCC rules and regulations is the
requirement of drainage valves at diked storage areas. The purpose of the valves is to
prevent oil from entering the storm drainage system. The valves must be installed unless the
storm drainage system is designed to handle leakage. Before storm water can be released
to a water course it must be inspected to be certain that free oil is not present. Dikes
constructed around oil storage tanks must be impervious to oil and capable of holding the
entire contents of the largest single tank plus storm water. An alternative to dikes is an oil-
holding moat constructed around tanks. This system requires pumps to keep the moats dry
and ready for a spill.
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High level alarms on tanks should be installed. Fail-proof communication systems should
be provided between the tank gauges and pumping state operations. Installation and regular
testing of liquid level indicators on storage tanks is a must. Portable oil storage tanks would
be positioned to prevent any spilled oil from reaching navigable waters.
Properly maintained tanks in tank farms will not leak. Dikes should eliminate the immediate
problem in the event of a leak and water can be pumped into the bottom of the tank to
prevent problems from becoming worse as the product is removed by swing lines. However,
with small leaks, especially in the tank bottom, other measures need to be taken. One
method that has been used in large, old tank farms utilizes well points to monitor the
underground water table for oil contamination. If contamination is found, oil can be removed
by direct pumping.
An ever present source of oil spills in tank farm operation is tank overrun resulting from
mechanical failure such as the malfunction of level alarms and recorders or more often from
human error. A prime example is when one tank is being filled from two sources because
a cross connection valve is accidentally opened. A second example is when a tank is
scheduled to accept a certain number of barrels but, unknown to the operator, the tank is
already partially full due to an earlier mistake in oil transfer.
Pipelines transferring oil can product slow leaks at valves and flanges, but periodic checks
can avert serious problems. Despite the expense a conscientious program of replacing old
oil lines with new ones should be considered. Implementation of a continual replacement
program on a long-term basis may prove to be economically wise. Buried pipelines should
be protected by wrapping, coating and by cathodic protection. Pipelines that are out of
service for any length of time should be blind-flanged.
Mechanical Failures
A program of preventive maintenance can eliminate many mechanical failures. Hose line
should be properly rigged to prevent kinks in the line which can cause the hose to fail
prematurely. Valves should be checked visually for leaks. Valve-blocked hoses should be
tested hydrostatically. This is especially critical for valves, flanges and hoses used on the
waterfront. Packing glands are a common source of leakage and should be checked visually.
Gaskets on working flanges should be replaced after each use.
Loading Racks
Workers must be careful when loading trucks with oil to prevent spillage. Racks should be
constructed with concrete collector pads to recover spilled products. Concrete aprons must
be large enough to collect most spills. The aprons should also be piped directly into
separator facilities and should be large enough to handle storm runoff without washing out
the oil collected in the separator. Separators must be regularly attended by an operator. A
typical system is shown in FIGURE 1.
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*to
FIGURE 1
OIL SPILL PREVENTION SYSTEM FOR LOADING RACKS
Dikes
Tank dikes should be routinely inspected to ensure against leakage in the event of a tank
rupture. Many dikes are not high enough to contain the entire contents, or they may have
leaks from lack of maintenance. Storm water valves in dikes should be closed at all times
as shown in FIGURE 2 except during supervised drainage. A program should be developed
for each tank farm for rain conditions. If the operator decides the water is contaminated,
provisions should be made to prevent oil from reaching a body of water.
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O /
FIGURE 2
STORM WATER VALVES IN DIKES
Onshore Production Facilities
All oil and water transfer facilities should be examined for leaks on a routine basis. This
includes aboveground valves, pipelines, drip sand and rod stuffing boxes. Saltwater disposal
facilities should be examined frequently. Blowout preventer assemblies and well control
systems should be installed and in working order.
Offshore Platforms
Spills from platforms are not limited to production. They also include small spills that
originate from platform drains and during the transfer of fuel oil used on the platform. Like
onshore production facilities, automatic shutoff valves that activate on pressure loss or
buildup should be provided. It is also essential that automatic spill prevention equipment be
checked for proper operation on a routine basis. Since dikes are not practical, offshore tanks
should be equipped with high level alarms.
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THE COAST GUARD SPILL PREVENTION PROGRAM
Much of the Coast Guard program is based on Public Law 92-500 (as amended) and covers vessels
and oil transfer facilities. The Coast Guard rules and regulations are provided in the front pocket
of the binder. They apply to facilities that transfer oil in bulk to or from any vessel with a capacity
of 250 or more barrels. The regulations require that the owner or operator submit a letter of intent
to conduct transfer operations accompanied by an operations manual to the Coast Guard Captain of
the Port at least 60 days prior to operations. The manual must describe the operation and methods
used for prevention and mitigation of oil spills. If the manual is incomplete, the Captain of the Port
may require that it be amended to comply with the requirements of the regulations. Equipment
requirements such as: hoses with minimum bursting pressures, loading arms which meet the
requirements of the American National Standards Institute, adequate closure devices, discharge
containment equipment, emergency shutdown devices and adequate communications and lighting must
be met.
The Oil Pollution Act of 1961 requires that an oil record book be carried and maintained by every
ship. All operations which involve oil are to be recorded in this book. Persons who fail to comply
with the provisions regarding the oil book or who make false or misleading entries are subject to
fines and/or imprisonment.
Under the Ports and Waterways Safety Act of 1972, the Coast Guard is responsible for preventing
damage to vessels, bridges and other structures associated with the navigable waters of the United
States and also for preventing harm to waters resulting from vessel or structural damage. The Coast
Guard has the authority to control vessel traffic and to regulate operations of vessels, including
movement of vessels, anchoring, equipment requirements and establishing waterfront safety zones.
Under Title II of the Ports and Waterways Safety Act of 1972, the Coast Guard established
regulations for ship design, maintenance, handling and equipment carrying oil in bulk on the
navigable waters of the United States. Ships must carry a certificate of inspection demonstrating
compliance with the Act, and tanker personnel must hold certificates of qualification to handle
specific cargos. Any vessel not in compliance with this law and the regulations may be denied entry
to navigable waters of the United States.
OTHER SPILL PREVENTION CONSIDERATIONS
Highway Accidents
Personnel in charge of trucks and trains transporting oil products should be particularly
careful of the danger of fire if a wreck occurs. Oil-transporting vehicles are required to be
properly labeled and drivers trained to react properly in case of an accident. The driver
should assist emergency personnel in helping prevent oil carryover to bodies of water.
Unless required for safety purposes, oil should not be washed into drainage systems.
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Service Stations
Service stations are another potential source of oil pollution. Underground storage tanks can
leak due to corrosion, resulting in gasoline permeating the ground. The presence of gasoline
in the water table, a sewer or basement can be dangerous. This type of leak can be
monitored by checking inventories daily and by comparing gasoline tank gauges with pump
readings. Tanks should be pressure tested on a routine basis. This practice can indicate a
leak, can tell which tank the gasoline is leaking from and can approximate the amount of
leakage. The company should investigate and repair leakages immediately to prevent ground
saturation and possible explosions.
Service stations should properly dispose of waste oils, greases and solvents. Oil filters
should be drained completely before disposal. The company should make certain that proper
disposal facilities are available and that employees understand the correct method of disposal.
Pumps can be oil spill sources at filling stations. If pumps are not cleaned regularly, oil can
carry over into storm drains which usually empty into waterways. If gasoline reaches a
storm sewer system, the fire department should be called immediately. Instances have been
recorded where a mile or more of storm drain exploded beneath a town.
Marketing Terminals
Terminals have storage tanks, dikes, pipelines and loading racks and therefore have many
of the potential oil spill sources discussed previously. Most terminals are fenced for security
purposes to prevent theft. However, a number of spills have been caused by vandals opening
valves. Security precautions should include provisions for minimizing vandalism by locking
valves where possible.
Storm drainage facilities in tank farms should be blocked off in case of a spill to prevent
products from leaving the property. Drains must be opened during storms for water release.
This can present problems for the small terminal that does not have a 24-hour staff. In such
cases, some personnel should be on call in the event of a storm to release water from tanks.
Electronic instruments have been developed to detect oil spills on water surfaces. These units
can be installed at separators and over open water along docks. They are sensitive enough
to detect a sheen on water and can sound an alarm. Although the equipment is expensive,
an early warning of a spill could result in cleanup savings that would pay for the device.
These units are particularly useful at night and during times when few people are available
to notice a spill.
Design Considerations
Spill prevention practices should be a part of company engineering design criteria. As in the
case of pollution control devices, it is more economical to include oil spill prevention systems
in the design of new facilities. Design standardization promotes employee familiarity with
the operation and maintenance of certain devices. This should aid in controlling spills.
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SUMMARY
Spills are expensive and should be prevented by initiating a rigorous prevention program. Analysis
of oil spill statistics and incident reports can help locate areas needing attention. Incidents caused
by human error and equipment failure can be reduced by a critical evaluation of operating
procedures, operations training, equipment inspection and maintenance programs, Mandatory SPCC
and Coast Guard prevention rules and regulations include many suggestions which will help operators
spot areas of concern.
There are special cases where vigilance is needed, including spills caused by highway accidents,
overflowing tanks and pressure vessels, natural forces and vandalism. For the future it is beneficial
to incorporate spill prevention practices into company design criteria. If this is accomplished, spill
prevention devices will be built into all new facilities.
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SECTION 7
PARTI
RESPONSE ORGANIZATION
INTRODUCTION
The number of people needed to respond to an incident involving the release or potential release of
oil can vary greatly. To successfully accomplish the primary response goal of protecting public
health and the environment, requires the coordinated, cooperative effort of these people.
Every incident is unique. The oil involved, it's impact on public health and the environment, and
the activities required to remedy the event are incident specific. Each incident tends to establish its
own operational and organizational requirements. However, common to all incidents are planning,
organizational considerations, personnel, and the implementation of operations.
OIL SPILL CONTINGENCY PLANS
Many of the problems encountered by responders can be reduced if an oil spill contingency plan
exists. When an incident (involving oil or other kinds of man-made or natural disasters) occurs,
local government reacts. An organization, comprised of all who are available, will naturally evolve.
It's capability, however, to efficiently manage the situation may be severely restricted. Expertise,
equipment, and funds needed to prevent or reduce the impact of the event may not be readily
available. Necessary actions to ameliorate the situation may be delayed.
A contingency plan can lessen many of the problems encountered in a response. However, even a
good plan cannot anticipate and address all the circumstances created by a release of oil. Even with
a plan, modifications may be needed in the response organization to accommodate unforeseen
situations. A well-written plan acknowledges that adaptations are necessary and provides the
framework for doing so without impeding the progress of implementation.
A more effective response occurs when a contingency plan exists. In general, contingency plans
anticipate the myriad of problems faced by responders and through the planning process solves them.
An organization for responding is established, resources are identified, and prior arrangements made
for obtaining assistance. A good plan minimizes the delays frequently encountered in a no-plan
response permitting more prompt remedial actions. It also reduces the risk to the health of both the
responders and public by establishing, in advance, procedures for protecting their safety. Without
a plan the ability to effectively manage the incident is diminished. Time is wasted attempting to
define the problem, get organized, locate resources, and implement response activities. These
organizational difficulties can cause delays in the response actions creating additional problems that
prompt action would have avoided. For oil spill contingency plans to be effective they must be:
• Well-written
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• Agreed upon by all involved
• Current
• Flexible
• Reviewed and Modified
• Tested
ORGANIZATION
The responders needed for an incident may range from a few to hundreds, representing many
government agencies and private industries. Functions and responsibilities of each responders group
differ. These diverse elements must be organized into a cohesive unit capable of managing and
directing response activities toward a successful conclusion.
Relatively few well-trained response teams exist. These teams, generally associated with
metropolitan fire services or with industry, are small and may have limited capability or
responsibility. In an incident of any magnitude, where more personnel and resources are needed,
a team is assembled from the various responding government agencies or private contractors. An
organization is then established according to an existing contingency plan; without a plan, an ad hoc
organization is created to manage that specific incident.
The organization which is established, by a contingency plan or ad hoc, regardless of the number
of people or agencies involved, to function effectively must:
• Designate a leader
• Determine objectives
• Establish authority
• Develop policy and procedures
•• Assign responsibilities
•• Plan and direct operations
•• Manage resources (money, equipment, and personnel)
•• Establish internal communications
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BAfET Y
offices
SCICN TI'IC
ADVICOK
*ECOAC
KEEPER
t CCUM UNI CATION*
• i etc
Off ICE*
I NT XT
TEAK
EQUIPMENT
iAC«
"UP ENTRY TEA*
FIGURE 1
EXAMPLE OF A POSSIBLE RESPONSE ORGANIZATION FLOWCHART
TABLE OF ORGANIZATION
In any incident, involving more than a few responders, it is generally necessary to develop an
organization chart. This chart depicts the organization's structure. It links personnel or functions,
defines lines of responsibility, and establishes internal communication channels. To a large degree,
the form and complexity of the organization chart depends on the magnitude of the incident, the
activities needed, the number of people and agencies involved, and the project leader's mode of
operation. The key requirements are:
• Establish a chain-of-command
• Assign responsibilities and functions
• Develop personnel requirements
• Establish internal communications
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PERSONNEL
To manage and direct the various operations, personnel or responding agencies must be assigned the
responsibility for certain activities. The positions, functions, and responsibilities listed here represent
personnel requirements for a major response effort. They should be tailored to fit a particular oil
spill incident.
• Project Leader/On-Scene Coordinator/Incident Manager: Has clearly defined
authority and responsibility to manage and direct all response operations.
• Scientific Advisor: Directs and coordinates scientific studies, sample collection, field
monitoring, analysis of samples, interpretation of results, and recommends remedial
plans and/or actions. Provides technical guidance to the project leader in those areas.
• Safety Officer: Advises the Project Leader on all matters related to the health and
safety of those involved in site operations. Establishes and directs the safety
program. Coordinates these activities with the Scientific Advisor. The Safety
Officer can halt operations if unsafe conditions exist.
• Field Leader: Directs activities related to clean-up contractors and others involved
in emergency and long-term restoration measures.
• Public Information Officer: Disseminates information to news media and the public
concerning site activities.
• Security Officer: Manages general site security. Provides liaison with local law
enforcement, fire departments, and controls site access.
• Recordkeeper. Maintains official record of site activities.
• Operations Officer: Directs activities of team leaders. Coordinates these operations
with the Scientific Advisor and Safety Officer.
• Team Leaders: Manage specific assigned tasks such as:
•• entry team(s)
•• decontamination
•• sampling
•• monitoring
•• equipment
•• photography
•• communications
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• Financial Officer: Provides financial and contractual support.
• Logistics Officer: Provides necessary equipment and other resources.
• Medical Officer: Provides medical support. Acts as liaison with medical
community.
IMPLEMENTING RESPONSE OPERATIONS
The release or potential release of oil requires operations (or activities) that will eventually restore
the situation to normal, or as near as possible to pre-incident conditions. Although each incident
establishes it's own operational requirements, there is a general sequence of events for all responses.
Planning and implementing a response involves, as a minimum, the following:
• Organize: Select key personnel. Establish an organization. Assign responsibilities.
Modify as operations proceed. Institute emergency actions.
• Evaluate Situation: Based on available information, make preliminary hazard
evaluation.
• Develop Plan of Action: Develop preliminary operations plan for gathering and
disseminating information, taking immediate counter measures and
emergency/remedial actions. Re-evaluate the situation as supplemental information
becomes available.
•• Make Preliminary Off-Site Survey: Collect additional data to evaluate
situation (monitor direct-reading instruments, sample, make visual
observations). Institute emergency actions to protect public health and
environment. Identify requirements for on-site reconnaissance. Determine
Level of Protection, if necessary, for off-site personnel. Establish boundaries
for contaminated areas.
•• Make Initial On-Site Reconnaissance: Collect data (monitor, sample, make
visual observations) to determine or verify hazardous conditions and make an
overall assessment of the incident. Modify initial entry safety procedures as
more data is obtained. Determine Levels of Protection for initial entry
team(s) and subsequent operations. Plan and implement site control and
decontamination procedures.
• Modify Original Plan of Action: Modify or adapt original plan based on additional
information obtained during initial entries. Revise immediate emergency measures.
Plan long-term actions including:
•• Additional monitoring and sampling.
•• Resource requirements
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•• Site safety plan
•• Clean-up and restoration measures
•• Legal implications and litigation
•• Site activity documentation
SUMMARY
To effectively prevent or reduce the impact of an oil spill incident on people or the environment, the
personnel responding must be organized into a structured operating unit - a response organization.
For the response organization to be effective it must be developed in advance, be tested and be an
integral part of an Oil Spill Contingency Plan. To a large degree, the success of the response is
dependent upon how well the response personnel are organized. The more organized, the more rapid
it (the organization) can begin to function. However, an organization (specified in a contingency
plan or as an "ad hoc" incident-specific group) is developed, it must be flexible enough to adapt to
the ever changing conditions created as the incident progresses.
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SECTION 7
PART II
REPORTING REQUIREMENTS
Spilling oil is illegal. The quantity considered illegal by 40 CFR 110 is that amount that will cause
a sheen on the surface of water or cause a sludge or emulsion to be deposited beneath the surface
of the water or on adjoining shorelines. The amount necessary to cause a sheen can be less than a
teacup full.
Another qualification is that the oil must be spilled in a location that could result in the oil reaching
navigable waters. Navigable waters have been defined by federal courts as "waters of the United
States" which means almost any watercourse, including intermittent dry creeks.
There are several federal laws concerning the discharge of oil, but Public Law 92-500, Section 311,
also known as the Federal Water Pollution Control Act Amendments of 1972, is probably the most
important and explains the rules for oil spill occurrences.
REPORTING SPILLS
When an oil spill occurs, the person in charge of a vessel or an onshore or an offshore facility must
immediately notify the National Response Center 1-800/424-8802. The maximum fine for failing
to report a spill will be $250,000 for individual or $500,000 for an organization, and/or five years
in jail. The appropriate agency is the U.S. Coast Guard. For inland spills, the EPA should also be
notified. Some states also require notification. Determine if this is the case for your state and also
report to that agency. The EPA or U.S. Coast Guard on-scene coordinator should know what other
federal or state agencies should be called. But find out before you have a spill.
Even when a spill is properly reported, there can be a civil penalty assessed against the owner or
operator of up to $25,000. The Coast Guard has the authority to compromise the severity of
penalties. The penalties above are on the national level. Many states may have additional penalties
that match or exceed federal penalties. This is not considered double jeopardy because more than
one law may have been broken. For all practical purposes, if an employee follows company
procedure when a spill occurs, he personally should be protected from legal action. However, if it
is clear than an employee has deliberately or maliciously spilled oil, legal action may be brought
directly against the employee. The person may also be subject to company discipline.
FEDERAL GOVERNMENT INVOLVEMENT AFTER A SPILL
The federal government has overall responsibility to see that an oil spill is cleaned up properly. If
the spiller does not take steps to remove the oil to the satisfaction of the federal on-scene coordinator
6/92 7
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(OSC), the federal government can take over the management of the spill and arrange for the
removal of the oil. All costs incurred after the federal OSC takes over will be submitted to the
spiller for reimbursement. For this reason most companies prefer to handle their own cleanup
operations.
For most inland (onshore) spills, the federal OSC will be from the EPA. Exact boundaries between
the USCG and EPA responsibility for responding to spills have been established by memorandums
of agreement between these two agencies. Any storer, transporter, or producer of oil should identify
these boundaries for local contingency plans.
Although the OSC means the federal official predesignated by the EPA or the USCG, a state official
may act as the OSC. When he/she is acting pursuant to a contract or cooperative agreement with
the federal government. Any potential spiller should also be aware that many other federal agencies
could be involved. These could include the Army Corps of Engineers, the Bureau of Land
Management, the Mineral Management Service, the Bureau of Indian Affairs, the National Park
Service, and the National Oceanographic and Atmospheric Administration (NOAA), as well as
others. Below the federal level will be state department of environment agencies, or commissions
that have state jurisdiction over oil spills. Within their boundaries, state and local laws will be
discussed later.
For onshore or offshore facilities that discharge oil, the limit of liability is $75,000,000. There is
no limit of liability where the discharge is proven to be the result of willful negligence or
misconduct. Exceptions which remove the owner or operator from liability include an act of God,
an act of war, negligence on the part of the United States government, or an act or omission of a
third party. If it appears that the spill falls under one of these exceptions, contact the company
supervisor immediately.
Owners and operators of vessels and facilities must comply with regulations for the removal of oil,
implementing local and regional contingency plans, procedures to prevent discharges and inspections
of vessels containing oil. Those who do not comply with the regulations are liable to a civil penalty
of $10,000 per offense.
STATE AND LOCAL LAWS
State and local regulations must be followed in addition to the federal regulations regarding oil
pollution, spills, and cleanup. The more important state requirements will often be found in the
respective Regional or Local Pollution Contingency Plan.
In Texas, for example, the two state agencies involved in discharges of oil are the Texas Water
Quality Board and the Texas Railroad Commission. Any oil spill in Texas must be reported to one
of these agencies. The Texas Water Quality Board has developed regulations which require their
approval or the approval of the Texas Parks and Wildlife Department before oil cleanup chemicals
are used.
Most state laws now follow closely the same general policies, laws, and regulations found in the
federal statutes and regulations. However, there are occasions when state or local requirements
6/92 8
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differ or exceed federal laws. The most notable example was when Florida passed legislation that
provided for unlimited liability for recovery of cleanup costs for oil spilled in Florida waters. This
provision was challenged in American Waterways Operators vs Askew. However, the Supreme
Court upheld the Florida law. Florida has recently amended the law, however, and presently has
the same limits on liability as the federal government.
OUTER CONTINENTAL SHELF REGULATIONS
The Outer Continental Shelf Lands Act (43 U.S.C. 1331 - 1343) gives the Department of Interior
the authority to regulate the exploring for, developing, removing, and transporting resources from
the Continental Shelf. The Continental Shelf is considered to be that area beyond submerged lands
that are controlled by the states under the Submerged Lands Act. The Geological Survey is the
agency designated to require compliance with all applicable laws, lease terms, and regulations.
In general it is expected that operations on the outer continental shelf be conducted to protect the
natural resources of the shelf and maximize the economic recovery compatible with sound
conservation practices. Regulations cover control of operations (including emergency suspensions
where operations threaten immediate harm or damage to life, property, or the environment), control
of wells, and pollution and waste disposal. The Geological Survey has the authority to control and
remove oil spills which the lessee has failed to handle. Costs to the Federal Government are
recoverable from the lessee.
OTHER REGULATIONS
In the federal regulations there is an exception for discharges of oil from a vessel's engine; however,
the exception does not extend to oil accumulated in bilges. There is a specific prohibition against
adding dispersants or emulsifiers to oil to be discharged in an attempt to circumvent these provisions.
Demonstrations or research projects such as those that may be involved with this course are
exempted from the prohibitions on discharges of oil.
CLEANUP COSTS
Two private contractual agreements which are of importance in oil spill cleanup are the Tanker
Owners Voluntary Agreement Concerning Liability for Oil Pollution ("TOVALOP") and the Contract
Regarding an Interim Supplement to Tanker Liability for Oil Pollution ("CRISTAL"). An additional
private agreement that is currently proposed is entitled the Offshore Pollution Liability Agreement
("OPOL"). TOVALOP is an association whose members guarantee that parties can recover costs
up to $100 per gross ton or up to $100,000,000 (whichever is less) for cleanup of a spill of a
persistent oil caused by a tanker. This contract also provides procedures for tanker owners to
recover costs of cleanup regardless of fault. CRISTAL is designated to establish a fund contributed
to by the tanker and oil owners which will be available to reimburse those who have expended funds
for cleanup or who have been damaged by oil spills or discharges beyond the amount covered by
6/92 Q
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TOVALOP. CRISTAL supplements TOVALOP and provides additional funds up to an overall per
incident amount of $30,000,000.
There is a revolving fund authorized in the amount of $35,000,000 to provide for cleanup costs that
the Federal Government may incur. The fund is administered by the U.S. Coast Guard. According
to the regulations, only costs for response Phase II (Containment and Countermeasures) and Phase
III (Cleanup and Disposal) actions under the National Contingency Plan or the Regional or Local
Plans may be reimbursed. If the Coast Guard or EPA uses the revolving fund in a cleanup the
government will attempt to reimburse the fund by collecting from the spiller. In most cases, the
spiller will notify the appropriate agencies and pay a contractor or will utilize his own forces to
cleanup the spill.
SUMMARY
Any oil spill that can reach navigable waters (waters of the U.S.) must be reported to the National
Response Center. Failure to do so may result in $250,000 fine. Various state agencies also require
reports of oil spills and may levy fines.
Most oil spills cleaned up are paid for by the company responsible for the spill. But, a company's
exposure for cleanup cost is sometimes limited by insurance and/or government regulation. If
possible, spills by unknown parties should be handled under the direction for the Government On-
Scene Coordinator.
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THE ROLE OF THE U.S. COAST GUARD
IN OIL SPILL CLEANUP
THE U.S. COAST GUARD AND OIL SPILL CLEANUP
The U.S. Coast Guard has been designated by the President of the United States as the "appropriate
agency" to be notified immediately in cases of oil spills that can reach navigable waters. Once
notified, the Coast Guard will appoint an on-scene coordinator for the spill in their areas of
responsibility. These areas include the high seas, coastal and contiguous zone waters, and coastal
and Great Lakes ports and harbors. The EPA provides the on-scene coordinator for other areas.
The Coast Guard on-scene coordinator, upon arrival at the spill scene, will assess the situation and
assure that containment, cleanup, and restoration activities are underway. Coast Guard personnel
are trained in handling oil spills and may have considerable practical experience in this area. The
Coast Guard is prepared to act during spills with a nucleus of manpower available 24 hours a day,
backup personnel for large spills, equipment, and sophisticated communication gear. Coast Guard
personnel are usually familiar with the spill area and will have current charts, tide data, and weather
information available.
The general philosophy of the Coast Guard and the EPA is to allow the spiller to clean up his spill,
provided there is adequate progress. The Coast Guard will give advice and directions concerning
methods of handling the spill and the thoroughness of the cleanup. The approach the Coast Guard
will use depends on the individual officer, his opinion of the spiller, and the area and extent of the
spill. If the spiller has a reputation of being competent in oil cleanup, the Coast Guard may give
minimal attention. Many Captains of Ports have oil spill equipment stockpiled at their headquarters
for use on oil spills. The equipment will have to be cleaned and replaced, if necessary, if it is
borrowed.
Before using any chemicals, the on-scene coordinator must first approve their use. The Coast Guard
may allow the use of oil collecting agents, but again, permission must be received. Upon request,
prior permission to use Shell's Oil Herder has been granted in some states and has also been granted
to some specific cleanup organizations and contractors. Prior permission has been granted because
of the material's low toxicity and because collecting agents are very effective if they can be applied
soon after the spill has occurred. The amount of application is strictly limited, as previously
described.
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THE COAST GUARD NATIONAL STRIKE FORCE
The Federal Government directed the Coast Guard to carry out the spirit of the National Contingency
Plan by establishing trained and equipped emergency task forces located strategically throughout the
United States. This resulted in the establishment of three strike teams and the coordination center:
the Atlantic Strike Team located in Fort Dix, NJ, the Gulf Strike Team located in Mobile, AL, the
Pacific Strike Team located in Novato, CA., and the Coordination Support Center in Elizabeth City,
NC.
The strike team can provide communications support, advice, and assistance for oil and hazardous
substance removal. These teams provide expertise in ship salvage, diving, and removal techniques
and methodology. Their missions, in order of importance, are:
1. Response; upon request, strike teams will respond to calls for assistance from
on-scene coordinators.
2. Training; strike teams are responsible to conduct both unit (internal) and field
training.
3. Planning/liaison; strike teams are required to participate in regional response
team contingency planning. Since the regional teams are not comprised
solely of Coast Guard personnel, liaison with other governmental agencies
(EPA and local groups) is necessary to ensure that maximum benefit in
contingency planning is achieved. Planning and liaison with industrial groups
is also of importance in contingency planning.
4. Research and Development; the strike teams serve as the repositories and
major users of government owned pollution control equipment.
The strike teams are on call 24 hours a day and are prepared to board and load aircraft to fly to the
spill site. Although most of the major equipment can be air dropped, to date the teams have flown
to local airports and unloaded the equipment onto trucks. An assortment of skimmers, booms,
communications gear, and special clothing are part of the equipment, but the most important units
are the pumps. Portable diesel unit power pumps, which are capable of removing product or crude
up to the rate of 2000 gallons per minute from damaged tankers or barges, are used to minimize the
release of petroleum to the environment. The product can be pumped into smaller vessels alongside
the stricken vessel or into portable storage containers with a capacity of 120,000 gallons.
The grounding of the VLCC METULA on the coast of Chile was a recent spill handled by the strike
team. The Chilean government requested the National Strike Force to transfer the remaining cargo
from the stricken tanker to smaller vessels alongside to minimize the release of oil into the
environment and to assist in the refloating operations. Yokohama fenders were used to prevent
damage to the tankers due to extremely hazardous weather conditions. The technique of using
portable pumps and large air bag fenders proved invaluable.
The members of the strike force are dedicated professionals with the mission of getting to the spill
site, cleaning it up, and minimizing damage to the environment. They are also asked to act as
consultants to the on-scene coordinator or to industrial personnel. When the strike force acts as a
6/92 12
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consultant to the spiller, there is no charge for the service. However, if the personnel are directly
cleaning up the spill, the spiller will be charged. Equipment and manpower charges are set by a rate
sheet. One of the more expensive items is the aircraft used to transport the personnel and
equipment. Therefore, caution should be taken in calling for aircraft services. The spiller will
ultimately pay for the work.
PREPLANNING SPILL CLEANUP OPERATIONS
The time to meet the Captain of the Port is before a spill, not afterward. Time should be taken to
become informed of the local Coast Guard services including manpower, mode of operation, and
available equipment. It is also helpful to talk to other oil spill supervisors from companies that have
had spills to determine what kind of relationship they have had. If the local Coast Guard unit has
oil spill cleanup equipment the possibility of adding this equipment to the company contingency plan
should be considered.
SUMMARY
The on-scene coordinator for coastal spills is the U.S. Coast Guard Captain of the Port. This is the
person to whom the spill should be reported, and the person who has the final say as to the cleanup
operation. The Strike Forces are available to act as oil spill consultants as well as an effective and
experienced cleanup crew. It is advantageous to work with the Coast Guard when preplanning spill
cleanup operations. Prior approval of cleanup methods, including the use of chemicals, should be
obtained from the Coast Guard.
6/92 13
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THE ROLE OF THE EPA IN OIL SPILL CLEANUP
THE EPA AND OIL SPILL CLEANUP
The Environmental Protection Agency (EPA) has been designated by federal statute as one of the
governmental agencies taking a major responsibility for oil spill matters. More specifically, the EPA
has the authority to act as the on-scene coordinator for inland spills (those spills on land or on water
not affected by tidal ebb and flow) and to act as a pollution consultant to the Coast Guard for spills
in coastal waters 933 U.S.C. 1151 etreg., see Federal Register Vol. 37, Number 246 in front pocket
of binder).
The EPA covers the United States and its possessions from ten regional offices, (FIGURE 1). Each
region has a predesignated response team ready to act when an oil spill occurs. During a recent
year, the EPA provided on-scene coordination or advice on 60 percent of the major incidents. The
EPA believes that the continuing success of the response program depends on rapid action at state
and local levels. Many coastal states now have response programs, and the EPA encourages all
states, local agencies, and port authorities to develop similar programs.
THE EPA ON-SCENE COORDINATOR
When a spill occurs, the EPA will expect the spiller to first take action to safeguard life and
property. An OSC then evaluates a report and determines the degree of response that is appropriate.
The next step is to determine the source of the spill and to make an effort to stop the flow.
Manpower and equipment should then be assembled to contain and clean up the spill, the EPA on-
scene coordinator will have listings of equipment for the area and can aid the spiller by giving this
information. The EPA on-scene coordinator can direct a cleanup if it is appropriate and must direct
the clean-up during significant and substantial threats. The OSC can also assist in obtaining local
government equipment and manpower.
Because the EPA on-scene coordinator is involved in oil spill cleanup, he may have a good deal of
experience on which to draw to assist the spiller. For example, he may have suggestions as to
contractors that may be available to help in the cleanup. It should be remembered that the on-scene
coordinator is similar to the inspector on a construction job. He will have authority over the
thoroughness of the cleanup effort. His instructions will be important and should be recorded in the
daily log.
The EPA on-scene coordinator is the person who decides whether or not to authorize the use of
dispersants and collecting agents. He will usually not permit the use of dispersants, but may allow
the use of collecting agents. It is best to obtain permission to use chemicals prior to having a spill.
The EPA on-scene coordinator should be consulted for non-coastal spills.
Region I Boston Maine, New Hampshire, Vermont, Massachusetts,
Connecticut, Rhode Island
Region II New York New York, New Jersey, Virgin Islands, Puerto Rico
6/92 14
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Region III
Region IV
Region V
Region VI
Region VII
Region VIII
Region IX
Region X
Philadelphia
Atlanta
Chicago
Dallas
Kansas City
Denver
San Francisco
Seattle
Pennsylvania, Maryland, Delaware, West Virginia, Virginia
Kentucky, Tennessee, North Carolina, South Carolina,
Georgia, Alabama, Mississippi, Florida
Ohio, Indiana, Illinois, Michigan, Wisconsin
New Mexico, Texas, Oklahoma, Arkansas, Louisiana
Kansas, Nebraska, Iowa, Missouri
Colorado, Utah, Wyoming, South Dakota, North Dakota,
Montana
California, Nevada, Arizona, Guam, Hawaii, Samoa
Washington, Oregon, Idaho, Alaska
FIGURE 1
EPA REGIONAL OFFICES
6/92
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The EPA representative will usually be the person to approve of burning debris and using burial
sites. This activity may be handled by a state agency, but the EPA should be consulted first. This
point should be confirmed with local authorities when a contingency plan is developed. If problems
arise with a private property owner with regard to working near or on the property, the EPA on-
scene coordinator should handle it. He has a legal right of access during oil spill operations and can
designate the spiller and a contractor as his representatives. Like the Coast Guard on-scene
coordinator, the EPA coordinator will handle the cleanup activity of a mystery spill or of a spill
where the spiller cannot or will not clean up. The cost for cleanup will come from the revolving
fund that is administered by the U.S. Coast Guard.
THE REGIONAL CONTINGENCY PLAN
It is suggested that a current copy of the Regional Contingency Plan be obtained for the EPA region
where the company is located. Sections of the documents can be incorporated into the company
plan. This would include the EPA and Coast Guard telephone numbers and addresses and state
agency telephone numbers and addresses. The plan will list the names of the EPA on-scene
coordinators and names of the Coast Guard Captains of the Ports, a map is usually included to
explain the boundaries between the Coast Guard and EPA authority. Usually, there is a section on
recovery equipment and techniques. One of the most important sections of the EPA Regional Plan
is an equipment inventory section listing booms, skimmers, and other equipment.
OTHER EPA RESPONSIBILITIES AND ACTIVITIES
The 1972 Federal Water Pollution Control Act required that rules and regulations be established to
prevent discharges of oil from vessels and facilities. The EPA was designated to administer the non-
transportation related onshore and offshore facilities as outlined in the December 11, 1973 Federal
Register. The program calls for preparing a Spill Prevention Control and Countermeasure plan
(SPCC) for most company facilities. SPCC plans were required to be prepared by July 1974. Each
facility should have this plan completed and posted, but it is up to the company to keep the plan
current and workable.
The plan is essential to a company contingency plan and is to include a history of past spills, cleanup
techniques and safeguards to prevent further spills, predictions of spill behavior, equipment and
manpower available to combat a spill, and actions to be taken when a spill occurs. The EPA oil spill
personnel are available to help in upgrading the company plan.
Some regional offices also publish their own materials on oil spills such as Inland Oil Spills, a
booklet published by the Region VII office in Kansas City, MO, and Oil Pollution Control Primer
by Al Smith of Region IV in Atlanta, GA, and Oil and Hazardous Substances Response Manual by
Region X in Seattle, WA. The best way to find out about any special publications is to visit the
regional on-scene coordinator.
6/92 16
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EPA OIL SPILL RESEARCH EFFORTS
The EPA has been conducting significant research programs in oil and hazardous material spills.
Reports cover topics such as oil spill equipment and chemicals, oil spill case studies, spill
conferences, proceedings, and oil spill surveillance. Most of the publications can be obtained from
the Government Printing Office. Most of the work has been directed through the EPA research
office at Edison, New Jersey. The EPA does significant research on dispersants, chemical treatment,
and bioremediation, while the Coast Guard does research on mechanical development, e.g., Booms,
skimmers, etc.
SUMMARY
Land spills or spills on water not affected by tidal ebb and flow should be reported to the oil spill
response member at the EPA regional office. He will become the on-scene coordinator of the spill
and will look to the spiller for control of the spill and cleanup activities. If reasonable efforts are
not taken to clean up the spill, he will take whatever action he believes is necessary to have the spill
cleaned up and will forward the bill to the spiller. The EPA has access to the Coast Guard revolving
fund for oil spill cleanup. A copy of the EPA Regional Contingency Plan should be obtained and
incorporated into the company plan. The company SPCC plan should be upgraded but kept realistic.
Companies should take advantage of the EPA research program by obtaining copies of research
bulletins that may be of help.
6/92 17
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MISSISSIPPI LAW ENFORCEMENT
Marine Safety Office (MSO) St. Louis played a major role in an 18-month federal investigation of
criminal violations of U.S. water pollution laws. The case was successfully concluded recently with
guilty pleas and criminal sentences to two corporations, a senior corporate officer and the director
of a marine tank barge cleaning terminal.
The corporations, Wisconsin Barge Line, Inc. and Reidy Terminal Inc., were convicted of felony
violations of the Resource Conservation and Recovery Act for improper disposal of hazardous wastes
into the Mississippi River, and for multiple misdemeanor violations of the Federal Water Pollution
Control Act.
A total of $375,000 in fines were assessed against the companies by a federal judge. The Vice
President of Wisconsin Barge Lines and the Terminal Manager of Reidy Terminal were each
sentenced to 3 years of supervised federal probation and a total of 300 hours of compulsory
community service.
In early 1986, MSO St. Louis began investigating a series of "mystery" spills on the Mississippi
River just below downtown St. Louis. These spills typically occurred just after dark. With its
current of four to eight mph and flow volumes of 200,000 to 500,000 cubic feet per second at St.
Louis, the Mississippi can quickly assimilate and dissipate large volumes of pollutants, making it
very difficult to trace spills back to a source. The area is highly industrialized with a number of
waterfront petrochemical facilities and substantial vessel traffic.
Believing that large amounts of oil and chemicals were being discharged, the MSO stepped up its
nighttime surveillance in the area and began to narrow the list of possible sources. On March 4,
1986, these efforts paid off. MSO Pollution Investigators caught Reidy Terminal, a tank barge
cleaning facility, stripping oil directly from a tank barge into the Mississippi. After interviewing
terminal personnel, transcripts of statements were prepared and CDR Bob Luchun, Chief of the
Second District's Marine Environmental and Port Safety Branch was contacted.
At this point, MSO St. Louis had one solid case and the potential for a maximum fine of $5,000
under the Clean Water Act. However, the pattern of discharges indicated that a much larger problem
existed. Lacking subpoena power needed to investigate prior discharges and believing that Reidy
Terminal was routinely and intentionally discharging hazardous waste into the river, MSO St. Louis
asked CDR Luchun to contact the EPA through the Region VII Regional Response Team.
EPA's Office of Criminal Investigations in Kansas City was immediately interested and after a
review of the Coast Guard's investigation, agreed to take the case. Extensive discussions with MSO
St. Louis were conducted on how to go about "backtracking" the disposal of wastes from inspected
tank barges.
The U.S. Attorney in St. Louis was brought in and a Federal Grand Jury was convened. Through
this mechanism, Grand Jury subpoenas were issued and an exhaustive investigation of Reidy
Terminal's waste disposal practices was conducted. The result - a pattern of routine disposal of
wastes into the Mississippi from tank barge cleaning operations was uncovered. The practice
6/92 18
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extended back for at least two years and involved hundreds of instances of covert dumping of crude
oil, benzene, toluene, xylene, gasoline, turpentine, methanol, ethylene glycol and diesel oil. The
company had no permit and disposed of virtually all of its tank cleaning residues in this manner.
On the request of the U.S. Attorney, the Office-in-Charge, Marine Inspection Office (OCMI) in St.
Louis agreed to refrain from bringing charges against the Coast Guard licenses of marine industry
personnel involved in the dumping. Only those personnel who "cooperated" in the grand jury and
trial proceedings to the satisfaction of the U.S. Attorney were granted this immunity. The OCMI
did reserve the right to issue suspension and revocation proceedings Letters of Warning against the
license of merchant mariner's document of any implicated persons.
At the sentencing of the corporations, U.S. District Court Judge George F. Gunn, Jr. called the
actions of company employees an "egregious flouting of the law".
The case was the first prosecution in Missouri under the Resource Conservation and Recovery Act.
CDR T. W. Josiah, MSO St. Louis
Commandant's Bulletin (Jan. 22/88)
6/92 19
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APPENDIX I
REPORTING OIL SPILLS
OIL SPILL REPORT FORM
DATE:
1. DATE AND TIME SPILL WAS DISCOVERED
2. LOCATION OF THE OIL SPILL
3. TYPE OF OIL SPILLED
4. QUANTITY OF OIL SPILLED
5. SOURCE OF SPILL
6. CAUSE OF SPILL
7. WHO DISCOVERED THE SPILL
8. DATE AND TIME SPILL WAS REPORTED
TO THE POLLUTION CONTROL SUPERVISOR .
9. DATE AND TIME SPILL WAS REPORTED
TO GOVERNMENT AGENCIES
10. NAME AND POSITION OF THE GOVERNMENT
REPRESENTATIVE CONTACTED
11. WERE SAMPLES OF THE SPILLED OIL
COLLECTED?
A. WHERE WERE SAMPLES COLLECTED
B. WHEN WERE SAMPLES COLLECTED
C. DISPOSITION OF SAMPLES
12. CONDITIONS AT THE TIME OF THE SPILL:
A. WIND SPEED AND DIRECTION
B. STATE OF THE TIDE
6/92 21
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C. SEA STATE
D. VISIBILITY
13. ACTION TAKEN BY RESPONSIBLE
AUTHORITIES:
A. CONTAINMENT
RESULTS
B. CLEANUP
RESULTS
14. ACTIONS TAKEN BY OUTSIDE AGENCIES:
15. CURRENT STATUS
POLLUTION CONTROL SUPERVISOR
6/92 22
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POLLUTION PREVENTION REGULATIONS ON U.S. WATERS
Non-Transportation Related Operations
(i.e., drilling, producing, storing, gathering, processing, refining, transferring, distributing,
consuming)
40 CFR 112 (EPA)
Designated Waterfront Facilities
(facilities which transfer oil from a facility over a navigable waterway to a vessel)
33 CFR 154 (USCG)
Vessel Operations
(barges and tankers which carry oil for commerce)
33 CFR 155 (USCG)
Transportation of Oil via Rail, Truck, Pipeline
49 CFR 195 (DOT)
Outer Continental Shelf Activities
33 CFR 135 (USCG, MMS)
Deep Water Ports
(any fixed or floating man-made structures other than a vessel which are used or intended for
use as a port or terminal for the loading, unloading or further handling of oil for
transportation outside the territorial seas of the U.S. economic conservation zone)
33 CFR 149 (USCG, MMS)
Marpol Annex II 73/78
(vessels which carry 250 bbl or more of oil into international waters)
33 CFR 157 (USCG)
6/92 23
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APPENDIX II
FWPCA/MARPOL ANNEX I APPLICABILITY
There has been some confusion at field units as to the applicability of the Federal Water Pollution
Control Act (FWPCA) or the Act to Prevent Pollution From Ships (implementing MARPOL
ANNEX I) during an oil discharge sighting. So that we may shed some light on this subject, the
following page contains a jurisdictional diagram.
Simply stated:
1) any vessel discharging oil into the territorial sea which causes a sheen,
sludge, emulsion, or film upon the surface of the water is in violation of the
FWPCA;
2) any vessel discharging oil into the contiguous zone which causes a sheen,
sludge, emulsion or film upon the surface of the water and not in accordance
with the MARPOL ANNEX I provisions will be processed exclusively in
violation of the FWPCA;
3a) any vessel discharging oil into the exclusive economic zone (EEZ - 200 nm),
outside of the contiguous zone, not in accordance with MARPOL 73/78
ANNEX I provisions is liable for pollution clean-up cost in accordance with
the FWPCA;
3b) any U.S. owned, operated or chartered vessel discharging oil into the
outside of the contiguous zone, which causes a sheen, sludge, emulsion or
film upon the surface of the water, and not in accordance with MARPOL
73/78 ANNEX I provisions is subject exclusively to a civil penalty under the
FWPCA; and,
3c) any foreign vessel case involving a discharge of oil into the EEZ. outside of
the contiguous zone, not in accordance with MARPOL ANNEX I provisions
will be forwarded by Commandant (G-MPS-1) to the flag state for
enforcement.
For more specific details of the provisions of MARPOL 73/78 ANNEX I, review COMDTINST
M16450.26.
6/92 24
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FWPCA AND MARPOL ANNEX 1
BASELINE
3NM
12 MM
200 MM
SHEEN TEST
APPLIES TO ALL
VESSELS IN THIS
AREA AND ALL
NAVIGABLE
WATERS.
SHEEN'
APPLIES TO ALL
VESSELS NOT
DISCHARGING IN
ACCORDANCE
WITH MARPOL
73/78 ANNEX 1
PROVISIONS.
LEGAL CITE:
FWPCA
(33 USC 1321)
311(b)(6)(A) AND
MARPOL ANNEX 1
HIOVISIONS INCLUDE:
CONTIGUOUS ZONE:
< 15 PPM
OUTSIDE 12NM:
< 100 PPM &
CONTINUOUS
MONITOR:
-OR-
< 15 PPM
FOR DETAILS
SEE COMDTINST
M16450.26
CLEAN-UP LIABILITY.
SHEEN TEST APPLIES TO
ALL VESSELS NOT DIS-
CHARGING IN ACCORD-
ANCE WITH MARPOL 73/ 78
CIVIL PENALTY:
SHEEN TEST APPLIES
TO ALL U.S. OWNED,
OPERATED, OR
CHARTERED VESSELS
NOT DISCHARGING
IAW MARPOL 73/78
ANNEX 1 PROVISIONS,
FOREIGN VESSEL
CASES INVOLVING
DISCHARGES NOT IAW
MARPOL 73/78 ANNEX
1 PROVISIONS WILL BE
SENT TO THE FLAG
STATE FOR
ENFORCEMENT.
6/92
25
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6/92
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OIL POLLUTION ACT OF 1990 (OPA '90)
SUMMARY
Below is a limited summary of changes brought about by the signing of the Oil Pollution Act of 1990
by President Bush:
LIABILITY
SPILL FUND
LARGER COAST GUARD
$1200 per gross ton from a previous $150; offshore facilities,
$75M plus unlimited removal costs; onshore facilities and
deepwater ports (i.e., LOOP), $350M.
$1 billion national oil spill liability trust fund, change from the
311(k) revolving fund of $35 million
Oil spill response groups in each of the CG's 10 districts, re-
establish the Atlantic Strike Team (three strike teams); upgrade
vessel traffic services notably in Prince William Sound; give CG
access to driving records to review applicants for Merchant
Mariner documents.
All newly constructed U.S. flag tankers shall be double hulled,
phase out existing single hulls by 1995, single hull tankers will be
phased out after the year 2010.
All vessels shall address cleanup for "worst case", loss of vessel's
entire cargo during heavy weather. A private means to mitigate
the worst case spill is also required.
MSRC has been developed to address the legislative requirement
for shippers to identify a private entity to mitigate the worst case
spill. MSRC is being financed by most of the large API member
companies. MSRC start-up costs are estimated at $100M with a
$70M annual operating cost fee, they will respond to major oil
spills only which will be referred to spills of national significance.
The fines for failure to report have been raised from $10,000 and
one year in prison to $250,000 for individuals and $500,000 for
corporations. The potential jail term has been extended to 5
years.
At the time of this printing actual implementation of this legislation pends the issuance of an
Executive Order and delegation of authority to the appropriate federal agency.
DOUBLE HULL TANKERS
CONTINGENCY PLANS
MARINE SPILL RESPONSE
ORGANIZATION (MSRC)
FAILURE TO REPORT
6/92
28
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APPENDIX III
PARTI
MEMORANDUM OF UNDERSTANDING BETWEEN
THE ENVIRONMENTAL PROTECTION AGENCY
AND
U.S. COAST GUARD
ON ASSESSMENT OF CIVIL PENALTIES FOR
DISCHARGES OF OIL AND DESIGNATED HAZARDOUS SUBSTANCES
(August 15, 1979; Published at 44 FR 50785, August 29, 1979, and 44 FR 50916, August 30,
1979)
The United States Environ-
mental Protection Agency (EPA)
and the United States Coast Guard
(USCG) have determined that it is
necessary to establish procedures
pursuant to which decisions may be
made:
(1) Whether a discharge of a
designated hazardous substance is
excluded from the application of the
civil penalty procedures prescribed
by section 311(b)(6) of the Clean
Water Act (CWA) and
(2) Whether action will be
taken under paragraph (a) or under
paragraph (B) of section 311 (b)(6)
CWA to impose a penalty for the
discharge of a designated hazardous
substance not so excluded.
The EPA and the USCG agree
that decisions as to whether a
discharge of a designated hazardous
substance is excluded from the
application of section 311(b)(6)
CWA will be made initially by the
EPA in cases evidencing particular
potential violation gravity, e.i.,
meeting criteria set out in section
III of this memorandum. In all
other cases the decision will be
made initially by the agency
providing the On-Scene Coordinator
to the discharge incident. When a
decision is made that a discharge is
excluded, penalty action under
section 311(b)(6) CWA will be
withheld.
The EPA and the USCG agree
that decisions as to whether action
will be initiated to impose civil
penalties under paragraph (B) of
section 311(b)(6) CWA, will be
made by the EPA. Cases involving
USCG responses, which evidence
particular potential violation
gravity, i.e., meeting criteria set
out in section III of this memo-
randum, will be transmitted to the
EPA for its consideration. In all
cases where EPA determines that it
is appropriate to initiate civil
penalty action under paragraph (B)
of section 311(b)(6) CWA, the
USCG will withhold the initiation
of civil penalty action under
paragraph (a) of section 311(b)(6)
CWA.
This memorandum establishes
policies, procedures, and guidelines
concerning the responsibilities of
the EPA and the USCG in carrying
out the foregoing agreement.
The respective responsibilities
of each agency specified in this
memorandum may be delegated to
their respective subordinates con-
sistent with established procedures.
The EPA and the USCG will
review the implementation of this
memorandum at least one year from
the effective date of 40 CFR Part
117 or sooner if agreed to by both
agencies, and will make any
changes to the policy, procedures,
and guidelines set forth herein
which are agreed to by both
agencies.
Section 1: General
The amendment of November
2, 1978 to section 311 CWA (Pub-
lic Law 95-576) excluded certain
discharges of hazardous substances
from the application of section
311(b)(6) CWA. The discharges so
excluded are: (a) discharges in
compliance with a section 402
DWA permit, (b) discharges
resulting from circumstances
identified and reviewed and made a
part of the public record with
respect to a permit issued or
modified under section 402 CWA,
and subject to a condition in such
permit, and (c) continuous or
anticipated intermittent discharges
from a point source, identified in a
permit or permit application under
section 402 CWA, which are
caused by events occurring within
the scope of relevant operating or
treatment systems.
In addition, this amendment
created two methods for penalizing
discharges of hazardous substances.
The first, which already existed as
section 311(b)(6) CWA prior to the
amendment, authorizes the USCG
to assess a civil penalty not to
exceed $5,000 for the discharge of
oil or a designated hazardous
substance (section 311(b)(6)(A)).
The second method created by the
new amendment, provides that the
EPA, through the Department of
Justice, may initiate a civil action in
Federal district court for penalties
not to exceed $50,000 per spill of
hazardous substance, unless such
discharge is the result of willful
negligence or willful misconduct, in
which case the penalty shall not
6/92
29
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exceed (250,000 (section 311(b)
The legislative history
accompanying the amendment
makes clear that Congress intended
to create a dual option system for
penalizing discharges of hazardous
substances under section 311(b)(6)
CWA. A discharger of a
designated hazardous substance can
be penalized under paragraph (A)
or paragraph (B), but not both.
The EPA and the USCG agree that
paragraph (B) does not apply to oil
discharges. The USCG will
continue to assess oil discharge
penalties administratively under
paragraph (A).
Section II: Coordination
When a spill of a designated
hazardous substance occurs, the
On-Scene Coordinator (OSC) will
prepare a factual report of the
incident. At the minimum, the
report will address those criteria set
forth in section HI, of this
memorandum.
The OSC will submit this
report within 60 days of the spill
incident. The OSC will submit the
report to the District Commander
when he is a USCG OSC, and to
the Regional Administrator, when
he is an EPA OSC.
When the District Commander
reviews the USCG OSC's report
and determines that one or more the
criteria set forth in section III,
below is applicable to that case, the
entire record of that case will be
referred to the EPA Regional
Administrator for review. In
addition the District Commander
will refer the entire record of:
(a) Any other case involving a
designated hazardous substance
from a point source subject to a
section 402 permit or permit
application, which, prior to or after
the commencement of penalty
action, the USCG determines is
excluded from the application of
section 311(b)(6) CWA; and
(b) Any other case which, the
District Commander considers
appropriate for possible application
of section 31 l(b)(6)(B) CWA.
When the Regional Adminis-
trator receives a case, either from
an EPA OSC or upon referral from
the District Commander, he will
determine:
(a) Whether the case is
excluded from the application of
section 311(b)(6) CWA, and, if not,
(b) Whether a civil penalty
action under section 31 l(b)(6)(B)
CWA will be initiated.
The Regional Administrator
will made these determinations
within 90 days of his receipt of
referral documents and will notify
the District Commander promptly
of the determinations in cases which
have been referred. If the Regional
Administrator determines that an
action under section 311(b)(6)(B)
CWA will be initiated, the case
will be prepared in the EPA
Regional Office and forwarded to
the Department of Justice (DOJ) in
accordance with established EPA
case referral procedures.
If the Regional Administrator
determines that the discharge is not
excluded from the application of
section 311(b)(6) CWA and that
paragraph (B) action is inappro-
priate, or if EPA Headquarters
declines to refer a Regional case,
EPA will return the case to the
USCG for appropriate action under
paragraph (A).
Upon request, each Agency
will make available to the other any
or all cases, files, and records,
including OSC reports and official
determinations, regarding decisions
concerning exclusions or the
imposition of section 31 l(b)(6)(A)
or (B) penalties. Where there is a
disagreement as to the disposition
of a particular case, the District
Commander and the Regional
Administrator will consult to
resolve the matter. If necessary,
the matter will be submitted to the
respective Agency Headquarters for
final resolution.
Section III: Criteria
The USCG and the EPA agree
that if one or more of the following
criteria exists, the District
Commander will refer the case to
the Regional Administrator in
accordance with section II of this
memorandum.
a. Any indication of mis-
conduct or lack of reasonable care
on the part of the owner, operator,
or person in charge with respect to
the discharge or with respect to the
failure on the part of the owner,
operator, or person in charge to
adhere to the guidance of the OSC
regarding clean-up or any policies,
procedures, guidelines, or
regulations applicable to clean-up;
b. Any discharge incident
other than a threat for which
payments are made or to be made
from the section 311(k) fund
pursuant to 33 CFR 153.407,
except where no discharger has
been identified;
c. Any indication of prior
violations by the discharger of any
provision of the CWA, or violations
of provisions of the CWA other
than section 311(b)(6) CWA
occurring at the time of the
discharge, such as violations of a
section 402 permit;
d. Any discharge incident
(other than a threat) as defined
in 40 CFR 1510.5(1) which
requires activation (by full or
limited assembly, or by telephone)
of the Regional Response Team as
required by 40 CFR 1510.34(d), as
amended; and
e. Any discharge involving
human injury or evacuation,
damage to plant or animal life, or
contamination of water supply or
underground aquifers.
Other referrals to the EPA may
be made on a discretionary basis.
Dated: August 15, 1979.
Marvin B. Durning, Assistant
Administrator for Enforcement,
United States Environmental
Protection Agency.
Dated: August 17, 1979.
R.H. Scarborough, Acting
Commandant, United States Coast
Guard.
6/92
30
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APPENDIX III
PART II
MEMORANDUM OF UNDERSTANDING BETWEEN
THE U.S. ENVIRONMENTAL PROTECTION AGENCY
REGION IV - ATLANTA, GA
AND
THE U.S. COAST GUARD
SECOND DISTRICT - ST. LOUIS, MO
CONCERNING
SPECIFIED PORTS AND HARBORS WITHIN THE SECOND COAST GUARD
DISTRICT
PURPOSE: The purpose of this document is to identify the specified ports and harbors common to
the USEPA Region IV and the U.S. Coast Guard Second District. This document delineates the
geographical areas of responsibility and operational conditions under which the U.S. Coast Guard
will be the lead agency and furnish a predesignated On-Scene Coordinator for pollution response
pursuant to the National Oil and Hazardous Substances Pollution Contingency Plan.
The U.S. Coast Guard Second District has identified the following river reaches as specified ports
and harbors for the inland river systems within USEPA Region IV and U.S. Coast Guard Second
District. The zones shall encompass the area from bank to bank or levee to levee wherever a levee
is present.
Lower Mississippi River System:
Cairo, IL mile 953.8 to mile 941
Memphis, TN miles 738 to mile 724
Greenville, MS mile 540 to mile 535
Ohio River System:
Cairo, IL mile 981 to mile 974
Paducah, KY miles 944 to mile 919
Louisville, KY mile 630 to mile 592
Cincinnati, OH mile 491.7 to mile 461.9
Huntington, WV mile 323 to mile 317.2
Tennessee River:
Paducah, KY mile 0.0 to mile 22
Cumberland River:
Paducah, KY mile 0.0 to mile 30
Nashville, TN mile 146.7 to mile 225
Licking River:
Cincinnati, OH mile 0.0 to mile 5.0
Big Sandy River:
Huntington, WV mile 0.0 to mile 4.0
6/92 31
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The U.S. Coast Guard, through the appropriate Captain of the Port, shall be responsible for
furnishing the predesignated On-Scene Coordinator for all discharges of oil and hazardous substances
which result from a vessel casualty or vessel-transfer activity which occur in these specified Ports
and Harbors of the Inland River System (see chart A for specific predesignated USCG OSC/COTP
zones of jurisdiction).
The Coast Guard will not normally respond to those discharge incidents within their predesignated
zone which occur (1) at industrial facilities, (2) from non-marine transportation casualties, (3) at bulk
storage facilities, and (4) at hazardous substance waste sites.
Operations and resources permitting, the USCG will, at the request of USEPA Region IV, provide
assistance and a First Federal Official on-scene to those major incidents which occur in the inland
zone that require immediate federal response presence to assess the impact and extent of the
oil/hazardous materials release.
The U.S. Coast Guard will continue to respond to significant marine casualty incidents which occur
upon the commercial navigable waters of the inland rivers. The Coast Guard will respond to those
vessel casualty incidents which are outside of the limits of specified ports and harbors for
investigative purposes. If a discharge of oil or hazardous substance is involved, the USCG will
either act in the role of First Federal Official on-scene pending the arrival of the USEPA Region IV
predesignated OSC, or, at the request of the USEPA Region IV Predesignated OSC, the Coast Guard
may provide the incident specific OSC.
In accordance with the NCP, the Coast Guard, through the appropriate Captain of the Port, shall be
responsible for developing and maintaining a Federal local contingency plan for the specified port
and harbor area identified above.
This document is official authorization by USEPA predesignated OSC's for Coast Guard First
Federal Officials on-scene to activate Federal pollution funds for spills of oil or designated hazardous
substances prior to the arrival of the predesignated OSC.
In the initial hours of response to each significant discharge or release, the Coast Guard will establish
communications with the EPA, discuss details of the incident, and, together with the EPA, consider
the necessity of activating the incident specific RRT.
Jack E. Ravan R.T. Nelson, Rear Admiral
Regional Administrator Commander
U.S. Environmental Protection Agency Second Coast Guard District
Region IV, Atlanta, GA St. Louis, MO
6/92 32
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APPENDIX III
PART III
MEMORANDUM OF UNDERSTANDING BETWEEN
THE U.S. ENVIRONMENTAL PROTECTION AGENCY
REGION V - CHICAGO, IL
AND
THE U.S. COAST GUARD
SECOND DISTRICT - ST. LOUIS, MO
CONCERNING
SPECIFIED PORTS AND HARBORS
WITHIN THE SECOND COAST GUARD DISTRICT
PURPOSE: The purpose of this document is to identify the specified ports and harbors common to
the U.S. Environmental Protection Agency Region V and the U.S. Coast Guard Second District.
This document delineates the geographical areas of responsibility and operational conditions under
which the U.S. Coast Guard will be the lead agency and furnish a predesignated On-Scene
Coordinator for pollution response pursuant to the National Oil and Hazardous Substances Pollution
Contingency Plan.
The U.S. Coast Guard Second District has identified the following river reaches as specified ports
and harbors for the inland river systems within U.S. Environmental Protection Agency Region V and
U.S. Coast Guard Second District. The zones shall encompass the area from bank to bank or levee
to levee wherever a levee is present.
RIVER SYSTEM PREDESIGNATED OSC
Upper Mississippi River Mile 168.6 to Mile 202.9 COMSO ST. LOUIS
Mile 0.0 to Mile 13.0 COMSO PADUCAH
Ohio River Miles 919.0 to Mile 944.0 COMSO PADUCAH
Mile 974.0 to Mile 981.0 COMSO PADUCAH
Mile 592.0 to Mile 630.0 COMSO LOUISVILLE
Mile 461.9 to Mile 491.7 COMSO LOUISVILLE
Mile 303.0 to Mile 323.0 COMSO HUNTINGTON
The U.S. Coast Guard, through the appropriate Captain of the Port, shall be responsible for
furnishing the predesignated On-Scene Coordinator for all discharges of oil and hazardous substances
which result from a vessel casualty or vessel-transfer activity which occur in these specified Ports
and Harbors of the Inland River System.
The Coast Guard will not normally respond to those discharge incidents within their predesignated
zone which occur (1) at industrial facilities, (2) from non-marine transportation casualties, (3) at bulk
storage facilities, and (4) at hazardous substance waste sites.
6/92 33
-------
Operations and resources permitting, the USCG will, at the request of USEPA Region V, provide
assistance and a First Official on-scene to those major incidents which occur in the inland zone and
require immediate federal response presence to assess the impact and extent of the oil/hazardous
materials release.
The U.S. Coast Guard will continue to respond to significant marine casualty incidents which occur
upon the commercial navigable waters of the inland rivers. The Coast Guard will respond to those
vessel casualty incidents which are outside of the limits of specified ports and harbors for
investigative purposes. If a discharge of oil or hazardous substance is involved, the USCG will
either act in the role of First Federal Official on-scene pending the arrival of the USEPA Region V
predesignated OSC, or, at the request of the USEPA Region V Predesignated OSC, the Coast Guard
may provide the incident specific OSC.
In accordance with the NCP, the Coast Guard, through the appropriate Captain of the Port, shall be
responsible for developing and maintaining a Federal local contingency plan for the specified port
and harbor area identified above.
This document is official authorization by USEPA predesignated OSCs for Coast Guard First Federal
Officials on-scene to activate Federal pollution funds for spills of oil or designated hazardous
substances prior to the arrival of the predesignated OSC.
In the initial hours of response to each significant discharge or release, the Coast Guard will establish
communications with the EPA, discuss details of the incident, and, together with the EPA, consider
the necessity of activating the incident specific RRT.
R.T. Nelson, Rear Admiral
Regional Administrator Commander
U.S. Environmental Protection Agency Second Coast Guard District
Region V, Chicago, IL St. Louis, MO
Date: Date:
6/92 34
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6/92
35
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13
6/92
36
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SECTION 8
PARTI
SMALL BOAT HANDLING
Most people have some experience in small boat handling from activities such as fishing, water
skiing, or duck hunting. Although these experiences are good introductions to using boats for work,
additional skills need to be acquired before a boat can be used effectively and safely.
PROBLEMS OF OPERATING SMALL BOATS
Like a car, a boat has a steering wheel, a throttle and a gear shift. What a boat doesn't have,
however, is a brake. The only means of slowing a boat is to shift the propeller into reverse. Boat
operators must also contend with forces of wind and current acting on the craft. The direction a boat
will move is dictated by propeller, wind, and current forces. In cases of strong wind and/or
currents, the result can be, at best, surprising for the inexperienced operator.
If a boat were always operated in a perfectly calm body of water without currents, the driver would
find that the boat steered similarly to a car, with a small amount of rudder needed to make a sharp
turn at high speeds and a large amount to make the same change in direction at low speeds.
Although both propeller and rudders are on the stern of the boat, the pivot point for a light boat may
change with increasing speed. At high speeds, the pivot point is closer to the stern, as that section
of the keel becomes more effective as the bow tends to plane on the water. Because the pivot point
is ahead of the rudder, the stern of the boat will tend to go to the left for a right-hand turn. Deck
hands should be prepared to fend off boats and docks on the opposite sides of a turn when
maneuvering in close surroundings.
WORKING SAFELY FROM A BOAT
The operator must, at all times, be aware of the boat's position in the water in relation to other
objects. If the operator's view is partially blocked, a deck hand should be stationed to relay
information. Ropes, floats, and other pieces of equipment must be secure to prevent entanglement
or injury. Life jackets should be worn at all times, and gloves should be worn if working with ropes
or cables over the side of the boat. Knives should be handy to cut any lines that may endanger life
or damage property. Persons on board should be alert to the possibilities of rope backlashing if cut
or broken. Extra care must be taken when transferring equipment or personnel between boat and
dock or between boats. The differential movement between floating objects can potentially crush a
person or cause severe damage to vessels. Heavy breaking surf presents additional hazards and
requires an expert crew.
6/91
-------
The buddy system has great advantages for work over the side of a boat. One person can assist by
handing pans and tools or by holding cables and lines as the other completes the task. About twice
the time necessary to complete the task on land is needed when working from a boat. A considerable
amount of this additional time is needed to adjust to working on a moving platform.
Docking a boat requires an understanding of the maneuverability of the boat, the ability to stop and
reverse direction and knowledge of prevailing winds and currents. Slow, deliberate movements
should be effected to avoid collisions. Since a boat is usually more maneuverable heading into the
current, in rivers it is best to bring the craft alongside the dock heading upstream. When leaving
a mooring calm water, it is usually best to push the bow away from the dock and slowly move the
boat forward, turning out and away from the dock. Currents and wind can be used advantageously
by letting these forces move the boat away from the dock before placing the engine in gear.
To insure operator maneuverability, towing is accomplished by attaching the tow line to a bridle or
to a point inboard from the rudder and very near the turning or pivot point of the craft. If the line
is tied to the stern, the boat will skid sideways through the water during turns and will be more
difficult to handle. Proper technique is essential to avoid capsizing at the expense of an improperly
rigged tow line.
Setting and retrieving anchors can also be problematic if proper techniques are not employed.
Anchoring is necessary for position boom as well as for stationing a boat. Large vessels may have
power-operated anchoring systems, but small vessels likely will not. Anchors should be slowly eased
into the water and permitted to drop to the bottom while backing the boat downstream. Backing of
the vessel is necessary to keep the anchor rope from becoming entangled in the propeller. When
raising the anchor, a deck hand should be stationed at the bow to pull in the line as the boat is slowly
headed upstream over the anchor. When the rope is vertical over the anchor, it is sometimes
necessary to tie the rope to a cleat and propel the boat forward, pulling the anchor loose from the
bottom. When the anchor is free, it can be raised into the boat by hand or winch. A pulley attached
to the bow can be invaluable in handling the anchor line in a small boat, as it speeds up the job and
reduces the changes for personal injury.
BOAT OPERATION FUNDAMENTALS
Some basic rules for operating boats are as follows.
1. Except when a boat is at anchor, aground, or made fast to the shore, a boat is
considered underway and the "rules of the road" are applicable.
2. The Golden Rule for small boat handling is safety first and keep to the right.
Indecisive action or actions with an obscure motive mislead other vessels,
resulting in confusion.
3. Vessels that are being passed have the right-of-way over the passing vessel.
4. Boats underway must stay clear of boats fishing while at anchor or while
traveling.
6/91 2
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5. When two vessels are crossing each other's path, the motor vessel which has
the other on the port (left) side shall have the right-of-way.
There are special lighting requirements for different length and type vessels. These rules are
enforced by the Coast Guard. The rules and regulations can be obtained from the Coast Guard or
from a recent edition of a boating handbook such as Piloting, Seamanship and Small Boat Handling,
by Charles F. Chapman. Chapman's book includes a wealth of information about boat operations.
Daytime navigation in a canal or ship channel has advantages over night navigation because channel
markings can be clearly seen. The primary rule is to keep to the right of the channel. Small boats
are easier to maneuver than ships and should be able to avoid most problems. Buoys are used to
mark the channel and are color-coded as follows:
1. Red buoys mark the right side of the channel when entering from seaward.
Seaward is the datum for channel marking and holds for markers hundreds
of miles inland.
2. Red and black horizontally-banded buoys mark obstructions or a junction of
one channel with another.
3. Black and white vertically striped buoys indicate the middle of the channel.
4. White boys mark anchorages.
Most buoys are numbered to indicate which side of the channel the buoys mark and to aid in locating
them on charts. Numbers increase from seaward and are kept in approximate sequence up channel.
Odd-numbered buoys mark the left side and even-numbered buoys mark the right side.
Night navigation is complicated by difficulties in locating obstructions and forks in the channel, and
limited by a person's restricted depth perception. Lighted buoys aid in marking channels, green
lights marking the left side of channels and red lights marking the right side when entering from the
sea.
Nautical charts for coastal waters prepared by the Coast and Geodetic Survey should be obtained for
the area. Company personnel should become familiar with using them. Charts are necessary to plan
spill cleanup operations and to use in training the company response team. The Coast Guard should
be invited to lecture at training sessions concerning local conditions and the use of nautical charts.
The Coast and Geodetic Survey Department issues tide tables, current tables, and tidal current charts
for certain harbors. Buoys and navigation lights are marked on the charts, and knowledge of them
is mandatory for night operations. Charts are kept up to date by a weekly bulletin published by the
Navy. The Coast Guard also publishes a list of lights and other marine aids for various sections of
the coast.
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OIL SPILL CLEANUP VESSELS
There is no single vessel that is best for all oil spill cleanup operations. Offshore work requires
large, steel-hulled vessels longer than 50 feet. These types of vessels require professional operators,
usually have large diesel engines and generators, and are well equipped with radio and navigation
equipment.
Large vessels are necessary offshore to withstand pounding waves. Because the vessels will be used
to tow large offshore booms, heavy-duty bits or cleats must be welded to the structure of the vessel
to prevent pulling the tow-point loose. Oceangoing tugs are well suited to this type of operation.
Aboard the vessel should be a captain, one or more deck hands, and an oil spill cleanup supervisor
with communications to the rest of the operation. The captain will operate the vessel and the
supervisor will instruct the captain as to how his vessel will work with regard to the overall
operation. The craft should be both heavy enough and large enough for the operation. Work in
some areas is best handled by heavy-duty craft with twin screw power. This is particularly helpful
when working along docks or for tending boom in swift-moving rivers.
Smaller boats work well for inshore spills by carrying personnel, towing boom, and by handling
debris barges. For this type of operation, a large boat may be necessary, but use of a more shallow
draft vessel has distinct advantages. For small spills in sheltered waters, outboard vessels of
sufficient power and size are adequate. Engines of at least 50 horsepower are recommended. A
particularly useful vessel is a flat-top design similar to a house boat constructed on pontoons or as
a catamaran. A flat-top vessel can store several hundred feet of boom ready for quick deployment,
provides a stable platform from which to work, and is easier on which to place drums to be used for
recovered oil, debris, or oiled sorbent. Some vessels can be equipped with a small crane to transfer
the drums from vessel to dock.
When purchasing a small outboard type boat, one should look for shallow draft, high sides, large
horsepower, and sturdy tow points. Unfortunately, boats designed for heavy operations are generally
too large for use in confined areas. Likewise, smaller boats designed for recreational purposes
generally are not sturdy enough for the heavy towing and hard treatment cleanup operation demand.
Excluding smaller, flat-top design boats, "Boston Whaler"-type vessels have a lot of open area to
accommodate personnel and equipment. These boats also tend to be more stable than many small
boats.
Boats are an obvious necessity in handling oil spills on water and should be included in the
contingency plan and used in training the response team. Vessels should be located in the area of
the facility that would be called upon in the event of a spill. The Oakland Estuary cleanup employed
58 small boats and 23 large marine vessels ranging from tugs to a small tanker. The self-propelled
tanker owned by Clean Bay Inc. was used as a floating oil-water separator to receive oil skimmed
by other units. Small boats were used for transferring personnel, bird catching and cleanup, boom
and skimmer tending, and reconnaissance of the spill. Clean Bay also owns or has access to eight
floating skimmers including a large, double belt, self-propelled Marco skimmer. The largest
skimmer is propelled by twin diesels, mounted on a catamaran hull, and is equipped with navigation
lights for night operation.
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Some suggestions involving the use of boats in oil spill cleanup operations are as follows.
1. Boats must be selected to be compatible with the location and job.
2. Boats must be maintained ready for use.
3. Boats must be cleaned throughout the spill to eliminate them as a source of
injury and water recontamination.
4. Boats must not be overloaded.
5. Fuel cans must not be filled in small boats.
6. The crew must have ample weather-proof clothing.
7. Sorbent pads must be used on the decks to walk on.
8. The discharge wake can be used effectively to move oil toward skimmers.
SUMMARY
Experienced boat operators are necessary for safe boat handling during spill cleanup. Care should
be taken while working from a vessel and when tying up, towing, or boarding a vessel. Charts for
the area should be used to locate navigational facilities in the area, and personnel should learn to use
these aids for both day and night operations. The response team should be trained under realistic
conditions using vessels. When purchasing or leasing vessels, every attempt should be made to
match the watercraft to the task.
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SECTION 8
PART II
TRAINING PROGRAM FOR THE RESPONSE TEAM
Experienced, well-trained people are essential for successful implementation of an oil spill
contingency plan. Training sessions must be held on a regularly scheduled basis since persons on
the response team will be continuously changing, new equipment will be acquired, and the oil spill
contingency plan will be modified as more experience is gained. For a good training program to
exist, it must have the support of the company. The supervisor of the oil spill response team is
responsible for the team's continued training.
PURPOSE OF THE TRAINING
The objective of the response team is to clean up an oil spill efficiently and quickly with a minimal
adverse effect on the environment. The purpose of the training program is to prepare the response
team to meet this objective. The training program should be divided into quarterly meetings which
can be devoted to classroom exercises, field training and response drills. The specific goals of the
training program are to teach the response members to:
1. use oil spill cleanup equipment safely;
2. identify cleanup sites;
3. utilize the oil spill contingency plan;
4. handle the respective duties of a response member; and
5. critically review and upgrade the contingency plan.
RESPONSIBILITIES OF RESPONSE TEAM
Each member of the response team should be familiar with all aspects of the oil spill contingency
plan. This includes how to use the notification system for reporting spills and the call-up procedure
for activating the response team. Each member of the response team should have a folder with the
following information:
1. organization chart of response team with the names of people assigned to the
various positions;
2. notification plan with phone numbers of all members of the team;
3. map of plant area showing:
a. potential spill sites
b. environmentally sensitive areas
c. boom deployment sites
d. access roads to deployment and waste disposal sites
6/92 7
This part of the Inland Oil Spill Course was reproduced by permission of The Occupational and Environmental Safety Training Division of the
Texas Engineering Extension Service The Texas A & M University System.
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4. description of each deployment site; and
5. complete job description for each response team member (the job description will
help new members become oriented).
Members of the response team in the procurement group must periodically check to ensure that their
lists for furnishing personnel, equipment and supplies are current.
THE TRAINING PROGRAM
Most of the training program should be oriented around drills and demonstrations rather than formal
classroom instruction. However, certain aspects of the training program can be covered efficiently
in group training classes. Training sessions should be held regularly, perhaps for a few hours each
month, and large-scale exercises should be held once or twice each year.
Training is time consuming and expensive. Like any other expenditure, it must justify the overall
program. Whenever possible, consideration should be given to holding joint sessions with other
plants in the area. A local spill cooperative can provide a valuable service organizing and
coordinating training sessions.
Vendors are often willing to put on demonstrations of their equipment or materials. However,
although observing demonstrations are worthwhile, it is not a substitute for actual first-hand practice
with one's own equipment.
The practical field work required to contain and clean up an oil spill should be broken down into a
series of elements. Each element should be practiced separately before a full-scale exercise is
attempted. A full-scale exercise can be a chaotic experience and wasteful if it is not well planned
and organized.
Classroom instruction should include the following:
1. discussion of new ideas, equipment problems and results of field exercises;
2. movies on new equipment and its use, oil spill cleanup operations and drills;
3. instruction on boom theory, day and night navigation, oil movement, water
current measurements and cleanup techniques;
4. review of the oil spill contingency plan, responsibilities of individual
members, characteristics of various deployment sites, water currents about the
plant site and use of equipment.
SUMMARY
Training must be regularly scheduled since persons on the response team will be continuously
changing, new equipment will be acquired and the oil spill contingency plan will be revised
regularly. Training should be such that each team member knows exactly what to do in case of a
spill at any time. Each member of the team should be issued a folder with information detailing his
role in the cleanup organization, a notification plan, and various maps of the area locating potential
spill sites, boom sites and access roads.
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Training sessions should emphasize hands-on experience with specific pieces of equipment. Limited
classroom discussions can consist of equipment status reports and review of the contingency plan.
A full-scale response team exercise should be had one or two times each year.
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SECTION 9
CONTAINMENT OF OIL ON WATER
Most containment devices are designed to hold oil "long enough" for the oil to be removed.
However, no device should be expected to hold oil indefinitely. Depending on the water current,
wind current and wave heights, "long enough" might be a few minutes to several days. Due to the
wide variety of water conditions, containment devices can be simple "home-made" devices or
sophisticated commercial booms and air barriers.
AIR BARRIERS
The use of air or pneumatic barriers has been demonstrated to be an effective means of controlling
the movement of floating products in water in little or no current. Air barriers can be classed as air
bubblers or coherent water jets.
The air bubbler is constructed by placing a perforated pipe or manifold in the water close to the
bottom. Injecting air into the pipe causes bubbles to rise from the openings. The rising bubbles
produce a vertical current in the water which causes a horizontal current or water flow on the
surface. This horizontal movement counteracts the forward movement of the oil and prevents the
oil from passing.
Advantages of this system include: rapid start up, unrestricted vessel movement and continuous
operation. There are a number of disadvantages as well. These include: ineffectiveness in high
currents, silting or clogging of openings, high energy consumption, high initial cost and system
design problems.
Tests under controlled conditions have shown that the excess water at the surface tends to entrain
oil droplets into the water column. This is because the water sets up a recirculating pattern near the
bubble plant (FIGURE 1). When a current is present, the entrainment causes massive oil loss.
Losses occur at current speeds below 0.5 knots (FIGURE 2)1.
Under ideal conditions (no current or wave action), oil could be contained in areas such as barge
slips with an air barrier. Oil layers could be contained up to five inches thick.
Recent experience with air barriers at an angle to the water current have shown them to be nearly
as effective as containment booms. If large debris or ice is present, they may be the only chance
for containment.
Silting of the manifold openings is a problem caused by placing the manifold system too close to the
bottom. Raising the manifold off the bottom may prevent this from happening. Another problem
can be the accumulation of marine growth such as barnacles and seaweed.
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V
!•;/
\ • '/A- BUBBLE PLUME
I* ./
r /
//'////// / , / /
MANIFOLD
FIGURE 1
AIR BARRIER WITH NO CURRENT
BUBBLE PLUME
FIGURE!
AIR BARRIER WITH CURRENT
6/92
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Tito amount of air required to operate a system depends on the length of the perforated manifold,
water depth, opening size, number and spacing of the openings and the desired surface current.
Systems in the 200 to 300 feet range typically require 400 to 1200 c.f.m., depending on these
variables.
System cost is one of the most prohibitive disadvantages of air barriers. A complete installation can
run as much as $500/foot. Even if a compressor is already available, the cost for an installed
manifold system can exceed $50/foot. Add to this the annual maintenance and energy costs and the
operating expenses become high.
One area of new technology in air barriers is the use of coherent water jets. From above, a
concentrated jet of water is directed vertically into the water column, and a large amount of air is
introduced. The air rising back to the surface will act as a typical air barrier. An extra oil holding
ability is produced by the splashing of the water and a standard headwave that is produced. Tests
have shown that the coherent water jets (FIGURE 3) consume less energy than standard air barriers
of equal effectiveness4.
WATER
WATER WITH AIR BUBBLES
FIGURES
COHERENT WATER JETS
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3
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BOOMS
A boom is a floating barrier designed with sufficient freeboard and draft to contain oil floating on
the surface of the water. Most booms will have the following characteristics:
1. a means of flotation or freeboard to contain the oil and to resist waves
splashing oil over the top,
2. a skirt to prevent oil from being carried underneath the boom,
3. a longitudinal tensile strength member, such as chain or cable, to hold the
boom together and provide a means of anchoring the boom, and
4. a ballast to aid in maintaining a vertical skirt orientation.
The following discussion will primarily cover typical floating booms similar to the one shown in
FIGURE 4. Fixed barrier booms, supported from the bottom of a channel, will be discussed later.
Freeboard —
Longitudinal Strength Member
FIGURE 4
CROSS-SECTION OF A TYPICAL BOOM SHOWING MAJOR PARTS
To be effective, booms must float and be stable in currents, winds and waves. It should also be
made of materials which are not subject to deterioration from the sun, storage and chemical attack.
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Oil Carryunder
Booms will contain oil when placed in quiescent water. If there is only a slight velocity in
the water perpendicular to the boom, and no wind or waves, the boom will still contain oil.
As the current moving perpendicular to the boom becomes greater, forces begin acting on
the trapped oil and will cause the oil to escape under the boom. Oil can move under the
boom by two methods. "Leakage", or sheet breakaway, occurs when oil builds up to such
a depth behind the boom that the oil layer is almost equal to the draft and escapes under the
skirt. "Entrainment", or droplet breakaway, involves the carryunder of oil due to a shearing
action at the interface of oil and water at the headwave (FIGURE 5).
Current
FIGURE 5
BOOM CONTAINMENT FAILURE CAUSED BY
ENTRAINMENT OF OIL BY SHEARING ACTION
The containment effort fails when oil droplets break away from the oil layer and become
entrapped in the flowing water as it passes beneath the boom. The amount of droplet
carryunder is a function of the thickness of the oil layer and the velocity of water. The
phenomenon is related to water velocity and the specific gravity of the oil. Thus, the greater
the velocity or the greater the specific gravity of the oil, the greater the carryunder.
For a given oil land skirt depth, carryunder will not occur until a critical velocity is reached.
As the velocity increases above the critical velocity, the greater the carryunder will be.
Increasing the length of the skirt increases the ability of the boom to retain oil, but the
advantage is not substantial. Disadvantages of a longer skirt are the increases in weight,
cost, and mooring requirements to hold the boom in position. A boom should be effective
regardless of skirt depth when currents are below 0.75 feet per second for a No. 2 oil. For
a No. 6 oil, no droplets are formed if the velocity is less than 0.4 feet per second, but
leakage will occur if the boom has a skirt of less than 12 inches. Therefore, there is no
advantage in making the skirt length greater than twelve inches to prevent the movement of
oil beneath a boom in slow-moving waters. A longer skirt is required in rough waters.
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Oil Splashover
Although a boom, properly deployed, can minimize carryunder, it may be subject to another
form of failure - splashover. Splashover will depend on the basic boom design, freeboard,
angle of the waves to the boom, wave heights, and distance between successive waves. No
boom will be capable of holding oil under all sea conditions, but some boom designs are
more effective than others. Under slow swell conditions in the open ocean, most booms will
be flexible enough to conform to the waves. Under choppy conditions, it is difficult to keep
oil from splashing over the boom. Such conditions require a boom with a relatively high
freeboard and long skirt and may still be ineffective.
BOOM DESIGN
General Criteria
A bigger boom is not necessarily a better boom except for the advantage of preventing oil
splashover in waves. Booms can be classified as round, fence, inflatable and self-inflating
(FIGURES 6, 7, 8, and 9). Each type has specific advantages and disadvantages which are
illustrated in the figures.
Booms are available in different lengths. For spills in creeks and rivers, lengths of 100 and
200 feet are recommended. Each section of boom should be supplied with connector to
extend the length as required.
Anchor points should be constructed in the boom at several places along the length. A
maximum distance of about 100 feet between anchor points is acceptable, with a 50-foot
spacing preferable. Some booms are designed with handles to assist in deployment and
recovery. Bright colors such as international yellow or orange make booms more visible,
while dark colored booms are difficult to see, particularly at night. Dark colored booms can
cause problems for the cleanup personnel and may present a navigational hazard.
Several pieces of auxiliary boom equipment are important, such as line, tow bridles, boat
attachments, anchor sets, floats, shovels, pipes and a sledge hammer. Much of this
equipment will be used in the field exercises on boom development.
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Self Contained
Float
Possible Advantages
1. Good wave
conformance in chop
and swell
2. Inherent reserve
buoyancy
3. Tows well
4, Allows bottom tension
design
5. Floats with punctures
FIGURE 6
GENERALIZED ROUND BOOM
Possible Disadvantages
1. Bulky to store
2. Not as easy to clean
3. Floats can be
damaged
Representative Types
1. Kepner
2. Slickbar
3.
Acme
4. Bennett
5. American Marine
6. Containment Systems
7. Parker Systems
8. Texas Boom
9. Abasco
10. American Boom and
Barrier
11. Skimmex
12. Versatech
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Possible Advantages
1. Easy to store
2. Abrasion resistant
3. Good freeboard
performance
4. Can be stored on reels
5. Low cost
6. Light for its size
FIGURE?
GENERALIZED FENCE BOOM
Possible Disadvantages
1. Twists and corkscrews
in wind and current
(some models)
2. Poor towing
characteristics (some
models)
3. Poor wave conformity
4. May require stiffeners
that can chafe or
break
5. Little reserve
buoyancy
Representative Types
1.
2.
3.
4.
5.
Navy boom
Uniroyal
Bennett
Oilfence
Goodrich
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Rubber Impregnated
Nylon Fabric
Inflation Point
Hollow Inflation
Chamber
FIGURES
GENERALIZED INFLATABLE BOOM
Possible Advantages
1. Easy to store
2. Made in floating-
sinking configuration
3. Good Wave
conformity
4. Easy to clean
5. Small storage space
requirements
Possible Disadvantages
1. Requires inflation
prior to use
2. Requires deflation
after use
3. Subject to puncture
4. Expensive
5. May have valve
problems in freezing
temperatures
Representative Types
1. Vikoma
2. Goodyear
3. Ro Boom
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Airaeht
Bulkhead
Hoop
Buoyancy
(Deflated)
Possible Advantages
FIGURE 9
GENERALIZED SELF-INFLATING BOOM
1.
2.
3.
4.
5.
Easy to store
Compactable
Easy to tow
Self-inflating
Good wave
conformity
1.
2.
3.
4.
5.
Possible Disadvantages
Complex design
Subject to puncture
Subject to physical
damage
Expensive
May have valve
problems in freezing
weather
Representative Types
1. Kepner
2. Bennett
3. Expandi
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10
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Any given boom will normally fit into one of the four previously mentioned general
categories. However, some booms, while they might fit into one of these four categories,
often distinguish themselves from the others by distinct designs or other features.
For example the Oilfence, generally considered a fence boom, is unique with its folding
"paddle" flotation units (FIGURE 10). The boom has some of the generic advantages
associated with the typical fence boom. Distinct advantages include the relative ease with
which the boom can be stored, deployed and cleaned. Also, the outrigger flotation units
provide extra stability. This boom has an extraordinary amount of freeboard to help
minimize splashover. Possible disadvantages include added complexity and more parts
subject to damage, although experience has not shown this to be a problem. This design will
twist in high currents and has caused problems where tug boats are used close to the boom.
BARRIER
VERTICAL STABILIZERS
BOTH SIDES
FIGURE 10
OIL FENCE BOOM
Most boom manufacturers offer at least one type of high current boom (FIGURE 11). This
option consists of a round boom with short, solid containment skirts. Below this short
containment skirt the boom has a large open-weave mesh or net. The netting, which allows
water to pass through while the solid skin material near the surface, is designed to contain
the floating product. Distinct advantages include the boom's ability to remain stable in swift
currents and to substantially reduce the current load on the boom in high currents.
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11
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FIGURE 11
HIGH CURRENT BOOM
Floats
Boom floats should be made of solid rather than granular material so that a puncture does
not result in loss of floatation. The floats should be constructed in relatively short segments
to better conform to waves. Detachable floats are easy to repair but can be ripped from the
skirt. Floats within the skirt material eliminate metal or plastic connector straps but make
replacement or repair difficult. A round shape features a built-in reserve buoyancy and is
more common than a square or rectangular shape. The shape and size of the float can have
a significant effect on the ease of deployment and use. Inflatable floats are subject to
puncture and valve malfunction but are very light weight and flexible.
Tension Member
Nylon belting is strong but may stretch more than other parts of the boom. Should this
occur, the parts that stretch less could break. For light service and short lengths, elaborate
tension members may not be necessary.
Cables in a pocket of fabric or attached to the outside of the boom corrode and break or fray
and become dangerous to personnel handling the boom. Chains in pockets chafe the fabric
and eventually wear through unless extra care and expense are used to reinforce the fabric.
Booms are available that use the fabric of the boom as the only tension member. This
arrangement solves most of the problems associated with other types of tension members,
except that these high strength fabrics are more expensive than the average boom fabric, and
high tensile strength does not necessarily mean that the fabric has higher tear strength.
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Ballast
Ballast should be attached to a boom so that it does not shift or chafe the skirt. Multi-
metallic fasteners promote electrolysis and subsequent corrosion. The ballast should be non-
sparking and be heavy enough to keep the skirt nearly vertical in unexpected currents. Some
boom designs with stiff fabric and stable flotation do not use ballast.
Skirt
The skirt should be made of durable material that does not tear easily and resists chafing.
The skirt should be designed to be compatible in depth to the float. In any case, a skirt
length over 18 inches is rarely justified. The owner's name should be stenciled on each
section of boom or otherwise marked for easy identification to avoid confusion when more
than one company supplies boom for cleanup.
Skirts can be formulated or coated with an antifouling agent to retard marine growth if they
are to be left in the water for long periods.
Methods of Connection
An ideal connector is one that could be used by one man from a small boat, is uncomplicated
and quickly connected, would not have any small parts that could be lost overboard, would
be leak-proof (close-coupled) and be of a unisex design. ASTM developed a standard
connector based on the design of the Slickbar Slickhitch. If several booms are used from
different manufacturers, it is recommended that adapters be available to facilitate connection.
BOOM DEVELOPMENT
To direct an effective cleanup operation, a supervisor must know what factors govern boom
operation and understand how to minimize the amount of oil that splashes over or comes under a
boom. The three factors that affect oil containment by booms are:
1. boom design,
2. characteristics of the oil, and
3. positional method of boom deployment.
Obviously, the cleanup crew has no control over the type of oil spilled. When a spill occurs, the
cleanup crew must use the available equipment. The first two factors listed above should be
considered when acquiring a boom. Booms should be purchased which are compatible with the type
of oil that may be spilled and with design features that work well in the stream, river, or other type
of water at a particular facility. After a spill occurs, the cleanup crew has only the third variable
to use to its advantage.
As discussed previously, oil carryunder will decrease as the velocity of the water perpendicular to
the boom decreases. In currents above about 0.5 knots, the only way booms can be used effectively
is by placing them at angles to the current. For any given stream condition, the velocity
6/92 13
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perpendicular to the boom will depend on how the cleanup crew angles the boom to the current.
FIGURE 12 is a guide for selecting angles for use in various currents. The figure is based on a
maximum water velocity perpendicular to the boom of 0.7 knots. As an example, if the velocity of
the current in a stream is two knots the boom should be set at a 24 degree angle with the bank.
.9
>
I
400
300
200
100
0 10 20 30 40 50 60
Boom Angle to Bank in Degrees
70 80 90
FIGURE 12
BOOM ANGLES FOR VARIOUS CURRENTS
The force on a boom caused by the current is significant. The force can be calculated using the
following formula:2
Fc= 1.92x(Vc)2xDft
Dfl
Force due to current in pound per linear foot of boom
Current velocity in feet per second
Boom skirt depth in the water in feet
Assuming the worst possible case where the boom is placed perpendicular to the current, the load
on rope and anchors can be calculated. For example, if 500 feet of a 24 inch boom which has a 16
inch skirt is stretched across a stream which has a 2.11 feet/second current, the equation will
estimate
Fc = 1.92 x (2.II)2 x 1.33
Fc = 11.391bs/foot
Ftotal = 11.39 x 500' = 5,695 Ibs.
6/92
14
-------
Although the figure estimates the worst case, it is useful in planning the types of anchors, ropes,
boats, etc. that could be used during a spill (TABLE 1).
TABLE 1
CURRENT LOAD IN POUNDS PER LINEAR FOOT OF BOOM
FOR VARIOUS SKIRT DEPTHS
Current Speed
Knot
0.5
1.0
1.5
2.5
Ft. per Minute
51
101
152
253
Ft. per Second
0.84
1.69
2.53
4.22
Skirt Depth
6"
0.68
2.74
6.15
17.10
12"
1.35
5.48
12.29
34.19
24"
2.71
10.96
24.56
68.33
6/92
15
-------
The wind force can also add to boom loading, but compared to current, wind is usually negligible.
In high winds, it is unlikely that a boom will be effective because of large waves. Also, human
safety and equipment damage are concerns. Wind force can be calculated with the following
formula.2
Fw = .00339 x Vw x Hft
Fw = Force due to wind in pounds per linear foot of boom
Vw = Wind velocity in knots
Hft = Height of boom above the water in feet
Approximate Safe Working Loads/Tensile Strengths of New Rope
Rope Manila Nylon Polyester
Inches Pounds Pounds Pounds
Diameter #1 (3 Strand) (3 Strand) (3 Strand)
5/16 200/1000 500/2500 500/2500
3/8 270/1350 700/3500 700/3500
7/16 1140/5700
1/2 530/2650 1250/6250 1200/6000
5/8 880/4400 2100/10500 1950/9750
3/4 1080/5400 2750/5400 2300/11500
Towing load can be significant when a boom is anchored on one end and pulled against the current.
Boats must have sufficient horsepower and be properly rigged to tow. Lines must be capable of
withstanding the forces, and the boom must have a tension member capable of high loads. If the
boom is extended behind the tow boat and pulled free in the current, there is only the frictional drag
along the boom. Because this drag is a function of boat speed, proper motor size becomes a function
of boom size and length, boat size and water velocity. Although free towing drag is low, when one
end of the boom is anchored to the shore a small boat may be incapable of positioning the boom
because of the high current drag exerted on the boom. The boom must also be able to withstand the
forces. The tension member must not become detached from the boom due to differential expansion.
Attempting to moor a boom in a straight line across a current (i.e., 90 degrees) is not recommended.
The result is a sag in the boom that will trap free floating oil at a point inaccessible to the shore.
In swift currents the resulting forces on moorings can cause large lines to break and present possible
safety hazards. The current can be so swift that the boom may tend to dip and become completely
or partially submerged. If this happens, the boom's position should be readjusted. The total force
on the moorings points will be a combination of the forces caused by currents, wind and waves.
Boom positioning is an important subject. The first step is to decide where the boom should be
located. It is likely that the boom would be on an angle to the current; therefore, the prime concern
becomes the location of upstream end. If the selected upstream location is inaccessible, a spot
further upstream can be used for access and the boat and boom allowed to drift to the selected
mooring location. The boom may be secured to trees, stakes, anchors or other solid objects.
6/92 16
-------
Unless there is little or no current, there will always be a sag in the boom. The objective is to
reduce the sag sufficiently to provide easy collection access. Intermediate anchor points may be
needed to lessen the load on the end mooring points and to reduce the sag.
FIGURE 13 shows a typical mooring set up with anchor, chain, rope, float and boom. The chain
acts as a shock absorber, provides ballast and keeps a low angle between the bottom and the anchor
line. The float keeps the end of the boom from being submerged.
Float
Water Surface
- ooom
Anchor Line
Recommended Length
5-10 ft. Water Depth
6 Feet of Chain
Anchor
Danforth
Type Anchor
FIGURE 13
TYPICAL ANCHORING SYSTEM FOR A BOOM
A practical boom location will meet the following criteria:
1. accessible by truck or boat so that the cleanup crew can collect and remove
the oil
2. in the path of the oil so that the oil will be intercepted
3. have low to moderate currents which will facilitate handling and collection
and reduce stress.
Spills in Creeks
Deep draft booms should not be used for spills in shallow creeks, streams or ponds. They
may be ineffective because they act as a dam, causing the boom to lie flat or to back up the
water to such an extent that it overflows the boom. If the water is too shallow, the stream
might be deepened by a dragline or backhoe, or by constructing a temporary dam
downstream. These techniques may require permission of local or state agencies. This
equipment can also be used to dig an oil collection pit (FIGURE 14). Oil can be directed
by a boom to the pit for recovery.
6/92
17
-------
OIL COLLECTION
PIT
SPACE OIL BOOM
4 FT. APART
FIGURE 14
OIL COLLECTION PIT SHOWING BOOM PLACEMENT
Alternatives to expensive commercial booms may be field fabricated. These "homemade"
booms use similar designs as commercially available booms, but instead of plastic and
rubber, use materials such as fiberglass, plywood, metal sheeting or metal flashing. One
simple design uses metal roll flashing with one foot long 2x4 floats spaced about 16 inches
apart (FIGURE 15). Floats are attached alternately.
FIGURE 15
METAL FLASHING BOOM
6/92
18
-------
NOTE: Floats should be sufficient to provide adequate flotation and attached above the
midpoint of the flashing.
Another device which can be used consists of wooden or metal stakes driven into the ground,
spaced across a water body. Board, planks, or metal sheets can be nailed, bolted, or tied to
the stakes at the surface to contain oil (FIGURE 16).
If sorbent is placed ahead of the dam, a sorbent filter fence has been created.
Another kind of filter fence may be constructed by using chicken wire and stakes with
synthetic sorbents or loose straw upstream of the fence. The fence should be constructed
perpendicular to the current so that the sorbent will remain distributed along the entire length
and not be carried to the edge of the creek. For very small creeks, a log can be placed
across the water. Sorbents can be placed ahead of the log.
FIGURE 16
WOODEN FENCE BOOM
In small creeks a dam might be constructed with an underflow pipe or conduit (FIGURE 17,
18, 19, Tables 2 and Graph 1).
6/92
19
-------
OIL
FIGURE 17
DAM WITH UNDERFLOW PIPE
Level of
Dammed
\ Water
Plastic
Sheeting
Plywood or
Rocks
FIGURE 18
UNDERFLOW DAM
6/92
20
-------
One or More
Barriers in Front
of Pipe
OH
Water
Flow
FIGURE 19
HORIZONTAL PIPE DAM
6/92
21
-------
6/92
=
u
»
N
taH
V3
^ Q
3
fa,
1
&
I
z
3*
W
o
m
00
00
(N
CN
tN
cn
O\
(N
en
oo
en
cn
en
cn
cs
cs
co
co
CO
ON
(N
(N
co
co
co
OS
CN
00
(N
(N
(S
CO
oo
VO
-------
GRAPH 1
UNDERFLOW DAM PIPE SIZE GRAPH
40
30
20
10
30'
27"
(2)-18"
(2) -16'
5 10 15
Cross Sectional Area of Stream in Square Feet
29
This design consists of a length of pipe or culvert placed parallel to the direction of water
flow with the upstream end lower than the downstream end as shown in the drawing. The
dam can be constructed with a shovel, dragline, backhoe, or bulldozer. The objective is to
pass water through the pipe, but retain the floating oil. The pipe must be large enough to
allow water to pass without backing up to a depth greater than the dam. Several pipes at
various depths or side by side may be used in the dam to carry the required flow. An
alternate method is to add a valve downstream on a level pipe to control the water flow.
Culverts in a creek will serve as a barrier for oil if the entire culvert is below the water
surface. Existing culverts can be utilized at some locations along a creek by damming the
creek downstream and thereby raising the water level above the top of the culvert.
Spills in small creeks and ponds can also be contained by dams built of hay bales. The bales
should be placed touching each other and perpendicular to the flow to contain and sorb the
oil. Bales must be removed and disposed of as necessary. Hay bales are very heavy when
soaked with oil and water and may present a handling and disposal problem.
Some additional illustrations are listed as seen in FIGURES 20-25.
6/92
23
-------
FIGURE 20
ICE SLOTTING
Ice
Oil
Ice
Flow
FIGURE 21
OIL COLLECTION IN ICE SLOT
6/92
24
-------
. SAM) OK KML DAM
AKOUNC OHN1NG
OIL -7 / \_ri>rnc
7 / \\"-™
n.YWOOD SHEET/
- MANHOLE
COVER
PROTECTION BARRIER FOR MANHOLE
FIGURE 22
PROTECTION BARRIER FOR MANHOLE
BOARD
FRONT VIEW
OIL
HAJITH DAM
BOARD
SIDE VIEW
.f/^ CULVERT
sg^ r
FIGURE 23
CULVER WEIR
6/92
25
-------
WIRE MESH
BRACE
STRAW BALES
OR BRUSH
OR PEAT MOSS ETC.
FLOW
V/i c
FIGURE 24
WIRE FENCE FILTER BOOM
6/92
26
-------
BOARD
EARTH DAM
OIL
SIDE VIEW
EARTH DAM
BOARD
OIL
FRONT VIEW
EARTH DAM AND WEIR
Environmsna] Emergency Branch, Environment Proeaion Service, Canada
6/92
FIGURE 25
EARTH DAM AND WEIR
27
-------
Spills in Rivers
River spills may require more than one boom because strong currents or turbulence may
cause oil losses beneath the boom. Booms should always be angled, otherwise a pocket will
be formed in the center of the river and the loads can be excessive on the boom, mooring
lines and anchors (FIGURE 26). Booms deployed completely across a river will hamper
boat and ship traffic. Remember, oil slicks moving down a river will eventually drift to
either side of the channel.
OIL
OIL
BOOM
FIGURE 26
BOOM FAILURE DUE TO IMPROPER DEPLOYMENT
By placing several booms at strategic points along the river one can take advantage of the
oil's tendency to accumulate naturally in certain areas (FIGURE 27).
CONTAINMENT BOOM
BACKUP BOOM
FIGURE 27
BOOM LOCATION ALONG THE OUTSIDE BENDS IN A RIVER
6/92
28
-------
Strategic locations can be the wide places in the river (pools) where the current speeds are
lower and booms are likely to be more effective. Bends are also convenient places in the
river where the floating oil can be more easily intercepted.
Booms used in rivers usually do not need a skirt deeper than 12 inches. However, floating
debris is a problem in large rivers. Debris can destroy booms and release oil already
contained. It may be necessary to keep a patrol boat upstream of booms to protect them
against floating objects. Debris booms may also be required (FIGURE 28).
FIGURE 28
DEBRIS BOOM MADE OF LOGS WITH CHAIN OR
CABLE STRUNG THROUGH A PIPE
Spills in Lakes, Estuaries, and Bays
Containment of oil on lakes and bays is complicated by the special problems caused by river
currents, boat traffic, wind and tides. Changes in wind velocity and direction will effect the
movement of oil. FIGURE 29 illustrates the steps that can be taken to contain an oil spill
in a lake or bay. After the cleanup crew deploys a boom at the proper angle downstream
from the spill, as shown in the first drawing, a second boom is deployed as a backup in case
any oil flows from wind generated currents. A third boom is deployed upstream of the first
to completely contain the spill, as shown in the third drawing. As the oil is skimmed from
the pocket, the boom crew could begin taking in the boom to reduce the size of the pocket
and contain the oil in a smaller area.
6/92
29
-------
Wind
FIGURE 29
BOOMING A SPILL IN WINDY CONDITIONS
Spills in the Ocean
The most common approach for ocean spills utilizes large booms with ocean-going skimmers
(see the section on skimmers). Large, strong booms are needed for this type of service.
Many booms designed for offshore use are inflatable. Deployment time is not greatly
increased with inflatable boom. Inflation usually takes place automatically with deployment.
Some inflatable types are fabricated of vulcanized rubber-coated fabric which is sturdy and
shows good tensile strength, tear strength, abrasion resistance and puncture resistance.
Cleaning and Storing Boom
Booms can be stored in several ways. A convenient method is on the deck of a boat so that
it can be deployed as needed. When this is not available, the boom can be stored on a dock
or barge and pulled into the water using a ramp or roller which provide some protection from
wear and tear. Booms may also be stored in the water by attaching segments to anchors.
Considerable lengths of booms can be stored in the water in a small area by folding sections
back and forth similar to the way fire hoses are stored on trucks. One major disadvantage
is the formation of marine organisms on the boom which add weight and drag.
Booms can be cleaned by separating the boom into sections and laying each section out on
a clean sloping surface. Oil can be removed by washing the boom with water and steam
spray. The boom washing area should direct the wash water to a sump where the oil can be
collected. Cleaning a boom coated with heavy layers of viscous oil may be a time-consuming
and expensive process.
6/92
30
-------
SUMMARY
Containment devices are designed to contain oil floating on the surface of water. A properly
installed containment device should contain the oil and cause the oil to move to a selected location
where it can be removed from the water surface. Air barriers use currents and a mound of air and
water generated by air bubbles to contain oil. They work best in little or no currents.
Barriers constructed of sorbent materials can be effectively used in creeks. Dams and culverts are
also useful in stopping the movement of oil slicks. Series of booms are normally used in spills in
rivers and other large bodies of water because it is difficult to contain or divert large spills with one
boom, especially when high currents are involved.
Booms are often stored on the deck of a boat or barge which facilitated deployment. Booms are also
stored on docks which lends itself to deployment using a ramp or roller to assist in launching and
recovery.
BOOM SELECTION CHECKLIST
1. Booms should be operational in waves with height to wavelength ratios of 8:1. Booms
should work in winds equal to a Beaufort Force 5.
2. At an effective current velocity of 0.7 knots, the skirt should remain within 20 degrees of
the vertical.
3. The boom should be capable of being deployed at a 5 knot rate.
4. The boom should be capable of being towed at 10 knots in a straight line without twisting.
It should follow behind a maneuvering tow boat without twisting at 2 knots.
5. Sections should be capable of being connected and disconnected, without nuts and bolts or
tools, from a small craft in not over two minutes.
6. Recovery and storage should be able to be accomplished by not more than three trained men.
7. In calm water the boom should have a freeboard of at least 4Vi inches.
8. the boom should allow 180 degrees folding at least every 10 feet of length or less.
9. The boom should have reserve buoyancy of at least 200 percent. The buoyancy should
double within 18 percent of the normal water line.
10. The boom should have at least a 0.2 percent UV oxidizer/inhibitor coating or be capable of
withstanding two years continuous exposure to direct sunlight.
11. The flotation should have a smooth surface and must be puncture resistant.
12. Puncturing or cutting of a foam float section should not significantly reduce flotation or allow
escape of flotation.
6/92 31
-------
13. The flotation should be an integral part of the entire boom.
14. Flotation should be closed cell foamed plastic resistant to hydrocarbons. Granular type
flotation material is not recommended.
15. The color should be international orange or yellow or another bright color. (Some locations
use orange to identify medical waste. This color may become a poor choice for pollution
control equipment).
16. Skirt fabric should show good break strength, abrasion resistance and be oil resistant.
17. The base fabric for the skirt should be high strength and U-V stable.
18. No laminated materials should be used in the skirt.
19. Stiffeners should not rust and should not wear through or puncture the fabric after use in the
water with normal wave action.
20. The boom should be capable of a direct tensile load, end-to-end, of not less than 3,000
pounds.
21. The primary tension member should not elongate more than 10 percent at 60% of its ultimate
tensile strength.
22. Tension members should be attached to the boom flotation at no less than six points every
10 feet.
23. Tension members should not be located where they would prevent the freeboard from
remaining vertical when the boom is used perpendicular to a 0.7 knot current.
24. Ballast must be non-sparking. If cable or chain is used, it should be designed to prevent
chafing.
25. The ballast should not collect static electricity.
26. For a 0.7 knot current, the following minimum ballasts are recommended per linear foot of
boom:
Skirt Depth Ballast Ibs/ft of boom
6" 0.33
8" 0.44
10" 0.54
12" 0.75
27. The ballast should not be rigid for more than four inches in any one piece.
6/92 32
-------
28. Anchor points should be placed every 100 feet on both sides and directly connected to the
tension member.
29. End connectors should not permit oil leakage.
30. End connectors constructed of metal should only use stainless steel, anodized aluminum or
other strong non-corroding material.
LIST OF COMMON BOOMS
The following list of boom types is intended as a guide for the trainee and is not for the purposes
of recommending a particular brand. Because of space limitation, not all types are included in the
list. If a type is not included, this does not mean that the boom should not be used. The following
classification system can be used to distinguish among booms appropriate to inland water, bays and
ocean service based on freeboard and draft.
Classification
Service
Freeboard
Draft
I
II
III
Inland Water
Bay
Ocean
4-10'
10-18'
18' & above
6-12'
12-24'
24' & above
LITERATURE CITED
1. Jones, W.T., 1970. Air barriers as oil spill containment devices. Paper #SPE 3050,
presented to Petroleum Engineers of AIME.
2. Smith, M.F., 1975. Planning - Equipment and training for oil pollution control. Slickbar
Inc. 98 pp.
3. Texas A & I University at Corpus Christi. Spill training and educational program. United
States Energy Research and Development Administration Contract No. E-(40-l)-4995.
4. Breslin, M.K., 1981. Using coherent water jets to control oil spills. EPA-600/52-81-141.
Environmental Protection Agency, Washington, D.C.
5. Slickbar Corp., 1981. Handling the Slickbar oilboom.
6. Oil spill cleanup manual, volume IV. Oil Spill cleanup technology: equipment and
techniques. Exxon Corporation 1982.
6/92
33
-------
ADDENDUM TO LIST OF BOOMS
Manufacturer
Model
Class
3M Company
Ceramic Materials Department
Building 225-4N
3M Center
St. Paul, MN 55144
612/733-1558
ABASCO
American Boat & Skimmer Company
363 West Canino Road
Houston, TX 77037
713/931-4400
Acme Products Company
2660 N. Darlington
Tulsa, OK 74115
918/836-7184
Advanced Technology Center
A Division of GemEng Ltd.
1200 Aerowood Drive
Unite 35
Mississauga, Ontario L4W 2S7
416/629-1991
Alba International Ltd.
Leading Light Building
142 Sinclair Road
Torry, Aberdeen
Scotland, U.K. AB1 3PR
44/224-989199
AllMaritim A/S
Bredsgaarden-Bryggen
5003 Bergen, Norway
47/596-0480
Ajit Shah, Inc. (ASI)
1326 West 12th Street
Long Beach, CA 90813
213/436-0211
Swamp Boom (SSB)
Protected Harbor Boom
Debris Bar, Harbor Boom
Harbor Boom
Acme Mini-Boom
O.K. Corral 6 x 12 Heavy-Duty
O.K. Corral 6 x 12
O.K. Corral 12 x 24
O.K. Corral 12 x 24 Heavy-Duty
High Temperature Boom
Diab-Barracuda Disposable Boom
Expandi Harbor Boom 2000
Expandi Harbor Boom 3000
Expandi Ocean Boom
Expandi Sea Boom
I
I
II
II
I
I
II
II
II
II
I
I
II
III
III
6/92
34
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ADDENDUM TO LIST OF BOOMS
Manufacturer
Model
Class
American Boom & Barrier
Corporation
8052 Astronaut Blvd.
Cape Canaveral, FL 32920
305/784-2110
American Marine Inc.
P.O. Box 940
401 Shearer Boulevard
Cocoa, FL 32922
305/636-5783
Applied Fabric Technologies, Inc.
227 Thorn Avenue
P.O. Box 575
Orchard Park, NY 14127
716/662-0632
Mini Boom
CG-1 Standard
Contain-it
Mark I-A
Mark I-A-22
Mark I XR58
Mark I Boom - Industrial
Industrial - Series Standard
Mark II Oil Boom
River Boom
XR58
Mark II-A Light Duty
Mark II-A Current Boom
Mark II-A XR58
Mark IV
Mark II-B Current Boom
Heavy Duty
Mark III-B Heavy Duty
Mark III-C & Stern Boom
Mark III-A Heavy Duty Sea Boom
Mark III Heavy Duty Sea Boom
Mark II Heavy Duty Sea Boom
Swamp Boom
Minimax
Simplex
Optimax
Maximax
Supermax
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
II
II
II
II
I
I
I
II
II
III
6/92
35
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ADDENDUM TO LIST OF BOOMS
1 Manufacturer
Model
Class
Aqua Guard Technologies
1130 West Fender Street
Suite 200
Orchard Park, NY 14127
604/681-3773
Aquaphysik
Friedensstrasse 215
D-415o Krefeld 11
West Germany
49/2151/270885
Bennett Environmental Cons., Ltd.
1130 West Fender, Suite 200
Vancouver, BC V6E 4A4, Canada
604/681-8828
Bennex A/S
N. Tollbodkai
P.O. Box 1992
N-5011
Bergen-Nordnes, Norway
05-32 41 60
Bregoil Sponge International Inc.
P.O. Box 595
Fredericksburg, VA 22404
703/373-3482
CECA S.A.
Division Ingenierie SAPEC
Avenue Alfred Nobel
Lot.I'Echangeur
64000 PAU France
59-02.94.40
Liteflex A
Liteflex B
Liteflex C
Harborflex A
Harborflex B
Permaflex
Nessie Half-Size
Nessie Full-Size
NOAS 300 X
NOAS 450 X
NOAS 600 X
NOAS 800 N
NOAS 1000 N
Delta
Devipol
I
I
I
II
II
II
III
III
II
II
III
III
III
I
III
6/92
36
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ADDENDUM TO LIST OF BOOMS
Manufacturer
Model
Class
Containment Systems Corporation
658 South Industry Road
P.O. Box 1390
Cocoa, FL 32922
305/632-5640
Crowley Environmental Services
3400 E. Marginal Way South
Seattle, WA 98134
Diab-Barracuda
Engineered Fabrics Division
(Formerly Goodyear Aerospace)
669 Goodyear Street
Rockmart, GA 30153
404/684-7855
Duxbury Offshore Inc.
52 Josselyn Avenue
P.O. Box 6 SHS
Duxbury, MA 02331
617/934-7301
Environetics, Inc.
9824 Industrial Drive
Bridgeview, IL 60455
312/430-4740
Geotechnical Resources Ltd.
4500 5th Street NE
Calgary, Alberta
Canada T2E 7C3
403/230-4128
4x6 Boom
Fence Boom
River Boom
Performance Boom
Contractor Boom
Compactable Boom
Harbor Boom
Petro Barrier 18 inch
Petro Barrier 24 inch
Petro Barrier 36 inch
Disposable Boom
Duxboom 15
Duxboom 18
Duxboom 24
Duxboom 36
BOA Boom II
BOA Boom III
BOA Boom I
70 inch
39 inch
I
I
I
I
I
I
II
II
II
II
I
I
I
II
I
I
II
III
III
6/92
37
-------
ADDENDUM TO LIST OF BOOMS
Manufacturer
Model
Class
Glove International Inc.
1400 Clinton Street
Buffalo, NY 14206
716/824-8484
Goodyear Aerospace Corporation
Engineered Fabrics Division
Rockmart, GA 30153
404/684-7855
Hans A. Mathiesen
Mattssonprodukter
P.O. Box 667
S-451 24 Uddevalla
Sweden
+ 46 522 36 400
Hurum Marine Inc.
981 Rue Pierre Dupuy
Suite 121
Longueuil, Quebec
Canada J4K 1A1
514/463-0160
Hyde Products, Inc.
28045 Ranney Parkway
Cleveland, OH 44145
216/871-4885
GlobeBoom
GlobeBoom VHW/UHW
GlobeBoom
GlobeBoom VHW/UHW
Pyroboom
Oilfence 16
Oilfence 24
Oilfence 36
Oilfence 48
9-18 Pier Boom
12-24 Offshore
14-24 Offshore
Flexy 2-14
Flexy 2-18
Flexy 3-10
Flexy 3-18
Flexy 4 ESF-14
Flexy 4 ESF-18
Flexy 4 ESF-24
Flexy 2-24
Flexy 2-12
Flexy 3-24
Flexy 3-36
I
I
I
I
I
I
II
II
II
II
II
III
I
I
I
I
I
I
I
II
II
II
II
6/92
38
-------
ADDENDUM TO LIST OF BOOMS
Manufacturer
Model
Class
Jackson Trawls Ltd.
Blackhouse Industrial Estate
Peterhead, Scotland, U.K.
0779-78383
JPS/Oiltrol, Inc.
Foster Pond Road
Box 500
Bristol, NH 03222
603/744-6400
Kepner Plastics Fabricators
3131 Lomita Boulevard
Torrance, CA 90505
213/325-3162
McDonald R. David, Inc. (MRD)
2649 Kilmarnock Crescent
North Vancouver, BC
Canada V7J 2Z3
604/980-4918
Megator Corporation
562 Alpha Drive
Pittsburgh, PA 15238
412/963-9200
Morris Industries
1527 Columbia Street
North Vancouver, BC
V7J 1A3 Canada
604/986-2189
Seacurtain 141808 RF
Seacurtain Reelpak 1115 RP
Seacurtain Reelpak 1418 RP
Supercompactable 1115 CHF
Supercompactable 1418 CHF
Reelpak Firegard 1115 FG
Reelpak Firegard 1418 FG
Reel Pak
Supercompactable 1823 CHF
Seacurtain Compactable 1823
DF
Seacurtain 182308 RF
Seacurtain 243620 RF
Compactable Seacurtain 2436 DF
Mini-boom
MI-12B
MI-20B
II
II
II
II
II
II
II
III
III
III
III
III
III
6/92
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ADDENDUM TO LIST OF BOOMS
Manufacturer
Model Class
Norpol Environmental Service 350 (Sea) II
P.O. Box 120 250 (Harbour) II
N-1364 Hvalstad Nordan Oil Boom 600 Ocean III
Norway
+47 2 845760
O.M.I. Ltd. Pollution Control
UnitG
22 Morley Road
Tonbridge Kent
England, U.K. TN9 IRA
44/732-352125
Offshore Devices, Inc. Harbor Oil Containment Barrier II
Bldg. 6A High Seas Oil
Summit Industrial Park Containment Barrier III
Peabody, MA 01960-5199
617/532-3341
Oil Mop, Inc.
P.O. Box 820
Belle Chasse, LA 70037
504/394-6110
Oilchem Recovery Denmark
Pollution Combatting Systems AS
Wilders Plads, Bygning O
P.O. Box 9033
1022 Copenhagen K, DK-1401
Denmark
45-1-95-70-95
OSR Systems Ltd.
808-2829 Arbutus Road
Victoria, BC
Canada V8N 5X5
604/598-8940
Parker Systems Inc. Bantam Basin I
P.O. Box 1652 Mark II Model O-RD I
Norfolk, VA 23501 Mark II Model O-HD I
804/485-2952 SpillMaster 24" II
SpillMaster 36" II
6/92 40
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ADDENDUM TO LIST OF BOOMS
Manufacturer
Model
Class
Rhin. Rhone
7, rue du Cirque
75008 Paris
France
16.1.225.90.10
A/S Roulunds Fabriker
Hestehaven, DK-5260 Odense
S
Denmark
09 11 55 15
AB Sandvik Process System
Hedasvagen 55
S-811 Sandviken, Sweden
026-270950
Skimmex Oil Pollution Control Ltd.
270 Earls Court Road
London, SW5 9ASX, U.K.
01-370 3315
IRHR Type 22
Variant type 22
Type 13
RO Boom
RO Boom 100 Harbour
RO Boom 1500 Bay
RO Boom 200 Ocean
RO Boom 2200/1 Ocean
RO Boom 2200/11
SSB 600
SSB 800
SK4-6-12D
SLB9-12-40A
SK6-6-30BN
SK9-12-30-BLM
SK4-6-12B
SK6-6-30B
SK9-12-30B
SK6-6-30AN
SK9-12-30AN
SK4-6-12A
SK6-6-30A
SK9-12-30A
SK12-18-50A
SK18-20-50A
SK12-18-50AN
SK12-18-50B Standard Boom
SK12-18-50BN
SK50-6-12AB
I
II
III
III
III
III
II
II
I
I
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I
I
I
I
I
I
I
I
I
II
II
II
II
II
II
6/92
41
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ADDENDUM TO LIST OF BOOMS
Manufacturer
Model
Class
Slickbar, Inc.
250 Pequot Avenue
Southport, CT 06490
203/255-2601
Light MK12A (12" overall)
Standard MK12A (12" overall)
Heavy MK12A (12" overall)
Ex. Heavy MK12A (12" overall)
Light MK12A (14" overall)
Standard MK12A (14" overall)
Heavy MK12A (14" overall)
Extra Heavy MK12A (14" overall)
Light MK12A (16" overall)
Standard MK12A (16" overall)
Heavy MK12A (16" overall)
Ex. Heavy MK12A (16" overall)
Light MK12A (18" overall)
Standard MK12A (18" overall)
Heavy MK12A (18" overall)
Ex. Heavy MK12A (18" overall)
Light MK10 (18" overall)
Standard MK10 (18" overall)
Heavy MK10 (18" overall)
Ex. Heavy (18" overall)
Light MK10 (16" overall)
Standard MK10 (16" overall)
Heavy MK10 (16" overall)
Ex. Heavy MK10 (16" overall)
Light MK10 (12" overall)
Standard MK10 (12" overall)
Heavy MK10 (12" overall)
Ex. Heavy MK10 (12" overall)
Light MK10 (14" overall)
Standard MK10 (14" overall)
Heavy MK10 (14" overall)
Ex. Heavy MK10 (14" overall)
MK E 10" overall
MK E 18" overall
MK E 24" overall
Standard MK7 24" overall
Standard MK7 36" overall
Standard MK7 48" overall
Standard Flotation MK8 24"
Standard Flotation MK8 48"
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
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I
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I
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I
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II
II
II
II
II
6/92
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ADDENDUM TO LIST OF BOOMS
Manufacturer
Model
Class
Sunshine Technology Corporation
2475 Albany Avenue
West Hartford, CT 06117
203/232-9227
Tammiholma OY
PL39, 00401
Helsinki, Finland
90 578 055
Texas Boom Company, Inc.
1304 Langham Creek Drive
Suite 218
Houston, TX 77084
713/492-7963
Trelleborg AB
Protective Products Division
S-231 81 Trelleborg
Sweden
International + 47 41051000
Versateen Products Inc.
8070
Winston Street
Burnaby, British Columbia
Canada V5A 2H5
604/420-7755
Mini Sea Boom
Fast Response S-B
Permanent Sea Boom
AKI Oil Prevention Booms
Trellboom Sea Boom 850
Trellboom Bantam 750
Trellboom Ocean Boom 1400
Trellboom Universal 1050
Trellboom Giant 1500
River 6/6
River 7/7
River 7/11
NavPak7/ll
Zoom 7/11
Inshore 24
Inshore 36
General Purpose 9/15
General Purpose 12/18
River 9/11
Nav-Pak 9/15
Nav-Pak 12/18
Nav-Pak 18/18
Zoom 12/18
Zoom 12/18
Permanent Harbor Boom 18
Permanent Harbor Boom 24
Permanent Harbor Boom 30
Permanent Harbor Boom 36
Zoom 24/24
I
I
II
II
II
II
III
III
III
I
I
I
I
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II
II
II
II
II
II
II
II
II
II
II
II
II
II
III
6/92
43
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ADDENDUM TO LIST OF BOOMS
Manufacturer
Model
Class
Versatech Products, Inc.
2479 Bellevue Avenue
West Vancouver, BC
Canada V7V 1E1
604/922-5357
6/92
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SECTION 10
PARTI
PHYSICAL AND CHEMICAL TREATMENT OF OIL
NEED TO OBTAIN GOVERNMENT APPROVAL
According to the National Contingency Plan (NCP), chemicals, including biological and burning
agents, can be used only with specific approval from the On-Scene Coordinator (OSC). The OSC
can only approve products that are listed on the NCP Product Schedule. The EPA maintains the
Schedule and a list of products with data provided by the manufacturer. This Schedule is listed for
you in appendix 3 of this section. In some locations, several companies and co-ops have received
prior approval to use collecting agents under specific circumstances. An OSC should be familiar
with areas that have prior approval for the use of chemical agents.
BURNING AGENTS
Burning of oil needs to be mentioned because it presents such an inviting solution to oil spill cleanup.
The Regional Response Team (RRT) approves the use of burning as a means to cleanup a spill.
Since oil is a volatile compound, why not burn it? Theoretically, burning should be quick, nontoxic,
and economical.
Unfortunately, the solution is not simple because spilled oil spreads quickly into a thin layer. As this
occurs, the volatile fractions of the oil quickly evaporate. The remaining oil spreads over large areas
into thin, broken patches and some emulsions form. All of these factors make oil difficult to ignite.
Even if a wicking agent is added, only a portion of the oil will burn because heat is transferred
rapidly from the flame to the water beneath the oil. Attempting to burn oil on water can be
hazardous to personnel starting the fire, can result in clouds of unsightly black smoke, and to date
there is no field data which indicates burning agents work. While the problems associated with such
a burn are chiefly cosmetic (black smoke, unburned residue), it may be better to spend the time and
resources in recovering the oil by conventional means.
Burning may be useful for removing both spills on ice and oily debris along small creek banks in
some special cases. However, burning necessitates having trained personnel start the fire and closely
monitor it to ensure the safety of people and property. Since burning oil creates some problems,
most states require prior approval, except in cases of emergency (immediate danger to life or
property).
6/91
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BIOREMEDIATION AGENTS
Subpart J of the NCP (40 CFR 300.900) defines biological agents as "microbiological cultures,
enzymes, or nutrient additives that are deliberately introduced into an oil or hazardous substance spill
for the specific purpose of encouraging biodegradation to mitigate the effects of a spill". Most
commercially available biological agents are special blends of naturally occurring bacteria that
consume oil. Such bacterial agents may be freeze-dried and stored as fine dusts or powders. In
theory, when a spill occurs, the agents can be used to seed the immediate spill vicinity. This seeding
action might increase the rate at which the spilled oil is biodegraded. However, waterways in areas
with petroleum facilities normally contain sufficient bacteria; nutrient to support biodegradation are
usually the limiting factor. Biological agents, as well as other chemical agents, must be approved
for use by the appropriate governmental representative.
DISPERSANTS
Dispersants are surface-active agents that divide and suspend the oil into small droplets in water.
Oil spill dispersants consist primarily of surfactants in a solvent base. Surfactants are long-chain
molecules resembling oil molecules on one end and water on the other. Because of the "bipolar"
structure, the surfactant will migrate to the oil-water interface. At the interface, surface tension
properties are reduced so that droplets of oil are formed and dispersed throughout the water. Again,
prior governmental approval must be obtained before dispersants are used (except under emergency
conditions involving fire or explosion hazards).
GELLING AGENTS
Use of gelling agents in oil spills has been generally not practical due to high costs of gelling
material and problems with gelling only oil. However, gelling the oil in leaking tanks or tankers
might be a feasible alternative in preventing the oil from becoming a spill.
Gelling agents have in the past formed grease-like material, but some now form a solid (sometimes
called oil solidifying additives). These latter agents use a liquid polymer and cross-linking system
which react to form a molecule matrix which entraps large quantities of oil. Crudes at -5C can be
gelled in as little as 15 minutes. These agents work faster as temperatures increase.
CONDITIONS FOR THE USE OF DISPERSANTS
The federal OSC, on a case-by-case basis, can approve the use of chemical dispersants on any spill
if it is determined they will prevent or substantially reduce explosion or fire hazard to property. All
other cases must be approved by the EPA RRT representative after consultation with appropriate
Federal and State agencies. In all cases, appropriate application rates and methods must be used.
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RATE AND EFFECTS OF DISPERSED OIL
The most important advantage gained by using dispersants is rapid oil dilution. Dispersed oil mixes
downward in near-surface waters, removing the oil from most of the wind's influence. During a
spill from a Gulf of Mexico platform dispersed oil was observable only about one mile from the spill
site; untreated surface slicks extended six to nine miles on most days. These observations suggest
that significant amounts of dispersed oil are much less likely to reach shore than untreated oil.
Dispersants drive oil into the H20 column, however, we don't know what effect this has on
microorganisms. We do know that by getting it off the surface, wildlife won't be affected. Some
report that the oil resurfaces after some time. However, good field data is essential for this
determination. Static laboratory bioassays have shown that oil treated with modern dispersants is
only slightly more toxic than the same amount of untreated oil. However, such static bioassays are
unlike field conditions. The test organism is exposed to dispersed oil for extended periods of time
without provision for the dilution and the evaporation of hydrocarbons that naturally occur; also the
avoidance capabilities of mobile marine organisms (nekton) and natural waste accumulation are not
considered.
In 1970, approximately 65,000 barrels of 34° API gravity crude oil were spilled from a platform
located about 11 miles offshore in the Gulf of Mexico in 40 feet of water. Extensive chemical and
biological investigations during and following this spill thoroughly documented for the first time the
fates of dispersed oil in the water column and sediments. The measured levels of hydrocarbons in
the water within one mile of the platform varied from one to 70 ppm. No adverse effects upon the
benthic community, shell, of fin-fish were recorded.
These findings suggest that in offshore areas only those organisms in the upper surface waters and
in the immediate area of a spill might be adversely affected. Some plankton near a dispersed spill
might be killed, but repopulation is rapid and no extended effect on the area should be noted.
The marine environment can tolerate a limited quantity of oil such as might be caused by a prudently
dispersed oil spill. This tolerance is not surprising since geologists estimate that there have been
marine oil seeps for 300 million years. The total amount of natural seepage is estimated at 200
trillion barrels, hundreds of times more than man has ever produced. Microorganisms which utilize
oil as food are responsible for preventing a major portion of this oil from being a problem today.
Dispersants have been successfully used to control oil spills in many instances. For example, on
November 12, 1975, a supertanker and a British frigate collided in the Dover Straits, resulting in
a spill of about 15,000 barrels of crude oil. small craft applied approximately 1,000 drums of non-
concentrated dispersant and 40 drums of concentrated dispersant. As a result, no more than
approximately 230 barrels of oil reached the shore. The British Department of Trade concluded that
concentrated dispersant is more efficient than non-concentrated dispersant and advised that spray
vessels be readily available. Relatively little harm was noted to the marine environment from the
oil or the dispersant even though dispersants were used close to the shoreline.
6/91
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REGULATIONS
The use of dispersants and other chemicals is tightly controlled by the United States Government.
Under Subpart J of the present National Contingency Plan, the use of dispersants may be authorized
by the government on-scene coordinator only to prevent or substantially reduce hazard to human life
or limb or to substantially reduce explosion or fire hazard to property. In other situations, the
Environmental Protection Agency's Regional Response Team member can authorize the use of
dispersants to reduce environmental damage. This division of authority over the use of dispersants
could at times create confusion.
Only chemicals listed by the EPA can be authorized for non-emergency use. Such acceptance
requires that extensive data, including chemical composition as well as toxicity and effectiveness
tests, be submitted.
EFFECTIVENESS AND TOXICITY
The effectiveness of modern dispersants has increased almost as rapidly as their toxicity has
decreased. The original agents were able to break up about ten parts of oil per one part of
dispersant. Newer concentrated dispersants can reputedly disperse about 50 parts of oil per one part
of dispersant.. Under ideal conditions factors such as oils with high wax or asphalt content, very low
temperatures, thin or scattered oil slicks, and lack of agitation can increase the amount of dispersant
needed by three or four times. Dispersants today must meet certain testing criteria established in the
NCP for effectiveness and toxicity. (40 CFR Part 300 (Appendix C)).
EQUIPMENT
Equipment for application of dispersants has two primary functions: to operate under a wide range
of conditions with limited personnel, and to reliably deliver the correct chemical dosage. Various
types of equipment have successfully demonstrated these capabilities.
The simplest arrangement consists of an adductor system that works on the venturi principle. It may
utilize either a portable pump or a conventional fire fighting system to supply the water flow. Such
a system is most useful for moderate size spills requiting rapid response and is suitable only for
applying dispersants that are designed to be mixed with water.
The most popular system for spraying dispersants from boats was developed by Warren Spring
Laboratory (WSL) in England. Basically, it consists of a portable self-priming pump, port and
starboard spray booms, and specially constructed breaker boards, towed astern, to provide agitation.
A great deal of experience has been accumulated in effectively dealing with spills using this
equipment. The WSL system has proven to be easily handled, adaptable to a wide range of vessels,
inexpensive, and durable.
With sea-mixing dispersants, one manufacturer recommends mounting the spray booms near the bow
of the boat.
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Aircraft spraying is appropriate for large remote spills or when sea conditions are too rough for
dispersant application from vessels. Crop spraying and fire fighting planes are usually available and
are capable of dispersant application when outfitted with proper nozzles and spraying apparatus.
Where tight control of the spray pattern is important, helicopter spraying has advantages.
The cost/effectiveness and conservation of materials associated with dispersant use are attractive
features. A vessel of opportunity can be equipped with simple spray and storage equipment weighing
about one ton for approximately $25,000. When properly applied, 30 drums of chemical can
disperse about 1,000 barrels of oil (chemical cost would be approximately $15,000). One the other
hand, a sea-propelled mechanical skimmer capable of tackling a similar offshore oil spill could weigh
over 100 tons and cost over $2,500,000. In high seas, it would not be as effective as dispersants.
The maintenance of dispersant spraying equipment would cost about $2,500 per year, while the
maintenance cost of a skimmer would be about $250,000 per year.
In summary, both mechanical equipment and dispersants are necessary weapons in the arsenals of
major coastal oil spill cleanup organizations. Dispersants may also have advantages in controlling
inshore spills, but their use in such areas must be carefully studies due to the potential for damaging
environmentally sensitive areas.
COLLECTING AGENTS
Another aid to controlling oil spills is the collecting agent. The National Contingency Plan (Subpart
J) defines surface collecting agents as "those chemical agents which are a surface film forming
chemical for controlling oil layer thickness". They are considered to be generally acceptable
provided that they to not in themselves or in combination with the oil increase the pollution hazard.
Like dispersants, the use of collecting agents must be approved by the government on-scene
coordinator.
The best known commercially available collecting agents include various herding agents. They are
best applied in a straight stream with a sprayer on the water surface adjacent to a spill. They should
not be applied directly to the oil slick or in a fine mist. Helicopters are usually best for this service.
It is of prime importance to carefully plan the use of any collecting agent. The first rule is to apply
them only when you are ready to remove the oil. If collecting agents are applied prematurely their
effectiveness is gradually lost and the oil may spread again. The agents do not herd the oil against
wind or tide but only against the natural spreading action of the oil. Hence, collecting agents have
a limited use and work best under static conditions. The maximum recommended application rate
is two gallons of agent per mile of spill perimeter. The agent can be re-applied, if needed, every
six hours to a maximum of three applications in any 24-hour period.
Presently there are several collecting agents including commercially available products and Navy
piston oil. Piston oil (sorbitan monooleate) is not commercially available but is similar to the
commercial products. Collecting agents are most effective in restricting spills to be picked up
immediately, for spraying booms, and for decreasing movement to critical areas such as beaches,
marshes, or marinas where collection may be difficult. Dispersants and collecting agents are not
compatible and should not be used on a spill at the same time. It is practical to apply a collecting
agent and, after the slick is compressed, to pick it up with sorbents.
6/91 «
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LITERATURE CITED
Energetex Engineering. 1978. Testing of air deployable incendiary devices for igniting oil on
water. Department of the Environment, Ottawa, Ontario. EPS-4-EC-78-11. (December 1978).
98pp.
Exxon Corporation. 1980. Chemicals for oil spill control. Exxon Production Research Company,
Houston, Texas.
Gonzaque J. and Moore, J. (eds.). 1979. A review of oil slick combustion promoters. Department
of the Environment, Ottawa, Ontario. EPS-EC-79-8. (November 1979). 48pp.
Gulf Universities Research Consortium. 1980. Field evaluation of the effectiveness of COREXIT
9527 chemical dispersant on the Ixtoc I Oil Spill, Bay of Campeche, Mexico. Gulf Universities
Research Consortium, Houston, Texas. UURC Report No. 179. 14 pp.
Meldrum, I.G., Fisher, R.G., and Plamer, A.J. 1981. Oil solidifying additives for oil spills, in
Proceedings, 4th Arctic Marine Oilspill Program Technical Seminar, pp. 325-352.
McAuliffe, C.D., Canevari, G.P., Searl, T.D., and Johnson, J.C. 1980. The dispersion and
weathering of chemically treated crude oils on the sea surface, in Petroleum and the Marine
Environment, International Conference and Exhibition, Monaco, 27-30 May, 1980. 18 pp.
Robertson, L.A. 1978. Selection criteria and laboratory evaluation of oil spill sorbents; an update.
Department of the Environment, Ottawa, Ontario. EPS-4-EC-78-8. (October 1978). 78pp.
Sprague, J.B., Vanderneulen, J.H., and Wells, P.G. 1980. Oil and dispersants in Canadian Seas:
Research appraisal and recommendations. Department of the Environment, Ottawa, Ontario. 182
pp.
6/91
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APPENDIX I
FOAMS FOR CONTROL OF HAZARDOUS CHEMICAL VAPORS
I. Foam is a mass of gas-filled bubbles formed either through a chemical reaction of by the
mechanical mixing of air and a foaming agent. The foam bubble functions as a vehicle for
carrying and dispensing water.
All foams extinguish fires by:
1. smothering - preventing air from mixing with vapors
2. suppressing the release of flammable vapors
3. separating flames from fuel
4. cooling fuel and surrounding surfaces
II. There are a number of types of foam commonly available, each with certain advantages and
desirable characteristics applicable to hazardous materials incidents,
1. Protein foam - natural proteinaceous polymers, metallic salts for strength in
heat and flame and organic solvents for foamability. Dense, viscous foams,
highly stable, highly heat resistant, resistant to burnback.
2. Fluoroprotein foam - similar to protein foam except that it contains
fluorinated surface active agents. Able to shed fuels so that foam may be
injected into tanks or plunged into fuel. Superior sealing and burnback
resistance to protein foam.
3. Aqueous film-forming foam (AFFF) - fluorinated hydrocarbons and
polymers. Forms water solution films on flammable liquid surfaces. Low
viscosity, fast spreading and develops continuous aqueous layer of solution
on fuel surface to cool and suppress vapors. Aqueous film layer can spread
over surfaces not fully covered with foam, is self healing and continuous as
long as there is a foam reservoir. This film, however, is produced at the
sacrifice of the burnback resistance and cooling ability of the foam.
4. Alcohol-type foam (ATF) - developed for fuels which are water soluble or
polar solvents. These substances ordinarily will cause the rapid deterioration
of other foam types. Consists of a protein base with a polymeric additive to
form an insoluble chemical film between the foam bubbles and fuel surface.
This "plastic" barrier prevents the fuel from destroying the foam bubbles.
Most alcohol-type foams must be applied gently and not submerged in the
6/91 7
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fuel to preserve the barrier. Manufacturers are now producing combination
foams so that at one concentration an aqueous film-forming foam is produced
and at a higher concentration an alcohol-type foam barrier is formed. These
foams can be used with a greater variety of chemical classes.
5. High expansion foam - consists of synthetic hydrocarbon surfactants which
produce large volumes of foam with a small amount of mixing energy. The
foam is capable of expanding from 100-1000 to one. High expansion foam
has been used for total flooding of confined spaces and for displacement of
vapors, heat and smoke. It is suitable for confined areas but natural forces
such as wind may limit its use outdoors. This foam, under suitable
conditions may be built up to very thick layers.
III. Most protein, fluoroprotein and AFF foams are available in three percent and six percent
concentrations. Alcohol foams are available in six-10 percent (some may be used as AFF
at low concentrations and ATF at higher concentrations). High expansion foams are used
in 1.5-2.0 percent concentrations. The percentage indicates the number of foam liquid parts
to be mixed with water for a 100 percent solution.
IV. Foams are in widespread use for controlling releases of flammable or combustible liquids.
Foams are able to suppress vapors, extinguish fires and can fill pockets or enclosures where
vapors would collect. The effectiveness of foams for the suppression of toxic vapors,
however, has not been fully investigated. M.S.A. Research Corporation and the U.S. EPA
have conducted studies in an attempt to determine some of the capabilities and limitations of
common foam types on hazardous substances other than flammable liquids.
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APPENDIX II
DISPERSANTS (wetting agents) AS FIRE
SUPPRESSION AND PREVENTION AGENTS
I. Dispersants are surface-active agents that contain an oil-compatible and a water-compatible
chemical group. Because of this characteristic, when applied to a hydrocarbon spill on
water, dispersant molecules orient themselves at the oil-water interface. By this orientation,
the dispersant lowers the interfacial tension and greatly enhances droplet formation of the
hydrocarbon in water.
Wetting agents are a particular type of dispersant formulation that lower the surface tension
of the water whether or not a hydrocarbon is present. This tends to increase the amount of
free water surface available for absorption of heat, thus increasing the efficiency of the
extinguishing properties of the water.
II. Dispersants may not be used on spills without the consent of the Federal on-scene
coordinator. The law does make special provisions for possible fire situations and approval
can be obtained if, in the judgment of the on-scene coordinator, use of a dispersant is
justified.
III. Dispersant usage to suppress or prevent fires is best accomplished through the use of an
educator system like that used for firefighting foams. Application rates vary according to the
manufacturer. Usual dilutions are one to two percent in water. Mixing energy is essential,
and fine mists or sprays will not provide effective dispersion.
IV. Dispersants are used on shallow spills such as those on roadways which are not amenable to
pumping or other recovery. Foams should be used on spills where pumping can be
accomplished.
V. All dispersants are not designed to be used for fire suppression or as wetting agents.
Flashpoint of the dispersant is usually the determining factor. If the dispersant is
combustible, it will probably not be an effective extinguishing agent.
6/91
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APPENDIX III
ENVIRONMENTAL PROTECTION AGENCY
NATIONAL CONTINGENCY PLAN
PRODUCT SCHEDULE
MAY 1990
Prepared by:
U.S. Environmental Protection Agency
Emergency Response Division
For Information Contact:
John M. Cunningham, 202/382-4130
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DISPERSANTS
Bulletin
Number
1
2
3
4
5
6
Product Name
ENERSPERSE 1100
(Hydrocarbon Solvent Based)
COLD CLEAN 500 (Water
Based)
CONGO DISPERSANT K
(Concentrate)
COREXIT 7664
(Water Based)
COREXIT 8667
(Hydrocarbon Solvent Based)
COREXIT 9527
(Concentrate)
Manufacturer
BP Detergents, Ltd.
Pumpherton Works Livingston,
West Lothian EH53 O1Q,
Scotland
Tel: 050631111
Telex: 72278
(Margaret C. McCaw)
U.S. Contact:
BP North America, Inc.
620 5th Avenue
New York, NY
212/887-9046
(Dr. Ronald G.L. Spiers)
Essex Fire & Safety Co.
P.O. Box 801247
Houston, TX 77280-1247
713/690-0416
(Mrs. Virginia A. Walters)
Continental Chemical Co.
270 Clifton Blvd.
Clinton, NJ 07011-3638
201/472-5000
(Mr. Philip D. Turks)
Exxon Chemical Co.
8230 Stedman St.
Houston, TX 77029
713/671-8614
(Mr. Larry G. Coker)
Exxon Chemical Co.
8230 Stedman St.
Houston, TX 77029
713/671-8614
(Mr. Larry G. Coker)
Exxon Chemical Co.
8230 Stedman St.
Houston, TX 77029
713/671-8614
(Mr.
Date
Listed
10/20/77
10/7/77
4/25/78
11/1/78
11/1/78
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DISPERSANTS
7
8
9
10
11
14
EC.O ATLAN'TOL AT7
(Water Based)
FINASOL OSR-7
(Water Based Concentrate)
GOLD CREW DISPERSANT
(Water Based Concentrate)
MAGNOTOX
(Water Based Concentrate)
OFC D-609 OIL SPILL
DISPERSANT
(Concentrate)
PETRO-GREEN ADP-7
(Water Based Concentrate)
ASPRA, Inc.
4401 23rd Avenue West
Seattle, WA 98199
206/284-9838
(Mr. A.I. Janofsky)
Fina Oil and Chemical Co.
P.O. Box 2159
Dallas, TX 75221
214/750-2640
(Mr. Jerry W. Johnson)
Ara Chemical, Inc.
P.O. Box 5031
San Diego, CA 92105-0001
619/286-4131
(Mrs. Rita Jimenez McNeely)
Drew Chemical Corporation
One Drew Plaza
Boonton, NJ 07005
201/263-7600
(Mr. William F. O'Brien, Jr./
Mr. Nels Hendrickson)
Chemlink Petroleum, Inc.
9100 W. 21 St.
Sand Springs, OK 74063
918/245-2224
(Mr. James Skaggs, Jr.)
Petro-Green, Inc.
3952 Candlenut Lane
P.O. Box 814665
Dallas, TX 75381
214/484-7336
(Dr. Arnold Paddock)
11/13/79
5/21/80
8/31/77
7/1/81
8/20/79
9/30/84
Dispersant #12, OIL SPILL ELIMINATOR, is no longer being manufactured and has been
removed from the Product Schedule. The formula for Dispersant #13, OSD/LT OIL SPILL
DISPERSANT has been revised, and the product is now being sold as Dispersant #33
OSD/LT OIL SPILL DISPERSANT (NEW FORMULATION).
15
PETROMEND, MP-900-W
(Water Based Concentrate)
Petromend, Inc.
P.O. Box 47532
8600 Sovereign Row
Dallas, TX 75247
214/630-1330
(Mr. Alan Cohn)
9/30/84
6/91
13
-------
DISPERSANTS
18
19
20
21
22
23
SLDC-A-WAY
(Water Based)
DISPERSANT 11
(Concentrate)
TOPSALL #30
(Oil and Petroleum Cleaning
Agent) A/K/A SUPER ALL
#38
COREXIT 9550
(Hydrocarbon Solvent Based)
JANSOLV-60 DISPERSANT
(Principally Water Based with
some Solvent)
RUFFNEK
(Oil and Petroleum Cleaning
Agent)
MI-DEE Products, Inc.
5253 Springdale Ave.
Pleasanton, CA 94566
415/846-8166
(Mr. Paul Spellman)
DuBois Chemicals
HOODuBois Tower
Cincinnati, OH 45202
513/762-6894
(Mr. W.N. Grawe)
Stutton North Corp.
P.O. Box 724
Mandeville, LA 70448
504/626-3900
(Mr. David Anton)
Exxon Chemical Company
8230 Stedman Street
Houston, TX 77029
713/671-8614
(Mr. Larry G. Coker)
Sunshine Technology Corp.
2475 Albany Avenue
West Hartford, CT 06117
203/232-9227
(Mr. Stephen Kaufman)
Maker International
80 First Street
Gretna, LA 70053
504/362-3232
(Ms. Gail Mavromatis)
10/5/78
10/16/84
1/7/85
5/22/85
7/9/85
7/16/85
Dispersant #16, PROFORM-POLLUTION CONTROL AGENT, and Dispersant #17, SEA
MASTER NS-555, are no longer being manufactured and have been removed from the
Products Schedule.
24
NEOS AB 3000
(Hydrocarbon Based)
NEOS Company Limited
8th Floor, Kanden Bldg.
201, Kano-cho 6 Chome
Chuo-ku. Kobe 650, Japan
Tel: Kobe 078-331-9381
Telex: 5622293 JKNEOS J
(Mr. S. Miyoshi)
4/22/85
6/91
14
-------
DISPERSANTS
25
26
27
28
29
30
PHIREX
(Organic Surfactant Based)
(formerly CRUDEX)
BIO SOLVE
(Water Based)
A/K/A Conseal P.N.A.
NK-3
(Water Based)
A/K/A BREAKER-4
ATLANTIC-PACIFIC OIL
DISPERSANT, REAL
KLEEN, SHIP SHAPE
ENERSPERSE 700
(Solvent Based)
SLICKGONE NS
(Solvent Based)
MARE CLEAN 505
(Solvent Based)
Environmental Security, Inc.
5 Blackburn Center
Gloucester, MA 01930
508/283-1306
(Mr. Jay Greene)
Metra Chem Corporation
270 Littleton Road
P.O. Box 427
Westford.MA 01886-0427
508/392-0571 / 1-800/225-3909
FAX: 508/392-0576
(Mario J. Genduso/ Ronald D.
LaRoche)
GFC Chemical Company, Inc.
P.O. Box 80537
Lafayette, LA 70598-0537
318/234-8262
(Mr. Joe Winkler)
BP Detergents Limited
Pumpherston Works
Livingston
West Lothian, Scotland
EH53 OLQ
Tel: 05063111
(Margaret C. McCaw)
Dasic International, Ltd.
Winchester Hill - Romsey
Hampshire S051 7YD
United Kingdom
Tel: 0794/512419
Telex: 47548
(Mr. John L. Belk)
Taiho Industries Co., Ltd.
21-44 Takanawa 2-chome
Minato-ku, Tokyo, Japan
Tel: 03/445-8111
FAX: 03/443-0213
(Mr. Y. Tamai)
6/4.786
12/22/86
2/19/87
7/27/87
' 2/22/88
2/23/88
6/91
15
-------
DISPERSANTS
31 EOF EMULSA FIRE
(Water Based)
SynTech Products Corp.
520 E. Woodruff Avenue
Toledo, OH 43624
419/241-1215
(Mr. James J. Doherty)
6/17/88
32 PETRO TITE M.M.E.
(Water Based)
Heath Consultants Inc.
100 Tosca Drive
Stoughton, MA 02072-1591
617/344-1400
(Mr. Robert Perry)
10/4/88
33 OSD/LT OIL SPILL
DISPERSANT
(New Formula)
Drew Chemical Corporation
One Drew Plaza
Boonton, NJ 07005
201/263-7600
(William F. O'Brien, Jr./ Nels
Hendrickson)
10/4/88
34
TOXIGON - 2000
Formula IV Corporation
9756 North 90th Place
Suite 200
Scottsdale, AZ 85258
602/391-3426
(Mr. G. Scott Miller)
6/17/87
35 SUPER ALL #38
(Oil and Petroleum Cleaning
Agent)
Tavelle Corporation
P.O. Box 841236
Hollywood, FL 33084
305/473-6718
(Mr. Bruce Dorfman)
11/16/88
36
M.C. #1 DISPERSANT
Safeworld Products Corporation
103 Clearfield Drive
Brentwood, TN 37027
(Mr. Craig A. Thomas)
3/31/89
37
CN-110
Chemex, Incorporated
P.O. Box 31228
Lafayette, LA 70593-1228
318/837-9148
(Mr. Gale Campbell)
Pending
Review
38 COREXIT 9580 SHORELINE
CLEANER
(Hydrocarbon Based)
Exxon Chemical Company
Technology Division
8230 Stedman Street
Houston, TX 77029
713/671-8614
(Mr. Larry Coker)
7/21/89
6/91
16
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DISPERSANTS
39 BIOVERSAL
(Water Based)
Bio Versal U.S.A., Inc.
1703 Victoria Drive #303
Mount Prospect, IL 60056
312/228-7316
FAX: 312/228-7318
(Dr. Mohsen Amiran)
6/7/89
40
DE-SOLV-IT
Orange-Sol, Inc.
9 North Roosevelt Avenue
Chandler, AZ 85224
602/961-0975
FAX: 602/921-0854
(Dr. J.A. Gurney)
6/26/89
41
PREMIER 99
Gold Coast Chemical
Corporation
3301 North 29 Avenue
Hollywood, FL 33020
305/921-9100
FAX: 305/921-9122
8/11/89
42 OMNI-CLEAN
(Water Based)
A/K/A
OMNI-CLEAN T.C.R.,
OMNI-CLEAN A.P.C.,
OMNI-CLEAN P.A.S.,
OMNI-CLEAN C.B.R.
OMNI-CLEAN MULTI-
FORM
Delta-Omega Technologies,
Inc.
218 Rue Beauregard
Suite K
Lafayette, LA 70508
318/237-5091
FAX: 319/237-5131
(Mr. Troy Mallett)
8/31/89
43 SDS-300
(Hydrocarbon Solvent Based)
Services Marketing Group
303 Wells Fargo Drive
Suite 13
Houston, TX 77090
713/580-0500
FAX: 713/444-3289
(Mr. Jesse R. Sanders)
9/15/89
44 FORMULA 98
(Water Based)
Malone Chemical, Inc.
130 Marion Avenue
Linden, NJ 07036
201/862-8595
FAX: 201/862-1260
(Mr. Thomas F. Malone)
3/5/90
6/91
17
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DISPERSANTS
45
46
GRANCONTROL-O
(Water Based)
SIMPLE GREEN
(Water Based)
C & A Products
P.O. Box 360
125 Main Avenue
Elmwood Park, NJ 07407
201/791-6700
FAX: 201/791-0038
(Mr. Chuck Granatell)
Sunshine Makers, Inc.
15922 Pacific Coast Hwy.
Huntington Harbor, CA 92649
213/592-2844
FAX: 213/592-3034
(Mr. Bruce P. FaBrizio)
3/21/90
4/23/90
6/91
18
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SURFACE COLLECTING AGENTS
Bulletin
Number
1
2
Product Name
COREXIT OC-5
OIL HERDER
Manufacturer
Exxon Chemical Company
8230 Stedman St.
Houston, TX 77029
713/671-8614
(Mr. Larry G. Coker)
ASI, Inc.
1326 W. 12th Street
Long Beach, CA 90813
213/436-0211
(Mr. Parag Gandhi/Mr. Mark
Ploen)
Date
Listed
11/1/78
9/16/76
6/91
19
-------
BIOLOGICAL ADDITIVES
Bulletin
Number
1
2
3
4
5
6
7
Product Name
HYDROBAC
NO-SCUM
PETROBAC
PHENOBAC
PETRODEG-100
PETRODEG-200
TYPE L, DBC PLUS
Manufacturer
Polybac Corporation
954 Marco Blvd.
Allentown, PA 18103
215/264-8740
(Mr. David M. DeClement)
National Hydrocarbon
Elimination Company
2500 East T.C. Jester
Suite 165
Houston, TX 77024
713/880-0604
(Mr. Ben Calderoni)
Polybac Corporation
954 Marcon Blvd.
Allentown, PA 18103
215/264-8740
(Mr. David M. DeClement)
Polybac Corporation
954 Marcon Blvd.
Allentown, PA 18103
215/264-8740
(Mr. David M. DeClement)
Bioteknika International, Inc.
3108 Hayes St.
Arlington, VA 22202
703/836-3393
(Mr. John Ludlum)
Bioteknika International, Inc.
3108 Hayes St.
Arlington, VA 22202
703/836-3393
(Mr. John Ludlum)
Flow Laboratories, Inc.
Environflow
7655 Old Springhouse Road
McLean, VA 22012
1-800/634-9195
(Ms. Jane Hood)
Date
Listed
12/3/80
9/16/76
8/4/79
8/4/79
12/15/78
12/15/78
6/10/82
6/91
20
-------
BIOLOGICAL ADDITIVES
8
9
10
11
12
TYPE R-5, DEC PLUS
BACTOZYME
(formerly ROLFZYME
A/K/A
ALFA, DESCUM, SKY
BLUE CHEMS OIL SPILL
EATER
INIPOL EAP 22
BIO-ZYME 1000-HC
(formerly PETROZYME
1000)
WOODACE BRIQUETTES
Flow Laboratories, Inc.
Enviroflow
7655 Old Springhouse Road
McLean, VA 22102
1/800-634-9195
(Ms. Jane Hood)
International Enzymes, Inc.
1706 Industrial Road
Las Vegas, NV 89102
702/388-0145
(Mr. Harold G. Ambler)
Societe CECA, S.A.
LaDefense 5 - Cedex 54
92062 Paris-la-Defense
France
Tel: 1/49.04.12.34
Telex: CECAS 611444F
FAX: 011-33-1-49-04-12-35
U.S. Contact:
Elf Aquitaine
Suite 400, Lafayette Ctr.
1155 21st Street, N.W.
Washington, DC 20036
Tel: 202/872-9580
Telex: 277566
FAX: 202/872-0896
(Mr. Jacques A. Bodelle)
High-Line Chemicals, Inc.
Innovation Place
108 Research Dr. Suite 4
Saskatoon, Saskatchewan
Canada S7N 2X8
306/975-0015
(Dr. Mongi Ferchichi)
Vigoro Industries, Inc.
2007 West Highway 50
P.O. Box 4139
Fairview Heights, IL 62208-
2928
618/624-5522
(Mr. Richard Helpinstine)
6/10/82
10/25/84
7/9/85
1/21/88
6/7/89
6/91
21
-------
BIOLOGICAL ADDITIVES
13
14
15
CUSTOMBLEN
EEC BIOLOGICAL MEDIA
AE BIOSEA PROCESS
Sierra Chemical Company
1001 Yosemite Drive
Milpitas, CA 95035
408/263-8080
FAX: 408/262-8943
(Mr. John Cunningham)
Environmental Engineering
Consultants, Inc.
2323 W. 7th Place
Stillwater, OK 74074
405/377-5561
(Dr. Don Kincannon/Dr. Leon
Potter)
Alpha Environmental, Inc.
7748 Highway 290 West
Austin, TX 78736
512/448-8927
(Mr. H. Eugene Douglas)
7/26/89
7/27/89
8/11/89
6/91
22
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MISCELLANEOUS OIL CONTROL AGENTS
Bulletin
Number
Product Name
Manufacturer
Date
Listed
1
SEE-JELL
(formerly NEOS JELLY
ROCK) (Gelatinization Agent)
Ajinomoto Company, Inc.
5-8, 1 Chome, Kyobashi,
Chou-Ku
Tokyo, 104 Japan
Tel: 272-111
Sigma Enviro Enterprises, Inc.
(Primary Distributor)
140 Spring Road
Orinda, CA 94563
415/254-7633
(Mr. Leonard O. Walde)
10/30/85
OIL BOND-100
(Plasticization Agent)
A/K/A
NORSOREK A-P
POLYNORBORNENE OIL
SOLIDIFIER
(Paniculate Form)
C d FChimie S.A., Tour
Aurore
Place des Reflets
CEDEX 5
92080 Paris Defense 2
Paris, France
Tel: 1/47.78.64.82
U.S. Contact:
Liquid Waste Technologies,
Inc.
(Primary Distributor)
999 Roosevelt Trail
207/892-5530
(Mr. Frank Hoff)
Liquid Waste Technologies,
Inc.
P.O. Box 467
Blackwood, NJ 08012
609/232-8088 and 1-800/545-
2006
(Mr. Bill Gannon)
6/4/86
6/91
23
-------
MISCELLANEOUS OIL CONTROL AGENTS
3
4
5
LIQUID OIL BOND-200
(Gelatinization Agent)
ELASTOL
(Oil Viscoelastic Enhancing
Agent)
OIL SPILL ELASTOL
(Oil Viscoelastic Enhancing
Agent)
Toho Titanium Company,
Limited
17th Mori Building
1-26-S Toranomon, Minato-Ku,
Tokyo, Japan
Tel: Tokyo 504-3165
U.S. Contact:
Liquid Waste Technologies,
Inc.
(Primary Distributor)
999 Roosevelt Trail
207/892-5530
(Mr. Frank Hoff)
Liquid Waste Technologies,
Inc.
P.O. Box 467
Blackwood, NJ 08012
609/232-8088 and 1-800/545-
2006
(Mr. Bill Gannon)
General Technology
Applications, Inc.
7720 Mason King Court
Manassas, Virginia 22110
703/631-6655
(Mr. Thomas J. Scambos)
General Technology
Applications, Inc.
7720 Mason King Court
Manassas, Virginia 22110
703/631-6655
(Mr. Thomas J. Scambos)
6/4/86
6/23/86'
7/17/87
6/91
24
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SECTION 10
PART II
DEBRIS DISPOSAL
When an oil spill occurs, the primary consideration is for minimizing damage and removing the
spilled oil from the environment. Hasty action on cleanup has resulted in large quantities of debris
being needlessly removed and transported to a disposal site. Lack of pre-planning has allowed
transport of debris to distant disposal sites when local disposal sites were available. The choice of
inappropriate cleanup and disposal techniques without adequate planning increases problems and costs
in a spill.
Generally, oily debris comes in two types: oily liquids and oily solids. What can be done with these
materials will depend on the condition of oil, oil processing equipment availability and government
regulations (federal and local).
The first consideration in debris disposal should be consolidation of debris types. Generally, this
will require debris storage, oil/water separation, oily liquid pumping and debris transport. Oily
debris can be stored in a wide variety of containers, from plastic bags to oil storage tanks (TABLE
1). In most cases, the container type chosen will depend on availability and cost. Further, several
container types may be needed. Some containers can also be used as oil/water separators.
TABLE 1
TYPES OF CONTAINERS FOR SPILLED OIL AND DEBRIS
Container
Drums
Tank Truck1
Dump Trucks/Flat Bed
Railroad Tank Car
Barges
Oil Storage Tanks
Bladders
Earthen Dikes j
Comments
1)
1)
1)
1)
1)
1)
1)
1)
may require drum handling devices
consider road access
requires impermeable barrier to hold dripping oil
consider rail access
consider venting of tanks
consider problems of large quantities of water in oil
may require special hoses or pumps for oil transferral
may require impermeable liner
1 Can be made into oil/water separators
6/91
25
This part of the Inland Oil Spill Course manual was reproduced by permission of The Occupational and Environmental Safety Training Division
of the Texas Engineering Extension Service The Texas A & M University System.
-------
Separating the water from oil will reduce the amount of liquid to be transported to a disposal site and
improve the oily liquid's acceptability to be refined. Some containers, such as tank trucks, are
already equipped to separate the water from oil. However, not all tank trucks have this ability.
Mechanical separators can be purchased to separate liquids.
Many have moving parts and heating elements to aid in separation. Simple gravity separators can
be made using earthen dikes or drums to remove water from oil (FIGURE 1). Floating solids can
be removed from oil using screens, pitchforks or shovels with oil drain holes in the blade.
Oil on solids can be separated using water to dislodge the oil from the solid. Heavier than water
solids (sand or gravel) can be placed in shallow pools and oil floated when sprayed with cold or hot
water. The oily liquid can be separated using an oil/water separator. The oil on large materials such
as logs and rocks may best be removed in place using water spray or steam cleaners using sorbents
to collect oil. For solids that float (organic debris), the material should be placed on grating or an
inclined surface (preferably concrete) to allow oil to wash away from debris. If oily solids are
coated with light products such as diesel or number 2 fuel oil, mixing the material with hot sand can
vaporize the oil and separate the oil from the solid.
In cold climates, viscous oil spills can be separated from solid debris such as sorbents, if time
permits, by storing the oily debris until temperatures rise. The increased temperature will decrease
oil viscosity so that oil will drip out of debris. Viscous emulsions are best broken by using
mechanical oil/water separators which have heating elements and by using chemical demulsifiers.
Some pumps and skimmers have attachments for the introduction of chemicals into the equipment
to eliminate oil emulsions.
During spill cleanup operations, a series of oil/water separators can eliminate water from the oil.
Waste water can be treated by aeration to remove volatiles, the filtration, ultra-filtration or activated
carbon adsorption to remove nonvolatiles. Oily material collected is usually biodegraded, but if
possible, recovered oil should be reused. Water is returned to the environment.
6/91 26
-------
Water drain valve
A. 55-gal. drum oil/water separator.
Slotted barrel used as weir
-~U^Q2_ b-Jeq^-'v*>j
I^Wfe^^1^
B. 55-gal. drum and sump oil/water separator.
FIGURE 1
OILAVATER SEPARATION
6/91
27
-------
Choosing a pump to transfer oil should be carefully considered. Some pumps may emulsify the oil
and water picked up while other pumps may not work well against a strong back pressure. A
general description of pump types follows:
Centrifugal Pumps
• can pump at very high rates
• simple, rugged, inexpensive and easy to repair
• best suited for pumping water or low viscosity oil
• will emulsify oil and water if pumped together
• sensitive to debris, especially stringy material
• cannot pump against high back pressure
Diaphragm Pumps
• simple, one moving part construction
• handles thick slurries and debris without stalling
• lends itself to ultra-safe, compressed air operation
• moderate tendency to emulsify oil and water
• cannot pump against high back pressure
• gives pulsating flow - undesirable for weir skimmers
Positive Displacement
• handles extremely high viscosity slurries or emulsions
• can pump against extremely high back pressure
• can pass debris up to two inches in diameter or more
• only slight tendency to emulsify oil and water
• generally more difficult to repair in the field than other type pumps
• more expensive than centrifugal or diaphragm of equal capacity
Vacuum Systems
• extremely gentle treatment of the fluids handled
• handles all kinds of debris up to several inches in diameter and several pounds in
weight
• can pick up "chocolate mousse" in thick or thin layers from water or land surfaces
• cannot lift a water column more than 30 feet
• vacuum pump is usually large and expensive
• usually requires a large integral storage vessel to contain the recovered fluid.
Transportation of liquid debris is usually by barge, tank truck or railroad tank car. However, trucks
with sealed drums can also be used. If using a tank truck, the size of tank truck chosen can depend
on weight limiting roadways or bridges near the spill scene. For solid debris, the main problem has
been oil dripping out of flat-bed or dump trucks. As oil solids warm, oil drips off of the solids and
6/91 28
-------
onto the truck bed and onto roadways or parking areas, causing driving hazards and more cleanup
problems. Plastic sheeting should be used in truck beds to reduce this problem.
The second consideration involves disposal options in the spill area. Generally, the options used to
dispose of oily debris are:
1. reuse of oil
2. controlled burning
3. biodegradation
4. landfill
5. burial
Reuse of Oil
There are several possibilities for reuse of oily debris. Oiled sand and gravel can be used
in road construction. However, the oily aggregate should be checked for leachability of toxic
compounds. The materials can be stabilized by mixing the oily aggregate with a binding
agent, such as lime. Oily liquids have been used in road construction, as well as in dust
suppression on gravel and din roads. In coal burning power plants, oily liquids can be
sprayed on coal piles to suppress dust. Some power plants can burn waste oily liquids with
their other feedstock.
Another reuse possibility is recycling oily debris into waste oil reclamation facilities. Their
acceptance process of an oily liquid may depend on the percentage of water in the liquid and
the amount of other material in the liquid (leaves, sand, etc.).
Controlled Burning
Open burning of oily debris can sometimes be handled at the spill site after receiving
approval from appropriate regulatory agencies. This is particularly true for small spills in
remote areas. It is best to hire local volunteer fire departments to monitor and control the
fire if a large area is to be burned. The main problem arises from smoke and paniculate
matter which may cause respiratory ailments in some people. Coke and associated particles
have been known to travel up to 50 miles from the burn site.
Burning oil on water is difficult, if not impossible, because
1. oil may be hard to ignite,
2. burning oil heats the slick and causes it to spread,
3. wieking agents may be needed,
6/91 29
-------
4. unburned residue remains (sometimes more toxic than oil),
5. burning creates hazards near population centers, and
6. burning is not effective on weathered or emulsified oils.
However, burning oil between ice sheets where oil is several inches thick is feasible. If oil
is removed from the water, controlled burning can eliminate large quantities of oil debris.
A rotary kiln incinerator has been developed which can pick up oiled sand, burn oil off of
sand and drop sand back on the beach. Industrial incinerators can also be used to burn oil
debris (FIGURE 2). This incinerator uses a blowing overfire air source to recirculate smoke
through the fire to obtain a clean burn.
Burners mounted on skimmer vessels similar to burners used on offshore oil well testing can
burn 50-50 mixtures of oil and water. Also, fireproof boom development will facilitate
burning oil that congregates in thick pools.
Biodegradation
Biodegradation of spilled oil on water is usually not a disposal practice due to the length of
time needed to degrade the oil. However, oil can be degraded on land. The biodegradation
rate is dependent on temperature, pH of soil, and oxygen, water, and nutrient availability.
In the biodegradation process, bacteria, fungi and yeasts break down the oil components
piece by piece.
6/91
30
-------
Overhead Screen
Loading
Underfire Air
FIGURE 2
AIR PORTABLE INCINERATOR SCHEMATIC
In land farming, the oily material must be small in size and degradable such as waste oil, oily
organic matter and salt-water free oil. Land farming can be practiced at exiting sites or by
preparing a site so that oil applied to the soil does not run off or leach into surface or
subsurface waters.
First, oily material is applied to the site. In cool climates, such as southern Canada, one to
two inch thick oil layers are added to a site, while in warmer climates, such as southern
United States, three to four inch thick oil layers are added to a site.
These estimates will vary with soil type, temperature, oil type and oil amount previously in
soil.
Water and short-chained hydrocarbons are permitted to evaporate while the surface is
slippery. Once the site allows a tractor to be driven over the surface, a rototiller, plow or
harrow can be used to break up the oily crust. Some land farm operators claim that deep
plowing to a six-inch depth works best. In warm, humid areas, a rototiller will allow an
e'f.ht- to 14-inch depth for oily material mixing. Subsequent mixing will add oxygen to the
soil which will expedite biodegradation. Mixing can be as often as once a month.
6/91
31
-------
Oil may biodegrade in one to three years under normal land farm practices. In one study,
it was determined that oil decomposed at a rate of about one-half pound of oil per cubic foot
of soil per month. In another study oil was applied at 500 to 1500 barrels of oil per acre per
year using only the upper six inches of soil.
In a study by Shell Oil Company (Houston) 3,000 gallons of refinery waste per acre per
month were decomposed during the summer months. Other biodegradation rates vary from
0.1 to 22 percent of the oil degraded monthly. The use of fertilizer and weekly soil tilling
(aeration) was employed to increase biodegradation rates.
In some cases the biodegradation rate has been doubled by adding fertilizer at the same
application rate as used for corn. Some land farm operators claim that the cheapest high
nitrogen fertilizer is the best fertilizer. Generally, oily waste changes from an oily, black
liquid to a black surface sludge to a dry, cakey soot-like matter that crumbles in the hand.
The soil changes also. An alkaline bentonite-like clay soil that was a very hard cake when
dried changed to a soft loam soil after land farming, presumably due to the addition of
organic matter. Other changes in most oil-conditioned soil are increased soil moisture
retention and increased vegetation growth.
Composting is not a standard disposal practice in the United States. However, in some
countries, oily organic matter has been added to waste garbage sites. Since biodegradation
results in the release of heat, temperatures can increase which will decrease oil viscosity.
This may increase oil penetration in the ground. Oily debris can easily be over-applied to
a garbage site. Proper application degrades most of the oil in a few to several months,
depending on the temperatures.
LandfHIing and Burial
The main difference in landfilling and burial is that landfill sites have been established before
the oil spill, and oil debris can be mixed with other waste in disposal, while burial sites are
established after the oil spill, and oil debris may or may not be mixed with other waste.
Both techniques require approval from the government agency in charge of landfills.
Oily liquids can be stabilized to reduce oil leaching into the ground by the addition of
chemical binding agents, such as quick lime. The chemical will react with the oil to produce
a practically insoluble powder or block.
Site choices should be determined prior to a spill when prices can be agreed upon in a
relaxed climate. Contract disposal services should be investigated to determine if the firm
is financially responsible, technically capable, protected by insurance and reputable. Local
air or water pollution control officers may be able to recommend contractors that meet state
requirements.
6/91
32
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FURTHER READING
CONCAWE 1980. Disposal Techniques for Spilt Oil, CONCAWE Report N. 9180. The Hague,
51pp.
Day, T. 1979. Characteristics of atmospheric emissions from an in-situ crude oil fire. EPS-4-EC-
79-1. Environmental Protection Service, Ottawa, Ontario. 79 pp.
Farlow, J.S. and C. Swanson. 1980. Disposal of oil and debris resulting from a spill cleanup
operation. ASTM Special Tech. Publ. 703. American Society for Testing Materials, Philadelphia,
PA. 147 pp.
Farlow, J.S., D.E. Ross, and R. Landreth. 1977. Practical Recommendations for Oil Spill Debris
Disposal. In 1977 Oil Spill Conference, American Petroleum Inst. pp 265-269.
Hansen, W.G., D.E. Ross, and J.R. Sinclair. 1979. Oil Spill Debris Disposal Hardware System:
Methods for Conceptualization and Development. In 1979 Oil Spill Conference. American
Petroleum Inst. pp. 507-513.
Leo, R. and B. Mill. Disposal of oily sludges and oil spill debris by using the patented OCR-
process. In Proc. 5th Arctic Marine Oil Spill Program Technical Seminar. Environmental
Protection Service, Ottawa, Ontario, pp. 341-348.
6/91 33
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SECTION 11
PARTI
CONTAINMENT AND RECOVERY OF OIL ON GROUNDWATER
Although spilled oil may adhere to soil particles, roots and rocks, changes in land geology or water
regimes can cause trapped oil to enter groundwater. In other cases, spilled oil easily penetrates the
soil to contaminate groundwater. Since oil on groundwater weathers and degrades slowly, if at all,
oil can affect potability and its use in industrial processes for decades or centuries. This is important
since about one-half of the population of the United States depends on groundwater (primarily the
small to medium sized communities and farms).1
Many large groundwater spills have been well publicized. For example, a refinery in Brooklyn,
New York apparently had tanks, pipelines or valves leaking for years. Approximately 20 million
gallons of petroleum distillate was estimated to be under 70 acres of industrial and residential
property2. During the first year of cleanup 95,000 gallons were recovered. Oil recovery will take
years. An estimated $3 to 4 million will be spent on recovery and cleanup3.
Small spills can also influence groundwater use until the oil product has been removed. This section
will discuss groundwater oil movement, groundwater monitoring, oil containment and oil recovery
techniques.
OIL ON GROUNDWATER
When oil penetrates the subsoil to the groundwater or aquifer, the oil can move on top of the
groundwater by spreading and by groundwater flow. The water table is that level of the water
observed in wells. However, in soils, water can rise above the water table due to capillary action.
Just as the liquid level will appear higher in a straw or the corner of a towel will transport water into
a towel, water sill fill spaces in the soil above the water table. Oil entering this water will spread
and move on the capillary fringe (FIGURE 1). The capillary fringe can vary from three to 72
inches, depending on soil pore geometry. Permeability indicates a soil's ability to allow fluids to
pass from one space in the soil to other spaces in the soil. Larger spaces due to large soil particle
size have higher permeability; therefore, low permeability may be one-half inch per year and high
permeability several feet per year.
6/92 1
This part of the Inland Oil Spill Training course manual was reproduced by permission of The Occupational and Environmental Safety Training
Division of the texas Engineering Extension Service, The Texas A & m University System.
-------
PNSATURATED
' SOIL '•
CAPILLARY
FRINGE
SATURATION LEVEL (WATER LEVEL)
« WATER FLOW
FIGURE 1
OIL ENTERING GROUNDWATER (horizontal view)
At first, oil thickness increases under the influence of continued descending oil. The force or
pressure exerted by the accumulation of oil will displace water in the capillary fringe and possibly
in the groundwater. As gravity influences the oil to spread and the pressure is released, the
groundwater returns to its former level. In a uniform soil (all gravel, sand or silt) oil will spread
and move with water flow and form an egg-shaped oil plume (FIGURE 2).
~; WATER FLOW:
FIGURE 2
OIL ON GROUNDWATER (tangential view)
6/92
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If the oil comes into contact with a different size soil particle layer or rock fissure, it will change
the oil spreading pattern. An impermeable layer would not only change the shape of the plume, but
also change the direction of oil flow as shown in FIGURE 3.
AFTER FLOW
Z* IMPERMEABLE
FIGURES
OIL ON GROUNDWATER WITH IMPERMEABLE LAYER
As oil flows come oil (25 to 40 percent) will fill pore spaces, adhere to soil particles and rock
surfaces and become immobile4, while soluble oil components can mix into the groundwater. If
enough oxygen is available slow bacterial and/or chemical decomposition can occur. In some cases
decomposition increases water soluble components up to 10 times5. Although the factors which
affect oil movement on groundwater are many and often interact with each other, spreading can be
estimated using the following formula6:
Where:
S
V
A
R
D
F
K
S = {(1000)(V) -
maximum spread of oil on the water table in m2
volume of infiltrating oil in m3
area of infiltrating at surface in m2
retention capacity of soil above water table in liters/m3
depth of water table
oil contained above capillary fringe in liters/m2
the approximate correction factor in various oil viscosities
K for gasoline = 0.5
K for kerosene = 1.0
K for light fuel oil = 2.0
"R" and "F" values are in TABLE 1
6/92
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TABLE 1
"R" and "F" VALUES FOR VARIOUS SOIL TYPES
SOIL
Stones, course gravel
Gravel, coarse sand
Coarse sand, medium sand
Medium sand, fine sand
Fine sand, silt
R
5
8
15
25
40
F
5
8
12
20
40
In using this formula, inherent errors in data can result from water table fluctuations (rises or falls
with the season) and by underestimating or overestimating "D" (the depth of groundwater). Also,
oil thickness on the water table is not the same as oil thickness measured in wells. In some find sand
or silt soils, oil in a well might be lower than oil on the groundwater. This is due to a break in the
capillary fringe caused by the well.
However, the thickness of the product in a well is more of an indication of the rate the product
moves through the soil or the position of the well in the plume7.
The movement of oil due to groundwater flow can be estimated by the following equation8.
Q = 1/2 P {(h22 - h,2)/L}
Where:
Q
P
h1
h2
L
flow rate of groundwater in m3/day/m
permeability in m/day
height of groundwater
height of groundwater
length or distance between ht and h2
Both of the estimates are usable for shallow groundwater problems or initial planning for deep
groundwater problems. However, in deep groundwater problems, before time and money are spent
on containment and recovery techniques a monitoring system should be initiated to delineate plume
characteristics and to aid in effective containment and recovery9.
OIL IN GROUNDWATER MONITORING
The first step in successful groundwater monitoring is the preliminary investigation. Information
sources such as U.S. Geologic Survey maps and tables, Soil Conservation Service maps and tables,
state geologic surveys, water resource personnel, university geology departments, city water
department maps and personnel, past oil company personnel or companies that have drilled in that
area and consultants can be used. The information gathered can help you determine:
6/92
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1. groundwater flow characteristics
2. aquifer to surface water boundaries
3. recharge areas
4. local abstraction points (i.e., city groundwater wells)
5. flow mechanisms through fissured or highly permeable zones
The second step in field investigation. Such an investigation may include soil samples, water
samples or other hydrogeologic tests. Soil samples may be examined for grain size in order to
accurately define the nature and location of the soil horizons. From core samples one may also
determine the porosity of each soil horizon. The boreholes may be used for water permeability
measurements. In addition, hydrocarbon percolation tests may be made. The groundwater head
distribution may be studied by inserting standpipes (for monitoring he water level) into the completed
boreholes. Ground penetration radar can be used for defining geologic sequences, investigating
fractures and locating buried objects. Electromagnetic frequency techniques can graphically show
horizontal and vertical characteristics such as aquifer boundaries and geologic interfaces10. Both of
these latter methods can improve mapping of oil plumes over plume estimates from just drilling
wells. In fact, using these methods, in some rare cases, may prevent unnecessary drilling.
With some highly volatile products, the spread of the plume can be monitored by the vapors
migrating through the soil surface. Although its presence in basements, oiled wells, trenches and
along disturbed soils (i.e., buried pipelines) can indicate where the oil is, its absence does not
indicate that the oil is not present. Shallow boreholes and hydrocarbon monitors or explosimeters
can help identify vapor penetration5. Field investigation may include choosing a water sampling
program. A water sampling program may involve drilling wells, water and soil analysis and/or
mathematical modeling to estimate plume size and oil movement.
Generally, monitoring wells can be classified into three types: a piezometer, observation well and
a pumping well. A piezometer is a small diameter well that is tightly sealed so that detection of
static pore water pressure can be used to determine the true direction of groundwater flow measured.
More than one piezometer can be installed in a well boring by sealing piezometers at different depths
from each other. Piezometers can be either pneumatic or electric11.
An observation well is larger in diameter than a piezometer well and is used to measure oil/water
levels. Observation wells have been used to determine the direction of groundwater flow by injecting
a tracer such as fluorescein, Rhodamine WT or salt water among a number of observation wells12.
While a pumping well is the largest in diameter of all, it is used for the introduction of pumps or
other equipment. Water samples can be obtained from observation and pumping wells. However,
certain problems may arise in each well type.
Not only is the type of well important but also where one drills a well. Permission must be obtained
from those individuals or companies that have surface and mineral rights. The location of
underground structures such as gas, petroleum, or water pipelines, powerlines, telephone lines, sewer
lines and storm sewer lines should be identified and visibly marked.
Monitoring wells should be placed in a down gradient direction to the flow of groundwater and
spaced far enough apart to determine plume size. At least one well should be drilled up gradient to
ensure that oil was not missed. Monitoring wells should be used to confirm the preliminary findings.
Some situations can complicate groundwater monitoring and oil recovery. One of the more difficult
situations involves a land spill on or into bedrock13. The oil moves into fissures and crevices and
along joints of bedded rock and bedding planes. The upper layers of limestone, basalt and sandstone
usually show pronounced fissuring, especially if the area is in a zone of tectonic disturbance.
6/92 5
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Predicting the underground movement of oil in such areas is quite difficult. Spilled oil may follow
fault lines in the direction of their dip. Sometimes recovery wells may be drilled along a fault line
to intercept the spilled oil (FIGURE 4). This technique in particular requires sound geological
information before attempting any drilling operations.
PERVIOUS LAYER . '
u--\
IMPERVIOUS LAYER -
IMPERVIOUS LAYER
• "\ ^*r ^-~ ^— \
FIGURE 4
RECOVERY WELL ALONG FAULT LINE
In limestone, gypseaous and saliferous rock, wide fissures, crevices and solution channels may be
present (FIGURE 5). This represents a most difficult case, as solution cavities may hold
hydrocarbons for years, releasing them only in time of drought or flood. In central Pennsylvania
in 1958, 50,000 gallons of crude oil were lost in a limestone terrain honeycombed with solution
channels. Recovery wells were drilled and much of the product was retained on the site. However,
in the mid-1960's a drought caused the water table to drop and oil stored in the limestone was
released, causing water well contamination. The problem persists today14.
One method used in such areas to trace dispersion direction is fracture trace analysis. Air photo
interpretation is used to find the major fractures which could be transporting the spilled product14.
Observation wells may then be drilled in order to locate the oil.
These combined data offer a working knowledge of15.
1. the amount of hydrocarbon that must be spilled in order to reach the
groundwater.
2. the direction and rate of migration of the product once the groundwater is
contaminated,
3. the geological or hydrogeological boundaries that exist, and
4. the rate at which the product may be extracted from the ground.
6/92
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' ' - PERMEABLE SOIL
•— 'TRAPPED OIL
SOLUTION CHANNEL
WATER MOVEMENT
FIGURES
SOLUTION CHANNELS IN LIMESTONE
This information can be translated into a cross-sectional map showing the probable direction of travel
of the oil as it follows the groundwater system (FIGURE 6).
STREAM
FIGURE 6
SAMPLE GROUNDWATER SYSTEM
6/92
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SAMPLING DEVICES FOR MONITORING WELLS
Sampling devices may be as simple as an observation well with oil finding paste on a stick or as
complex as intricate well casings which are designed to take samples and pressure readings at various
depths. Although existing wells may be used, date analysis can become complicated. Drilling fluids
can change the chemical or biological well environment, water from several aquifers can flow into
a single well, surface contamination into a well can occur, and casing materials and pumping
equipment can contaminate sampled water16. High concentration of oil in groundwater may not
require great accuracy in measurements so that polyethylene pipe casings can be used. However,
when accurate samples are needed, a number of problems exist on choosing materials.
1. metal surfaces can catalyze certain chemicals (i.e., iron),
2. lubricants from pumps, oils on pipes, and glues from pipe joints can
contaminate samples, and
3. plastics in pipes, transfer hoses, or sample bottles can absorb some organic
contaminants or bleed contaminated elements, affecting samples17.
To avoid problems, metal or plastic materials should be soaked and washed before use in boreholes
and glues should not be used in joining well casings. In constructing sampling wells for trace
concentrations of some oils, glass or teflon materials may be needed in well casings or sampling
apparatus16.
Sample devices vary with the number of samples per well and with well depth. In the past, obtaining
multiple samples at various depths has required sampling in different wells. Recently a single well
with a multiple sampler has been used to obtain the same results11.
Shallow aquifer sampling (less than 30 feet from surface) will allow the use of vacuum pumps to
transport samples out of wells. However, deep aquifers (greater than 30 feet from surface) will
necessitate submerged pumps or air-lift systems. The air-lift system is a pressurized inert gas system
with chambers and check valves to force samples to the surface. The advantage of an air-lift system
is that samples are not oxidized since it does not contact any oxygen in the air. Several air-lift
systems can be used within a single well if separated by seals. They become increasingly cost
effective with increasing depths. The major problem with the air-lift system is that the check valves
used in sample transfer can become clogged with soil particles if samples are not screened
properly17.
For deep wells, changes in pressure can cause chemical changes such as precipitation in the sample17.
With the additional data from samples, accumulation of oil and direction of flow can be confirmed
and recovery devices can be placed for the most cost effective program.
PRODUCT RECOVERY
Some of the oil on groundwater can be removed three ways:
1. Open trenches
2. Back filled trenches with recovery crocks
3. Extraction wells
Water table depth and embankment slumping are the primary factors in selecting a recovery device.
6/92
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When water table depth is less than nine feet (3m) from the surface, trenching can be an economical
-?thod in oil removal. The depth of the trench should be about three feet (1m) below the
groundwater level and the width no more than six fee (2m). Where possible the trench should span
the entire down gradient edge of the oil plume (FIGURE 7).
Oil skimmers or vacuum lines can be lowered into the trench to recover oil and a groundwater
depression pump used to increase the rate of oil and water flow to the trench. If the trench cannot
be extended along the length of the oil plume, an impermeable barrier can be installed to divert
liquid flow towards the trench. For example, bentonite clay slurry can be pumped into narrow slots
in the ground or sheet pilings can be inserted or driven into the groundwater or aquifer base10.
PLUME
BOUNDARY
TRENCH
FIGURE?
AERIAL VIEW OF TRENCHES
When open trenches cannot be maintained because they rapidly fill with mud or if freezing weather
would freeze water in/on open trench, a recovery crock can be used. A recovery crock consists of
a pipe that reaches from the surface to about six feet (2m) below the water table. Some pipes can
be up to six feet in diameter. The pipe is perforated with slots or holes (2.5 inches) to allow oil and
water to enter. After a hole is dug larger than the diameter of the pipe, pea-gravel is placed in the
bottom of the hole to decrease turbidity by limiting soil particle movement as water levels change.
Next, the crock (pipe) is lowered into the trench so that the end stands on the gravel bed. Before
the trench is filled in with a porous material (gravel, sand), a plastic lining or other impermeable
barrier is used to line the down gradient side of the trench above and especially below the water table
to guide oil to the crock and halt oil plume migration (FIGURE 8). A variation of this system is
to have radiating interconnecting perforated pipe at the water table to guide the product to the crock.
6/92
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Ditch
IB
Top View
Sump
IB
To The Separator
;J£rr— ~t f,f ."_ ". "L 1 . '^\
Longitudinal
Section
Depressed Wucnable
Undisturbed
Waienable
Bacldli;
Cross-Section
FIGURES
RECOVERY DITCH WITH SUMP6
Product in crocks can be removed with skimmers or vacuum devices. Further, a groundwater
depression pump can be used to create a cone of depression to encourage liquid flow toward the
crock and increase oil recovery rates (FIGURE 9).
For deeper water tables, augers, water jets, driven well points and rotary rigs can be used to dig a
recovery well (TABLE 2). Wells should be dug deep enough below the water table to allow for any
groundwater depression techniques used. Auger types vary. Hand held power augers with six
inches outside diameter can drill to eight feet. Truck mounted augers with two inches outside
diameter can drill to 120 feet. Hollow stem augers may be used to take undisturbed soil samples.
Rotary rigs can be used for sampling soil when drilling and for sampling water upon completion of
the observation well. Depths of 1500 feet can be drilled.
6/92
10
-------
Feed
Trenches
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FIGURE 9
COLLECTION WELL WITH FEEDER TRENCHES6
6/92
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Basically, wells can be classified into three types:
1. Single pump well
2. Double pump well
3. Double shaft well
Single pump wells use one device to remove oil and contaminated water such as a skimmer or
vacuum device (FIGURE 10). The major problems with single pump wells are: large volumes of
oil and water require large capacity storage, separators are needed to treat oil/water mixtures, some
pumps emulsify water with oil and the pump must be able to handle air, liquid and debris. The
advantages for the single pump well are: they can be less expensive to install and operate than other
recovery wells (especially when needed for a short time) and they are effective when low oil/water
recovery rates are expected.
:;.'Water-level;^
FIGURE 10
SINGLE PUMP RECOVERY SYSTEM6
The double pump well combines a product recovery device and a groundwater depression device into
a single well (FIGURE 11). The double shaft well is similar to the double pump well except the
oil recovery device and the groundwater depressing devices are in separate well casings (FIGURE
12). The separation of devices allows better regulation of water level and flow within the well. The
main advantages of double pump and double shaft wells are: they are cost effective for large spill
volumes, they can recover relatively pure products and they can be made fully automatic6.
6/92
14
-------
TO PRODUCT STORAGE
TO SEWER, DRAINAGE, ETC.
WER CABLES
SOLID CASING
SLOTTED CASING
(WELL SCREEN)
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DOUBLE PUMP RECOVERY WELL
6/92
15
-------
TO DRAIN —
— TO COLLECTION TANK
JPERFORATE
. rUTER SHAFT
A*M.*V'.
•STATIC LEVEL
4CONE OF]
DEPRESSION
FIGURE 12
DOUBLE SHAFT WALL
When the groundwater depression device creates a cone of depression, care must be taken to avoid
pumping the well dry or severely lowering the water level around any one well. Past problems with
this technique include: oil displacing water in the soil and causing additional contamination and
surface subsidence by collapse of geologic structures6.
In using groundwater depression pumps, provisions must be made to handle large volumes of water
pumped from a well. Oil-water separation should be used before water is either transported to a
waste handling facility or discharged onto the land. In some cases water can be reinjected into the
ground to increase the recovery rate by flushing oil to the recovery point. In some cases, water has
been added to the surface at the spill location to flush oil through the soil and to increase recovery
rates. The non-residual oil droplets and soluble oils will be moved. It is most effective with light
products such as gasoline, diesel and kerosene. In applying large volumes of water to the spill site,
the cone of depression must be maintained to keep flowing oil within the recovery area. If
government regulations require purification before discharging water in or on the ground, several
methods are available for treatment18.
Reverse osmosis uses high pressure to force a solvent (i.e., water) through a membrane but not the
solute (i.e., oil). It is used primarily for removing dissolved organic chemicals. Ultrafiltration is
similar to reverse osmosis but can remove larger organic molecules. Aeration with the use of air,
ozone or hydrogen peroxide oxidizes dissolved hydrocarbons. Biological treatment uses bacteria to
6/92
16
-------
break down organic molecules on specially prepared carbon particles. Some other techniques such
as ion exchange and chemical treatment are usually not as effective as previously mentioned
techniques. Where high quality water is required, a combination of techniques can be devised, such
as an oil-water separation, followed by aeration and activated carbon filtration.
SAFETY
When flammable materials are being recovered, fire prevention should be considered. Be sure
submersible pumps are explosion proof and be sure pumps, engines and other igniting sources are
kept at least five feet from recovery wells. Electric underground cables should always be protected.
SUMMARY
Oil on groundwater can be a serious problem. It can contaminate water used for drinking, irrigation
or industrial processes. Characteristics such as oil volume, oil viscosity, land area contaminate,
depth to water table and soil permeability will influence the amount of oil reaching the groundwater.
The hydrogeologic factors within the aquifer will influence oil migration on the groundwater.
Therefore, groundwater monitoring is necessary to have effective location and recovery of product.
Monitoring should include thorough preliminary investigation and field investigation. Field
investigations require sampling that does not contaminate soil and groundwater samples. Sampling
devices vary from sample probes to complicated well borings with intricate sample casings and
sample pumps. Also, complications can arise in sampling due to highly fissured bedrock, solution
channels in limestone and irregularities in bedding planes.
Products can be recovered using open trenches, filled trenches with recovery cracks or extraction
wells. A properly constructed well can recover oil from a large area surrounding the well. Care
must be taken in pumping large quantities of water from an aquifer. Water recovered may be
required to be treated before discharge. Well types used are simple pump, double pump and double
shaft wells. Well choice will depend on the situation.
Safety precautions must be taken when dealing with volatile products.
LITERATURE CITED
1. Josephson, J. 1980. Safeguard for groundwater. Environmental Science and Technology
14(1): 38-42.
2. Strauss, W.A., Jr. 1980. Managing petroleum spills in groundwater: a systems approach.
In: Proc. 1980 National Conference on Control of Hazardous Material Spills, pp. 207-209.
Vanderbilt University, Nashville, TN.
3. Van der Leeden, F., O.C. Braids and J.L. Fleishell. 1980. The Brooklyn Oil Spill. In:
Proc. 1980 National Conference on Control of Hazardous Material Spills, pp. 245-249.
Vanderbilt University, Nashville, TN.
6/92 17
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4. Dietz, D.N. 1980. The intrusion of polluted water into a groundwater body and the
biodegradation of a pollutant. In: Proc. 1980 National Conference on Control of Hazardous
Material Spills, pp. 236-244. Vanderbilt University, Nashville, TN.
5. Schwille, F. 1981. Groundwater pollution in porous media by fluids immiscible with water.
Sci. Total Environ. 21: 173-185.
6. Concawe. 1981. Revised, Inland Oil Spill Cleanup Manual. Rept. No. 7/81. 152pp. Den
Haag.
7. Fetter, C.W., Jr. 1980. Applied Hydrology. Charles E. Merrill Publ., Columbus, OH.
8. American Petroleum Institute. 1972. The migration of petroleum products in soil and
groundwater, principles and countermeasures. Publ. No. 4149 pp. 36. American Petroleum
Institute, Washington, DC.
9. Cherry, J.A. and P.E. Johnson. 1982. A multilevel device for monitoring in fractured rock.
Groundwater Monitoring Review 2(2): 41-44.
10. Naymile, T.G. and M.J. Barcelona. 1981. Characterization of a containment plume in
groundwater, Meredosia, IL. Groundwater 19(5): pp. 517-525.
11. Mida, K.W. 1981. An economical approach to determining the extent of groundwater
contamination and formulating a containment removal plan. Groundwater 19(1): pp. 41-47.
12. Osgood, J.O. 1974. Hydrocarbon dispersion in groundwater - significance and
characteristics. Groundwater 12(5): pp. 427-438.
13. Pettyjohn, W.A., W.J. Dunlap, R. Cosby, and J.W. Keeley. 1981. Sampling groundwater
for organic contaminants. Groundwater 19(2): pp. 180-189.
14. Wilkinson, W.B. and K.J. Edworthy. 1981. Groundwater quality monitoring system -
money wasted? Sci. Total Environ. 21: pp. 233-236.
15. Jones, F.L. and R.A. Jones. 1983. Guidelines for sampling groundwater. J. Water Polut.
Cont. Fed. 55(1): pp. 92-96.
16. Morrison, R.D. and P.E. Brewer. 1981. Air-lift samplers for zone of saturation monitoring.
Groundwater Monitoring Review 1(1): pp. 52-55.
17. American Petroleum Institute. 1980. Underground spill cleanup manual. API Publ. 1628.
pp. 34. American Petroleum Institute, Washington, DC.
18. Ghessemi, M.K. Yu and F.J. Freestone. 1980. Applicability of commercialized wastewater
treatment techniques to the treatment of spill-impacted waters. In: Proc. 1980 National
Conference on Control of Hazardous Materials Spills, pp. 65-71. Vanderbilt University,
Nashville, TN.
6/92 18
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FURTHER READING
Duffy, J.J., E. Peake, and M.F. Mohtadi. 1980. Oil spills on land as potential sources of
groundwater contamination. Environ. Intl. 3: pp. 107-120.
Fronczak, R.E. and K.K. Mersey. 1981. Oil in groundwater: An Industry's Analysis and Remedial
Action. In: 1982 Hazardous Material Spills Conference, April 19-22, 1982, Milwaukee, WI. pp.
311-328. Government Institutes, Inc., Rockville, MD.
Kazmann, R.G. 1981. An introduction to groundwater monitoring. Groundwater Monitoring
Review 1(2): pp. 28-.
Minugh, E.M., J.J. Patey, D.A. Keech, and W.R. Leek. 1983. A case history cleanup of a
subsurface leak of a refined product. In: Proc. 1983 Oil Spill Conference, pp. 347-403.
American Petroleum Institute, Washington, DC.
Saines, M. 1981. Errors in interpretation of groundwater level data. Groundwater Monitoring
Review 1(1): pp. 56-61.
Saunders, W.R., R.W. Castle, and C.R. Foget. 1983. Delineation of subsurface petroleum spills
using terrain conductivity measurements. In: Proc. 1983 Oil Spill Conference, pp. 415-417.
American Petroleum Institute, Washington, DC.
Slawson, G.C., Jr., K.E.Kelley, and L.G. Everett. 1982. Evaluation of groundwater pumping and
bailing - application in the oil shale industry. Groundwater Monitoring Review 2(2): pp. 27-32.
Willman, J.C. 1983. Case history: OPEC in southern Idaho. In: Proc. 1983 Oil Spill
Conference, pp. 389-391. American Petroleum Institute, Washington, DC.
6/92 19
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SECTION 11
PART II
OIL SPILLS IN THE ENVIRONMENT
WHY PROTECT THE ENVIRONMENT
Our natural environment is a dynamic and constantly changing system. In addition to providing the
basic needs of man, such as food and oxygen, our environment offers recreation, aesthetic beauty,
and a laboratory for studying the living world,
One reason that biologists are concerned with the fate of plants and animals that have no apparent
value is that living organisms form complicated and often delicate units that can become unbalanced
by outside influence. Damage to a seemingly insignificant part of the chain can result in the eventual
reduction in valuable species.
Our environment is quick to respond to new influences, such as an oil spill. The extent of the
damage (often it cannot be measured) and the period of recovery depend on a number of actors that
will be covered in this section. One role of the cleanup supervisor is to be alert to environmentally
sensitive areas and know how to minimize damage from a spill.
THE MARINE ENVIRONMENT
The marine environment can be divided into several zones (FIGURE 13). The zones of most
concern are the intertidal and subtidal zones to a depth of 50 feet because these zones are most likely
to be affected by oil spills. Each of these zones has a characteristic plant and animal association that
is often described as being in balance. Many of the organisms have a very limited ability to cope
with changes in their environment and will die if an extreme change occurs. Since many numbers
and types of organisms exist in the intertidal zone, it is important to keep spills from reaching
shoreline areas.
6/92 21
This part of the Inland Oil Spill Training course manual was reproduced by permission of The Occupational and Environmental Safety Training
Division of the texas Engineering Extension Service, The Texas A & M University System.
-------
FIGURE 13
ZONATION IN THE MARINE ENVIRONMENT
The intertidal zone is the part of the marine environment that lies between the high and low tide
marks (FIGURE 14). This zone is generally exposed to air at least once a day and the organisms
living there must endure very harsh conditions such as drying, freezing, heating, wave shock, bird
predation, etc.
Intertidal habitats include three basic types: rocky, sandy, and muddy. The intertidal zone, as
demonstrated by the rocky shore (FIGURE 14), is divided into upper, mid, and lower intertidal
areas. The upper intertidal becomes wet when the tide is high and dries at low tide. Oil splattered
on warm, dry substrate sticks readily and thick accumulations of oil can occur. Fortunately, the
upper intertidal zone also has smaller plant and animal populations than the zones below.
The mid intertidal zone generally stays moist when the tide is out and oil has less chance to adhere.
This zone has larger populations of organisms than the upper intertidal. Common rocky mid
intertidal organisms are barnacles and mussels.
The lower intertidal zone stays wet even at low tide because of wave action. Oil generally has the
least chance of sticking, and if is does, it forms fairly thin layers. However, because the organisms
in this zone are submerged much of the time, they have a better chance of being affected by toxic
oil fractions dissolved in the water. In the lower intertidal are numerous types of seaweeds, clams,
worms, starfish and small crustaceans. The richness of marine life increases greatly with increase
in depth in the lower portion of the intertidal zone.
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Supraridal
Periwinkle Snails
Dries out between tides.
Oil can stick to warm, dry
surfaces.
Stays moist between tides.
Oil less likely to stick.
Stays moist.
Oil not likely to stick.
Mid Intertidal
Lower Intertidal
FIGURE 14
ZONATION OF ORGANISMS ON ROCKY SHORES
Sandy and muddy intertidal habitats usually appear barren when compared to rocky habitats where
the organisms can be easily seen. This is deceptive because the majority of animals live beneath the
surface, either burrowing through the substrate or living in tubes. Sandy habitats occur when wave
action keeps clay particles from settling and allows only heavier sand grains to remain on the beach.
Muddy habitats occur where wave action is absent or very slight.
Sandy mid intertidal organisms include burrowing shrimps, mole crabs and several types of worms.
The lower intertidal harbors clams, snails and worms (FIGURE 15).
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23
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GHOST CRAB &.
BURROW
GHOST SHRIMP
BURROW
MOLE
UPPERINTERTIDAL
LUG WORMS
CLAMS
MID 1NTERTIDAL
LOWER 1NTERT1DAL
FIGURE 15
ZONATION OF ORGANISMS ON SANDY BEACHES
Muddy areas usually have numerous tidal channels and extensive grass or mangrove flats. These
areas are often called marshes. They are characteristic of many asterion shores and are dominated
by grasses in the temperate climates and mangrove trees in the tropics. Marshes are very important
in the marine ecosystem (FIGURE 16). Marshlands serve as nursery areas for many commercial
as well as non-commercial species. There is a great amount of plant production which furnishes food
for the organisms living in the marsh and in the adjacent estuary. Marshes also support an abundant
variety of wildlife and are important in shoreline stabilization to prevent erosion.
INSECTS
MARSH
PERIWINKLE
SNAILS
• INTERTIDAL
I ^ CLAMS
Young
Shrimp
CLAMS *• SNAIL
FIGURE 16
TYPICAL MEMBERS OF A MARSH ECOSYSTEM
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The subtidal zone is always under water (FIGURE 17). As such, it will be affected by the oil
fractions which can dissolve in water. This zone is inhabited by many different types of plants and
animals.
PLANKTON
WORMS
CLAMS
SNAILS
CRABS
FIGURE 17
ORGANISMS OF THE SUBTIDAL ZONE
Plankton consists of the mostly microscopic plants and animals that possess little or no power of
locomotion and are carried about by water masses or currents. Phytoplankton (plants) are very
important producers of food and oxygen. These small organisms trap sunlight and use it to convert
chemicals in the water to living plant material. They release oxygen in the process. Since light
intensity decreases as light penetrates the water column, most phytoplankton are located near the
ocean surface.
Zooplankton (animals) feed on living and dead phytoplankton and in turn are eaten by other
organisms. Some zooplankton are immature stages of ocean floor animals and fish, while others
pend their lives in the plankton.
Very small organisms such as bacteria live in and on the ocean floor and constitute a major food
source for many animals. Many feed on waste matter and the remains of dead animals and plants.
Larger animals (crabs, shrimp, clams, snails, worms, etc.) also live in and on the ocean floor. In
many cases an ocean floor that appears lifeless on casual inspection, actually harbors a great variety
of animals.
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These bottom dwelling organisms have many ways of feeding such as filtering the sediments and
digesting the organic matter and bacteria; eating plankton; eating dead organisms; or eating other
ocean floor animals. The seaweeds living on the sea floor also contribute to the food available in
the ocean and release oxygen.
The various types of fish display a number of feeding habits. They feed on intertidal organisms, on
bottom dwelling animals, on plankton, on seaweeds and on other fish. The fish are eaten in turn by
larger marine mammals (seals, sea lions, whales, etc.) and by man.
All these plants and animals are interdependent on each other, and the relationships can be quite
complicated. FIGURE 18 shows a generalized way in which the various types of animals relate to
each other in the food chain. The interdependence can be delicate, and if a disruption occurs, the
system is thrown out of balance. This disruption can be caused by oil spills. Under natural
conditions, population numbers for any given organism fluctuate on a regular basis. As reproduction
occurs, the population rises, and when individuals are weeded out by death or by being eaten, the
population falls, because of the interdependence between organisms, a second organism may have
a population cycle which is the opposite of the first (FIGURE 19).
PLANKTON-EATING
ANIMALS
ZOOPLANKTON
PHYTOPLANKTON
&
BACTERIA
FIGURE 18
GENERALIZED FOOD CHAIN IN THE OCEAN
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If organisms are killed or damaged by oil in their environment, the most sensitive are likely to feel
the oil's effects first. This unbalances the environment because the population density will shift,
favoring the hardier organisms. If the sensitive and hardy types are in competition for living space,
the hardy types usually take over (FIGURE 19). An example of this is the relationship between
seaweed and seaweed-eating algae. Both are injured by an oil spill, but seaweed recovers faster and
will form dense mats on intertidal surfaces or dense canopies in the subtidal zone. This makes it
more difficult for the algae to increase their population, and the seaweed overruns the area.
RESISTANT POPULATION
ENSmVE POPULATION
1
S
i
TIME
OIL
RESISTANT POPULATION
SENSITIVE POPULATION
FIGURE 19
INTERRELATION OF SENSITIVE LAND RESISTANT TYPES
OF ORGANISMS WHEN EXPOSED TO OIL
It is true that natural disruptions occur in the environment from floods, hurricanes, etc. However,
this in no way lessens the necessity for man to exercise every precaution to keep his activities from
having a major impact on the environment. Many organisms are living naturally near the limit of
their tolerance to many environmental factors, and additional stress by manmade pollutants may have
drastic effects.
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OIL IN THE LAND ENVIRONMENT
The effect from large ocean spills on chemical, physical and biological processes have been well
published and documented1'2> 3, yet the effects from inland spills are not as well known. Although
some experiments on inland organisms have demonstrated physiological stress induced by
hydrocarbons, dynamic spill induced changes in organism populations are only beginning to be
understood.
AREAS TO PROTECT
It will be up to you to become acquainted with the area in which you work and to determine, with
the help of local engineers and biologists, the most vulnerable sites in case of an oil spill.
It is somewhat difficult to arrange a list of priorities, and the following should not be considered as
absolute. The two most important areas to protect are drinking or cooling water intake structures
and marsh lands. The negative public reaction to contaminated drinking water or the shutdown of
industrial plants could be disastrous, and the biological damage from a contaminated marsh could
be significant. In the Gulf of Mexico, about 89% of the volume (Ibs.) of commercial sport fisheries
is dependent on species which spend part if not all of their life history in estuaries. You should
protect the mouths of tidal rivers to prevent oil from being carried upstream during flood tide and
contaminating greater areas. Shorelines should be protected as should oyster and coral reefs.
Lowest on the list of priorities from a biological standpoint are marinas and similar structures.
While oiled boat hulls and marina walls are ugly to the public and difficult (and expensive) to clean,
there is usually far less biological damage done in marinas than elsewhere.
EFFECTS ON HUMANS
Crude oil may not be thought to be highly toxic to humans, but the major chemicals that make up
a crude oil can be harmful (gasoline, benzene, phenols, cresols). The harmful effects can vary from
chronic to acute.4 The problems arise from those hydrocarbons that are distilled from crude. A
major problem with short carbon chained alkanes, such as those hydrocarbons which make up
gasoline, is flammability, but these vapors can also exert a slight anesthetic and depressant effect on
the central nervous system at concentrations from 5 to 10,000 parts per million (ppm) (up to 1
percent of air volume). Larger concentrations (up to 4 percent air volume) may induce narcosis and
convulsions leading to death. At extremely high concentrations, these products can displace inhaled
oxygen and cause anorexia and asphyxiation. A more common problem with alkanes is irritation of
skin and mucous membranes. Carcinogenic, teratogenic or mutagenic effects have not been found
in humans or other mammals.
The aromatics are ringed hydrocarbons such as benzene, toluene and xylene. Although benzene has
been recognized as a toxic substance (as low as 0.7 percent air volume), lower concentrations can
affect the central nervous system (respiratory paralysis, mucous membrane irritation with pulmonary
edema, gastrointestinal irritation, skin blistering, and paraesthesia - loss of tactile sense). The effects
of toluene and xylene are not as extreme. Toluene effects are documented by painters and "glue
sniffers" habituation. Both chemicals can cause fatigue, mental confusion, loss of coordination,
severe nervousness and insomnia as well as skin and mucous membrane irritation. Although benzene
can occur in crude and gasoline, toluene and xylene are not as common.
6/92 28
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Other aromatics such as phenols and cresols occur in some crudes. Since phenolic compounds
(phenols) are acidic, they can be corrosive to skin, eyes, and membranes. They can also induce
nausea, vomiting, difficult breathing, pulmonary edema, headache, visual disturbance, convulsions
and partial paralysis. Many phenolic compounds are readily absorbed into the blood stream and have
acted as carcinogens and co-carcinogens in animals. Cresols also cause skin and mucous membrane
irritation and corrosive tissue burns, especially tissues of the kidney and liver. The microbicidal
effects have long been known, as cresol-treated posts resist the attack of bacteria and fungi.
Crude oils may contain metals which can be carcinogenic, mutagenic or teratogenic. Lubricants
usually contain metals. The effects vary from skin irritation, kidney or liver darrage and cumulative
poisons to death.
Generally, the effects by hydrocarbons can be categorized into five classes:
1. Direct lethal toxicity (death)
2. Sublethal disruption of physiological activities (depression, nausea, narcosis,
convulsions, fatigue, insomnia, pulmonary edema, gastrointestinal irritation,
paraesthesia)
3. Direct physical coating (mucous membrane irritation, skin blistering, death)
4. Incorporation of oil in organisms' body (carcinogenic, teratogenic, mutagenic, death)
5. Alteration of habitat (acidity, heavy metals accumulation, death)
Studies of these effects during actual spills have been limited. Furthermore, many of the acute
effects may require prolonged exposure or heavy doses. However, the chronic effects can bring
about poor worker performance and/or damage claims. Therefore, personal and public safety should
be a primary consideration.
SPILLS ON LAND
When oil is spilled on land, some oil will evaporate, some oil will stay on the surface, and some oil
will penetrate into the soil. Oil that evaporates generally does little harm, as the vapors disperse
below harmful limits. However, accumulated vapors in low lying areas (stream bottoms) or highly
flammable products can ignite and cause thermal damage (burn scars, dehydration, and/or death) to
both plants and animals.
Oil that stays on the land surface can coat plants and animals with varying effects. Total coating can
smother an organism. The effects of partial coating will vary with the season. Generally, plants
coated during the non-growing season (due to cold temperatures, extremely hot temperatures, or dry
season) are affected less than during growing seasons. Plants coated with oil during the growing
season (especially early in the growing season) may cease photosynthesis due to the oil limiting light
from reaching the leaves. The complete or partial oil coating on plant leaves can also be toxic to
the plants7, can reduce seed production8, or can reduce germination9.
Generally, plants that live only one year or less (annual plants) are not as tolerant of oiling as plants
that live more than a year and that can regenerate from roots (perennial plants). This trend has been
found in the tundra where mosses, lichens, and liverworts are affected more than dwarf and woody
shrubs10, in grassland with annual and perennial grasses11, in forests with various trees12'13, and in
marshes with annual and perennial grasses14-15.
6/92 29
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When plants are not tolerant of oil, elimination of plant species can be as high as 90 percent during
the first year after the spill. One the other hand, light oiling has been found to stimulate some
plants5'6. If the number of plants is reduced, the spill can contribute indirectly to soil erosion.
Oil that seeps into the ground can have direct effects on plants (FIGURE 20) and other organisms
that may affect plants or animals. Besides direct toxicity to roots, oil can decrease oxygen in soil
by filling air-filled pores. Kerosene based jet fuels are particularly resistant to oxidation due to the
addition of oxidation inhibitors. Generally, oil oxidation is highest for crude followed by leaded
gasoline, kerosene, motor oils and diesel fuel.
With an increase in oil, some decomposing micro-organisms can increase, which can decrease or
stop plant growth. Oil can reduce nutrient availability and increase toxic elements to plants8'9> 18.
Oil has been shown to interfere with root uptake of water19.
Changes in microorganisms' numbers (bacteria and fungi) can occur after an oil spill (FIGURE 21).
Since bacteria and fungi are necessary for the breakdown of organic matter, including oil, and the
recycling of nutrients, changes in their numbers can affect their ability to degrade organic matter and
supply plants and other organisms with nutrients (FIGURE 22). Oil can change the numbers of a
species by death of microorganisms20 and/or by stimulating growth of other microorganisms21. For
example, a microrhizal fungus (root fungus) aids plants in acquiring nitrogen. Crude oil is known
to decrease these fungi, thereby decreasing plant growth22.
Other problems may result from the fact that some species that degrade oil change an insoluble
hydrocarbon into a more soluble hydrocarbon, such as naphthalene, xylene or benzene, that can
dissolve into the groundwater and cause pollution of potable waters25; also, some species of
microorganisms which may increase after a spill are known to be pathogenic23'24.
6/92 30
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Photosynthesis
Gas Exchange
Water Update
Nutrient Uptake
FIGURE 20
OIL COATING ON PLANTS
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31
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(Vextrebnie Pathogen)
(Oil Eaten)
ABC
Detntal
Decomposer
Increase
Decrease
microorganisms Populations
Nitrogen
Fixer
O H
Dettiul
Decomposer
FIGURE 21
EFFECTS OF OIL ON BACTERIA
Suuieou
XH,-N
PO,-P
Micronutriou
Bio-polymen
More Bacicria
Metabolic By-products
Energy
Sources
KH3 NO,
Fe- FC-I--I--I-
r s
-C- CO3
FIGURE 22
BACTERIA ARE THE PRIME DEGRADERS
The effects of land spills on animals generally are a problem more to small animals with little
mobility than larger animals with greater mobility. Most mammals and bird will avoid oil
6/92
32
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contaminated land unless they are incapable of leaving. For example, two dead sheep were found
after consuming oiled seaweed which was their main winter food source26. Small animals such as
worms, spiders and insects contacting oil can die from oil toxicity or from physical restraint of
highly viscous oils. For example, experimental populations of crickets were reduced by as much as
70 percent due to oil ingestion and integument absorption27.
OILS ON WATER
Oils can enter marshes, lakes, streams or rivers by surface runoff, subsurface oil spreading, oil in
underground water flow or spills on water. Its effects can be toxic enough to cause death or
physiological stress; or it can have few observable effects on plants and animals. Phytoplankton
production (microscopic plants) has declined following exposure to crude28' 29 or has remained
unchanged after crude exposure30. This same variability in response has been found for algae31 and
marsh grasses7'32. This variability may be caused by the type of oil, the amount of time an
organism is exposed to oil, and the physiological condition of the organism. Although the reduction
in productivity may be caused by many factors, a few possibilities are: reduced bicarbonate uptake,
which affects photosynthesis33, and inhibition of DNA and RNA biosynthesis34. The problem with
reduction in production in productivity is a change in population of organisms. In an experimental
benthic algae community, the use of No. 2 fuel oil, Nigerian crude or used crankcase oil depressed
the green algae and diatom production35. Furthermore, this condition allowed blue-green algae to
develop. A reduction in plant productivity will require its predators (animals) to change diet, reduce
growth rate, move to an unaffected area or face starvation.
Oil effects on animals have resulted in wildlife losses as dramatic as some marine oil spills. A crude
pipeline leak under river ice resulted in the death of 10,000 ducks, muskrats and beavers36.
Following an aviation gasoline spill in a stream, 2,500 fish and macroinvertebrates (insects,
crustaceans, snails, worms) died within the first tow miles of the spill37. A diesel spill in a creek
resulted in an estimated 90 percent fish loss and the death of many macroinvertebrates. After a No.
2 fuel oil spill in a creek, 20 carp, a turtle, a beaver and a wood duck died39. Runoff from a
gasoline tank truck collision into a pond resulted in the death of three wood ducks and an
undetermined number of snakes40.
One reason for spill related death to animals is hydrocarbon toxicity. Although freshwater organisms
have not been as extensively studied as marine organisms, oil can cause death or physiological stress
in an animal (TABLE 3). In marine environments, hydrocarbon toxicity can result in individual
death, physiological stress in body organs, behavioral changes and teratological effects41' 42.
Physiological stress includes lesions in veins, intestines, gills, kidneys, and increased respiration
rates. Behavioral changes include reduced chemotactic perception (antenna reception in
invertebrates) which can affect food locating behavior, predator perception, the finding of sexual
partners, aggression and grooming. Teratological effects (especially in birds) include inhibition of
gonadal development, reduced egg production and embryo or young malformations (TABLE 4).
The chance of an organism being affected by a spill will depend on the type of oil (particularly those
with soluble aromatics), time exposed to oil and the physiological condition of the organism.
Generally, those organisms that live at the water's surface or frequently visit the water's surface
(high concentration of soil) will be affected more than organisms deeper in the water column (low
concentration of oil) (FIGURE 23). However, shrimp, a water column species, have been shown
to survive toxicity experiments; yet during spills massive die-offs have occurred as shrimp obtain
6/92 33
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lethal doses by surfacing at night and contacting slicks60. The surfacing behavior is also known for
zooplankton. Although after a spill zooplankton were not affected by oil, they contributed an
estimated 20 percent or more of oil volume to the bottom fecal droppings61.
FIGURE 23
SHRIMP AND ZOOPLANKTON SURFACE AT NIGHT TO FEED
6/92
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diesel) are usually more toxic than highly viscous oils (bunker C, heavy crude, weathered crude), highly
viscous oils usually cause more damage by coating organisms. The highly viscous oils can physically
entrap insects, worms, and mollusks62'63, or reduce the insulation ability of mammal hair or of bird
feathers64'65> 66. Oiled birds and mammals would need to increase body heat 1.7 to 2.5 times greater
than normal to maintain body warmth. This would require an increase in food intake and/or increase
body fat metabolism. Failure to do so can result in pneumonia, starvation and death (TABLE 2). Birds
most often affected in inland waters are the following:
1. divers (loons, grebes, cormorants, pelicans)
2. waterfowl (ducks, geese, swans, mergansers)
3. waders (herons, egrets, sandpipers, plovers, gulls and terns)
4. hawks (peregrine falcon, osprey, bald eagle)
Birds affected least are most land birds (quail, pheasant, jays, starlings, woodpeckers and sparrows).
Marine mammals generally have insulation of fat and hair which provides them protection from loss of
body heat when coated with oil. Except for a few hair seals, marine mammals have few problems with
spills other than eye irritation. However, freshwater mammals, many being small, can have problems.
After the Sullom Voe oil spill13, otters (Lutra lutra) were dead apparently due to oil coating26. Other
evidence from oil sludge pits, tar pits, and oil field spillage pits demonstrates oil's ability to entrap
wildlife, as shorebirds, numerous ducks, herons, mockingbirds, crows, hawks, owls, cottontails, rats,
skunks, toads, grasshoppers, beetles, dragonflies, moths, and butterflies were found trapped in the oil67.
TABLE 4
SUMMARY OF OIL EFFECTS ON BIRDS
Oil on Birds
1. Pneumonia
2. Starvation
3. Death
Oil in Birds
1. Inhibition of gonadal development
2. Reduced egg production in hens
3. Embryo malformation
4. Chick malformation
5. Reduced growth rate in ducklings
Oil on Eggs
1. Embryo death
2. Embryo malformation
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DETERRING WILDLIFE
When wildlife (primarily birds and mammals) can be harmed by a spill, a natural consideration would
be to keep the oil away from the wildlife or the wildlife away from the spill. Although deterring wildlife
can be accomplished, a single technique will not work on all birds or mammals. Furthermore, deterrent
devices may be useless where breeding wildlife have nests, dens or young.
Deterrent techniques have been developed to encourage birds and mammals to stay away from airports,
oil ponds, oil lagoons and other areas68. They use sound stimulus, visual stimulus, or both stimuli to
scare wildlife. Wildlife responses to a stimulus vary. Diving birds, such as loons, grebes, cormorants,
and anhingas will usually dive in response to danger, while non-diving birds, such as dabbling ducks,
gulls and coots, will take flight in response to danger. Molting birds may be incapable of leaving an
area. Wildlife will become habituated to a deterrent device with time. Therefore, deterrent devices
should be used only where wildlife is threatened and should not be deployed due to its availability.
Also, birds tend to contact oil more often at twilight and at night when cleanup operations are few.
Many water birds roost in ponds, lakes, marshes and rivers. Therefore, a good wildlife deterrent must
be mobile, effective over a large area, effective for wildlife threatened at day and night.
Some examples of sound deterrent devices are distress calls, predator sounds, Av-Alarms, pyrotechnics
and gas exploders. Distress calls are recorded calls of a species that when broadcast cause the species
and possibly closely related species to disperse. Although most species are slow to habituate to their
own distress call, some species do not or rarely give a distress call. Predator sounds have been used
in marine environments by using killer whale sounds to disperse seabirds and on land to remove flocks
of birds from trees69. Their use in inland areas has not been tested thoroughly. The Av-alarm is a
proprietary device that produces loud sounds in the frequencies of the species to be dispersed. The
sounds are thought to interfere with the communications of the flock, therefore creating stress in the
species which causes them to disperse. The sounds from one of these devices are also effective on
people. Pyrotechnique devices make a loud noise and/or light flash to scare wildlife, although the stimuli
does not mimic any naturally occurring experience. Some examples are shell crackers, verey flares,
rockets, mortar shells and dynamite. Shell crackers are used in a shotgun. Shell crackers are commonly
used at airports with bird problems. Verey flares shot from a hand gun produce a trail of smoke, a
flare, and a loud pop. When choosing pyrotechniques, oil flammability and operating aircraft should
be considered. Gas exploders use propane or acetylene gas to ignite and produce a loud pop somewhat
similar to a shotgun shell being fired. They have been widely used in agricultural areas to disperse seed
eating birds and in grasslands to disperse coyotes.
Devices that use visual stimuli include scarecrows, dyes, lights, reflectors, hawks and falcons and food
lures. Scarecrows are generally of limited value because wildlife becomes habituated to the device and
it only works during the daytime. However, human effigies in small boats that rock with wave action
have shown some success70. Dyes producing colored water or colored oil could be quickly applied by
aircraft but would be only effective during the day. The testing of eight colors has shown orange to be
the best deterrent with black being the worst deterrent71. Search lights and flashing lights have been
successful at dispersing feeding and flying waterfowl at night. However, search lights may attract some
birds, especially during rain, fog, or heavy cloud cover. This phenomenon is particularly noticeable at
inland areas adjacent to the Gulf of Mexico from the end of March to the middle of May, when billions
of small birds migrate across the Gulf and are attracted to light. In using strobe or flashing lights, the
optimal color tends to be red with a flashing rate of 6 to 12 seconds. However, this rate can stimulate
epileptic seizures in susceptible people. Reflectors such as aluminum pie tins have shown only limited
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success. However, their success has been increased by allowing tins to move. Aluminum tins work best
on sunny days. Similarly, hawks and falcons work well on fair weather days. They require extensive
care and training, and work best over inland areas. Food lures may attract birds away from a spill or
may attract more than a normal number of birds to a spill area. Since a food lure would need to be
placed near the spill to be effective, it may attract high numbers of birds upon continuous use for several
days.
The use of aircraft and model aircraft use both sound and visual stimuli to scare wildlife. Although
aircraft can quickly scare birds away from a large area, some water birds will dive from the stimuli.
Also, many birds will be reluctant to leave wildlife sanctuaries, especially after the start of hunting
season.
SAVING OILED WILDLIFE
When oiled birds or mammals are observed, one may be inclined to "rescue" the oiled animal. Before
an animal is subjected to this stressful situation, a few questions should be answered.
1. Would the animal be better off without being cleaned?
2. Are there nearby facilities for cleaning the animal?
Generally, a light amount of oil may not hinder an animal's daily activity. If an animal is moderately
or heavily coated the animal may be saved if cleaned. However, if cleaning cannot be initiated quickly
(within one day of capture) the changes for the animal's survival diminish.
Another consideration is the legal aspect. Although it is illegal to capture and hold a migratory bird
(includes ducks, geese, swans, cormorants, loons, grebes, herms, egrets and pelicans) without the
appropriate U.S. Fish and Wildlife Service and state permits, the law may be relaxed during an
emergency. Also, a person cannot capture and hold migratory birds until after permits have been
received.
If the animal would be more likely to survive after being cleaned, the first step is to capture the animal.
Depending on the animal type, the rescuer should wear gloves, clothes to cover the body, including the
arms and goggles. These coverings will reduce personal injury from animals that scratch or birds that
attack the eyes. Remember, animals can inflict painful injuries by biting or scratching. Some oiled
animals can be easily caught with a long handled net. However, animals should not be chased until they
collapse due to exhaustion. After an animal is captured, sometimes struggling can be reduced by
covering its eyes with some object to shut out light. Each animal should be placed in a separate
container for transportation. Boxes with lids work well for birds, and garbage cans with lids work well
for smaller mammals.
Ideally, animals should be transported to a rehabilitation center within one hour. Therefore, it is
imperative that rescue operations be preplanned. Even though publications can describe what needs to
be done72'73, without proper training, cleaning efforts can be futile. Trained personnel can be found
through the state agency that issues bird handling permits, the fish and wildlife service, zoos or other
wildlife exhibiting organizations. Organizations that clean oiled animals are:
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International Bird Rescue Research Center
Aquatic Park
Berkeley, CA 94710
Wildlife Rehabilitation Center
84 Grove Street
Upton, MA 01568
Overall, capturing and rehabilitating wildlife should be a planned operation to minimize stress to the
animals. Cleaning wildlife can be successful74'75. In some cases, oiled animals are more likely to
survive without cleaning.
1. Capture
2. Confinement
3. Transportation
4. Cleaning
5. Rehabilitation
6. Release
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FACTORS AFFECTING THE SEVERITY OF OIL SPILLS
The effects of an oil spill on the environment are determined by the interaction of several biological and
non-biological factors. These factors include:
1. The type of oil spilled (chemical and physical nature)
2. The amount and rate of oil spilled
3. Length of time allowed to weather
4. Geographic locality
5. The size of the area affected
6. Meteorological and oceanographic conditions
7. The season
8. The type of biota present in the affected area
9. The cleanup technique used
10. The physical nature of adjacent shoreline, and
11. The occurrence of special biological events such as migrations, mass spawning, egg
laying, etc. which render biota especially susceptible.
These factors vary considerably from spill to spill and therefore the immediate and long-term effects will
vary considerably. As a result, the ecological effects following a spill may range from nil to very severe
(Ocean Affairs Board, 1974).
TYPE OF OIL SPILLED
Oils vary considerably in chemical and physical characteristics. The most toxic components of oil are
the aromatic fractions, most abundant in lighter refined products. Aromatics are quite volatile and
readily lost by evaporation, but they are also the most soluble in water and can be lethal to some
organisms in dilute quantities. Gasolines and naphthalenes are generally more toxic than refined oils
(No. 2 fuel oil, Bunker C), which are usually more toxic than crude oils (Southern Louisiana, Kuwait),
as shown in TABLE 1 (Anderson, et. al., 1974).
Thick weathered oil is much less toxic, but causes much greater mechanical damage. Heavy coats of
oil can incapacitate and smother intertidal animals, or cause them to be dislodged by the excess weight,
which is also fatal to them. Studies have shown that dark soils absorb heat and can cause deaths by heat
exhaustion several months after a spill.
WEATHERING
The means of weathering oil include evaporation, oxidation, dissolving in water, and biological
degradation. From the moment oil is spilled it begins to evaporate. Most toxic constituents are lost in
this way, an with most crude oils about 20 percent is lost in the first 24 hours by evaporation (IMCO,
1973). Heavy fuel oils and lubricating oils lack significant volatile components and are not generally
subject to significant loss by evaporation (Nelson-Smith, 1970). When the spill creates a blanket of oil,
appreciable quantities of these components can come into contact with marine life in the subtidal zone.
The amount dissolved in water is dependent on the status of the oil slick and the amount of weathering.
Studies have shown that water under a thick oil spill may contain 5-10 ppm of oil, but as soon as the
spill breaks up the level drops to about 1 ppm or less. On the other hand, sea water under a blanket of
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benzene may have about 1500mg/L benzene in solution that is highly toxic to many marine organisms.
fe However, benzene evaporates rapidly and should be completely evaporated in a day or so.
Biological or microbial degradation results in the breakdown and elimination of oil from the
environment. More than 100 types of bacteria, yeasts and fungi have been found which attack
hydrocarbons, breaking them down to obtain energy for their own needs. Recent research has centered
on the use of microbial seeding to clean up oil spills, which has resulted in the introduction of
NOSCUM.
GEOGRAPHIC LOCALITY
The locality of a spill will sometimes determine how rapidly the area recovers. In temperate regions,
where the biota is relatively short-lived and produces many young, recruitment may occur faster than
it would occur in polar regions, where the animals are long-lived and do not reproduce as rapidly. The
rate at which biodegradation occurs is also reduced in colder climates.
SIZE OF THE AREA AFFECTED
All conditions being equal, it is to be expected that large spills will cause more biological damage than
small spills. The amount of oil spilled is important, but effects are dependent upon the area covered
by the spill. For example, a 50-barrel spill confined to a small cove covering a few acres has more
potential to do biological damage than a 50-barrel spill or larger in the open ocean.
METEOROLOGICAL AND OCEANOGRAPHIC CONDITIONS
Existing meteorological conditions (winds, storms) and oceanographic conditions (waves, currents) are
very important in determining the extent of damage from a spill. Storm winds and waves can be
determined if they blow an open water spill onshore, but may be advantageous in the open water by
mixing the oil into the water and dispersing it. The Council on Environmental Quality in an
environmental impact study for the Outer Continental Shelf has reported that oil spills tend to break up
when wave heights reach 10 feet or higher.
SEASON
If a spill occurs at a time when newly settled young are in the area, a much higher mortality rate is
likely. This is because the young are more sensitive to toxic fractions and mechanical damage than
adults. The annual migrations of mammals and birds to and from breeding grounds often take them
through areas of potential spills. During the winter season, colder temperatures will slow biodegradation
of the oil.
TYPES OF BIOTA
Different types of plants and animals show different levels of reaction to oil. Some types are extremely
sensitive to low levels of toxic fractions, while others appear to be unharmed by high concentrations.
Some types are more prone to mechanical damage than others. Seaweeds generally have a mucous
coating that prevents oil from adhering unless the plant is dead and dried. Marsh plants, however, do
^ not have a protective coat and are susceptible to oil contamination. In order to determine which plants
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and animals in an area are most susceptible to oil, a local biologist (resource agency or academic) should
be consulted.
Oil may affect marine life both directly and indirectly. Direct effects (suffocation, killing young, etc)
have been discussed. Oil may be harmful indirectly through:
1. elimination of food sources,
2. reduction of resistance to other stresses (for example, exposure to oil might lower the
temperature necessary to kill an organism),
3. disruption of chemical clues necessary for survival, and
4. disruption of the ecological balance.
CLEANUP-OPERATION
A considerable amount of damage can be done to the environment by the use of dispersants to clean oil
from intertidal structures. From a biological point of view, it may be better for the animals and plants
to naturally rid themselves of the oil than to introduce a dispersant or mechanical cleanup. Sometimes
bioremediation or dispersants can be better. In the open ocean, dispersants may be used to prevent the
spilled oil from impacting the shoreline or damaging the intertidal zone.
PLANKTON
It is difficult to detect effects of oil spills on plankton in the ocean. Plankton samples taken during the
Torrey Canyon spill appeared normal except for 50 to 90 percent mortality of floating fish eggs and
larvae. Plankton samples taken during the Santa Barbara blowout showed a normal level of plankton
for that time of the year. During the Amoco Cadiz spill, zooplankton biomass was severely reduced in
some areas which resulted in a delayed spring zooplankton bloom (Samian et.al., 1979). Contrarily,
some planktonic animals have been seen eating droplets of crude and Bunker C oil without harm.
Because planktonic communities are constantly being moved by currents, an area affected by an oil spill
is likely to have a normal planktonic community a few days after the spill.
PLANTS
Many seaweeds on exposed shores lose most of their blades each year to rough water conditions and
regrow new parts from their bases. A concentrated oil spill can produce a similar effect. However,
when seaweeds are killed, seaweed eaters are usually killed too. The algae recover more quickly and
take over a habitat.
Damage to marsh plant is most severe in the growing season when new shoots, seeds and flowers are
exposed. Shallow-rooted plants that live only one year are more susceptible than those that live two or
more years. Severe contamination of a marsh could permit erosion to occur if the plants are killed. The
ecology of the surrounding area could be affected by killing the more sensitive young forms.
In marshes, root systems are mostly underground and usually not exposed to oiling. However, in
mangroves, root systems are exposed to oiling, and oiling has shown to act severely on mangroves,
resulting in defoliation or death of the plant.
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SUMMARY
™ Plants and animals that inhabit the marine environment are in a state of balance under natural conditions.
The introduction of oil into the environment can and does disrupt the balance.
It is vital to protect certain areas from oil contamination. These include water intake structures, tidal
marshes, bird feeding grounds, oyster and coral reefs, river mouths and areas of high visibility (marinas,
sea walls, beaches, etc.).
In preparing a contingency plan it is important to remember the following points:
1. Plants and animals vary widely in resistance to toxic fractions and mechanical damage
of oil. Young and eggs are generally more sensitive than adults. Marine birds,
especially those which spend most of their lives on water, are very susceptible to the
physical effects of floating oil. Fish, plankton and mammals are probably least affected.
Seaweeds possess a mucous coat which sheds oil. Marsh grasses lack a mucous coat and
are greatly affected by oil.
2. The season in which a spill occurs is important. When the temperature is low, toxic
fractions persist longer in the water due to reduced evaporation rate. Some animals
migrate during specific seasons and may pass through potential spill areas. If a spill
occurs during the reproductive season, the more sensitive young may be affected.
3. Oil is generally not harmful in small quantities or in open areas. A large spill in a small,
enclosed area is potentially more destructive biologically than a similar sized spill at sea.
Most areas affected by spills are well on the way to recovery within a year. However,
under unfavorable circumstances, high mortalities can result from a spill and complete
recovery could require several years.
4. The types of oil spilled will be major factor in the amount of biological damage.
Gasolines and naphthalenes are more toxic than refined oils which are more toxic than
crudes.
5. Maintain contacts with biologists in your area. They can be very helpful in providing
advice on the relative ecological sensitivity of specific localities. It would be wise to
include a biologist in an oil spill cleanup operation.
Oil in the environment can follow many pathways (Appendix I). It may kill organisms, or stimulate
other organisms. The major problems with oil are:
1. Direct lethal toxicity
2. Sublethal disruption of physiological activities
3. Direct physical coating
4. Incorporation of oil in an organisms body
5. Alternation of habitat
Although preventing oil from entering an area of high wildlife value is the best way to reduce the impact
of a spill, wildlife deterrent devices can help reduce oil induced problems, particularly for birds and
mammals. Multiple techniques are suggested for deterring wildlife. When wild animal rehabilitation
is considered, an organized plan for capture, cleaning and rehabilitation should be administered with
trained personnel.
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APPENDIX I
BIOLOGICAL IMPACTS
Direct Kill - Coating/asphyxiation of animals and organisms
Direct contact poisoning
Delayed Kill - Lethal dose of toxic soluble portion results in death at some other location
Food chain interference
Reduced resistance to subsequent infection
Possible incorporation of carcinogen into the affected species and human food
chain
BIOLOGICAL
Salability or Population Density
Kill of sensitive young of the species
Food chain interferences requiring migrations to less desirable areas
Tainting (taste/odor) to destroy food value
Degradation of breeding/feeding areas
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48. Huttla, M.L., V.M. Wasenius, H. Reunanen and A.U. Arstila. 1981. Acute toxicity of
some chlorinated phenols, catechols, and cresols to trout. Bull. Environ. Contam, and
Toxicol. 26:295-298.
49. Pickering, Q.H. and C. Henderson. 1966. Acute toxicity of some important petrochemicals
to fish. J. Water Poll. Cont. Fed. 38:1419-1429.
50. Phillips, G.L., G.W. Holcombe, and J.T. Fiandt. 1981. Acute toxicity of phenol and
substituted phenols to the fathered minnow. Bull. Environ. Contam. and Toxicol. 26:585-
593.
51. Silvestro, E. and A. Desmarais. 1980. Toxicity of chemical compounds used for enhanced
oil recovery. DOE/BC/10014-5. National Technical Information Service, Springfield, VA.
52. Edmisteu, G.E. and J.A. Bantle. 1982. Xenopus laevis larvae in 96 hour flow through
toxicity test with naphthalene. Bull. Environ. Contam. and Toxicol. 29:392-399.
53. McGarth, E.A. and M.M. Alexander. 1979. Observations on the exposure of larval
bullfrogs to fuel oil. Paper presented at Northwest Fish and Wildlife Conference,
Providence, RI. April 2-4, 1979.
• 54. Rattner, B.A. 1981. Tolerance of adult mallards to subacute ingestion of crude petroleum
oil. Toxicology Letters 8:337-342.
55. Fleming, W.J., L. Sileo, and J.C. Franson. 1982. Toxicity of Prudhoe Bay crude oil to
sandhill cranes. J. Wildl. Manage., 46:474-478.
56. Patee, O.E. and J.C. Franson. 1982. Short-term effects of oil ingestion on American
kestrels (Falco sparverius). J. Wild. Diseases, 18:235-241.
57. Eastin, W.C. and D.J. Hoffman. 1978. Biological effects of petroleum on aquatic birds.
In: Proc. Conf. Assessment of Ecological Impacts of Oil Spills, pp. 562-582. Amer. Instit.
Biol. Sci.
58. Macko, S.A. and S.M. King. 1980. Weathered oil: Effects on hatchability of heron and
gull eggs. Bull. Environ. Contam. Toxicol. 25:316-320.
59. Albers, P.H. and M. L. Gay. 1982. Unweathered and weathered aviation kerosene
chemical characterization and effects on hatching success of duck eggs. Bull. Environ.
Contam. Toxicol. 28:430-434.
60. Cox, B.A. 1974. Responses of the marine crustaceans Mysidopsis alngra Bowman, Penaeus
aztecus Ives, and Panaeus setiferus (Linn) to petroleum hydrocarbons. Ph.D. Dissertation.
^ Texas A & M University, College Station, TX 182 pp.
6/92 51
-------
61. Conover, R.J. 1971. Some relations between zooplankton and Bunker C oil in Cedabucto
Bay following the wreck of the tanker Arrow. J. Fisheries Res. Bd. Can. 28:1327-1330.
62. Snow, N.B. and B.F. Scott. 1975. The effect and fate of crude oil spilt on two Artie lakes.
In: Conference on Prevention and Control of Oil Pollution, pp. 527-534. American
Petroleum Institute, Washington, DC.
63. Hobbie, J.E. 1978. Effects of oil on a tundra pond, Final Report. 5 p. Dept. of Energy,
Washington, DC.
64. Hartung, R. 1967. Energy metabolism in oil-covered ducks. J. Wildl. Manage. 31:798-
804.
65. McEwan, E.H. and A.F.C. Koelink. 1973. The heat production of oiled mallard and
scaulp. CanJ. Zool. 51:27-31.
66. McEwan, E.H., N. Aitchison, and P.E. Whitehead. 1974. Energy metabolism of oiled
muskrats. Can. J. Zool. 52:1057-1062.
67. Flickering, E.L. 1981. Wildlife mortality at petroleum pits in Texas. J. Wildl. Manage.
45:560-564.
68. Ward, J.G. 1977. Techniques for dispersing birds from oil spill areas. In: Proc. 1977 Oil
Spill Response Workshop. FWS/OBS/77-24 pp. 113-124. U.S. Fish and Wildlife Service,
Washington, DC.
69. Brigman, C.J. 1976. Bioaccoustic bird scaring in Britain. In: Proc. IV Pan-Afr. Orn.
Congr. pp. 383-387.
70. Boag, D.A. and V. Lwein. 1980. Effectiveness of three waterfowl deterrents on natural and
polluted ponds. J. Wildl. Manage. 44:145-154.
71. Lipcius, R.N., C.A. Coyne, B.A. Fairbanks, D.H. Hammond, P.J. Mohna, D.J. Nixon, J.J.
Staskiewicz, and F.H. Heppner. 1980. Avoidance responses of mallards to colored and
black water. J. Wildl. Manage. 44:511-518.
72. Williams, A.S., S.C. Brundage, E. Anderson, J.M. Harris, and D.C. Smith. 1978. A
manual for cleaning and rehabilitating oiled waterfowl. 35 pp. American Petroleum
Institute, Washington, DC.
73. Stanton, P.B. 1972. Operation rescue, cleaning and care of oiled waterfowl. 31 pp.
American Petroleum Institute, Washington, DC.
74. Muller, A.J. and C.H. Mendoza. 1983. The Port Boliva, Texas oil spill - a case history
of oiled bird survival. In: Proc. 1983 Oil Spill Conference, pp. 521-523. American
Petroleum Institute, Washington, DC.
6/92 52
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75. Schultz, D.P., W.W. Johnson, and A.B. Berkner. 1983. A unique oiled bird rehabilitation
operation - Myrtle Beach, SC, February 1981. In: Proc. 1983 Oil Spill conference, pp.
525-528. American Petroleum Institute, Washington, DC.
76. Department of the Navy. 1977. Oil Spill Control for Inland Waters and Harbors, NAVFAC
p. 908. Department of the Navy. Alexandria, VA.
REFERENCES
Anderson, J.W., Neff, J.M., Cox, B., Tatem, H.E., and Hightower, G.M., 1974, Marine Biology.
Baker, J.M., 1971. Successive Spillages. In: The Ecological Effects of Oil Pollution on Littoral
Communities. Ed. by E.B. Cowall. Institute of Petroleum, London, pp. 21-32.
Blumer, M., Sanders, H.L., Grassle, J.F., and Hampson, G.R., 1971. A small oil spill.
Environment 12(2): pp. 1-12.
Braunell, R.L., Jr., and LeBoeuf, B.J., 1971. California Sea Lion Mortality: Natural or Artifact?
In: Allan Hancock Foundation.
Biological and Oceanographical Survey of the Santa Barbara Channel Oil Spill 1969-1970. Vol. 1,
compiled by D. Straughan, pp. 255-276. Allan Hancock Foundation, University of Southern
California.
Bugbee, S.L. and Walter, C.M., 1971. The response of macroinvertebrates to gasoline pollution
in a mountain stream. In: Proc. of Joint Conference of Prevention and Control of Oil Spills, March
13-15, 1973. Washington, DC pp. 725-731.
Chan, G.L., 1972. A study of the effects of the San Francisco oil spill on marine life. College of
Marin, Kentfield, CA. pp. 78.
Chan, G.L., 1974. The effects of the San Francisco oil spill on marine life - Part II. College of
Marin, Kentfield, CA. pp 42.
Eastin, W.C., Jr., 1979. Methods used at Patuxent Wildlife Research Center to study the effects
of oil on birds. In Proc. of the 1979 U.S. Fish and Wildlife Service Pollution Response Workshop,
Washington, DC, pp. 60-66.
Gunkel, W. and Gassmann, G., 1980. Oil, oil dispersants, and related substances in the marine
environment. Helgolander Meeresumters. 33: pp. 164-181.
Hampson, G.R. and Sanders, H.L. 1969. Local oil spill. Oceanus 15(2): pp. 8-10.
IMCO, 1973. The environmental and financial consequences of oil pollution from ships, with
appendices 1-4. Intergovernmental Maritime Consultative Organization Programmer Analysis Unit.
Chilton, Didcat, Berks. 493 pp.
6/92 53
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LeBoeuf, B., 1971. Oil contamination and elephant seal mortality: a "negative" finding. In: Allan
Hancock Foundation. Biological and Oceanographical Survey of the Santa Barbara Channel Oil Spill
1969-1970. Vol. 1, compiled by D.Straughan, pp. 277-285. Allan Hancock Foundation, University
of Souther California.
Mack, S.A. and King, S.M., 1980. Weathered oil's effect on hatchability of heron and gull eggs.
Bull. Envion. Contam. Toxicol. 25: pp. 316-320.
McCauley, R.N., 1966. The biological effects of oil pollution in a river. Limnol. and Oceanog.
11: pp. 475-486.
Mitchell, C.T., Anderson, E.K., Jones, L.G. and North, W.J., 1970. What oil does to ecology.
Journal of the Water Pollution Control Federation, 42: pp. 812-818.
Nelson-Smith, A., 1970. The problem of oil pollution of the sea. Advances in Marine Biology 8:
pp. 215-306.
Nelson-Smith, A., 1972. Oil Pollution and Marine Ecology. Elek Science, London, 260 pp.
North, W.J., Newshul, H. Jr., and Condemning, K.A., 1965. Successive biological changes
observed in a marine cover exposed to a large spillage of oil. In: Symposium commission
international exploration scientifique Mer Mediteranee, Monoco, 1964. pp. 335-354.
Ocean Affairs Board, National Academy of Sciences, 1974. Background Papers for a Workshop on
Inputs, Fates and Effects of Petroleum in the Marine Environment. Vol. I. Washington, DC. 375
pp.
Ranwell, D.S., 1968. Extent of damage to coastal habitats due to the Torrey Canyon incident. In:
The Biological Effects of Oil Pollution on Littoral Communities. Edited by J.D. Carthy and D.R.
Arthur. Field Studies (Supplement 2): pp. 39-47.
Samain, J.F., Maul, J., Daniel, J.Y., and Boucher, J. 1979. Ecophysiological effects of oil spills
from Amoco Cadiz on pelagic ommunities - preliminary results. In: Proceedings, 1979 Oil Spills
Conference: pp. 175-185. American Petroleum Inst. Washington, DC.
Straughan, D., 1971 a. Biological and Oceanographical Survey of the Santa Barbara Channel Oil
Spill, 1969-1970. Vol. I. Biology and Bacteriology. Allan Hancock Foundation, University of
Southern California. 426 pp.
Straughan, D., 1971 b. Oil pollution and sea birds. In: Allan Hancock Foundation. Biological and
Oceanographical Survey of the Santa Barbara Channel Oil Spill 1969-1970. Vol. I, compiled by D.
Straughan, pp. 307-419.
Straughan, D., 1971 c. What has been the effect of the spill on the ecology of the Santa Barbara
Channel? In: Allan Hancock Foundation. Biological and Oceanographical Survey of the Santa
Barbara Channel Oil Spill 1969-1970. Vol. I, compiled by D. Straughan, pp. 401-419.
6/92 54
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Vangilder, L.D. and Peterle, T.S., 1980. Southern Louisiana Crude Oil and D.D.E. in the diet of
mallard hens: Effects on reproduction and duckling survival. Bull. Environm. Contom. Toxicol.
25: pp. 23-28.
6/92 * U.S. G.P.O.:1992-341-835:60757 55
-------
U.S. Environmental Protection Agency
Region 5, Library FL-12J)
77 West Jackson Boulevard, 12th Floor
Chicago, IL 60604-3590
-------
HM 181 HAZARDOUS MATERIALS PLACARDING CHART
LASS1
PLOSIVES 1.1,1 2, &1.3
le Division number 1 1, 1 2 or 1 3 and
npatibihty group are in black ink
icard any quantity of Division number 11,12
1 3 material
CLASS 1
EXPLOSIVES 1 4
"The compatibility group is m black ink
Placard 454 kg (1001 Ibs ) or more of 1 4
Explosives
CLASS 1
EXPLOSIVES 1.5
"The compatibility group is in black ink
Placard 454 kg (1001 Ibs ) or more of 1 5
Blasting Agents
CLASS 1
EXPLOSIVES 1 6
*The compatibility group is in black ink
Placard 454 kg (1001 Ibs ) or more of 1 6
Explosives
CLASS 2
OXYGEN
Placard 454 kg (1001 Ibs ) or more aggregate
gross weight of either oxygen compressed and
oxygen, refrigerated liquid See 172 504(f)(7)
LASS 2
Division 2 1
CLASS 2
CLASS 2
CLASS 3
CLASS 3
AMMABLE GAS
jcard 454 kg (1001 Ibs ) or more of flammable
s See DANGEROUS
NON-FLAMMABLE GAS
Placard 454 kg (1001 Ibs ) or more aggregate
gross weight of non-flammable gas See
DANGEROUS
POISON GAS
Placard any quantity of Division 2 3 material
FLAMMABLE
Placard 454 kg (1001 Ibs ) or more gross weight
of flammable liquid See DANGEROUS
GASOLINE
May be used in the place of FLAMMABLE on a
placard displayed on a cargo tank or a portable tank
being used to transport gasoline by highway See
172542(c)
LASS 3
CLASS 3
CLASS 4
CLASS 4
CLASS 4
Division 4 3
DMBUSTIBLE
acard a combustible liquid when transported in
ilk A FLAMMABLE placard may be used in
ace of a Combustible placard on a cargo tank
tank or a compartmented tank car
|ains both flammable and combustible
le 172 504(f}(2}
FUEL OIL
May be used in place of COMBUSTIBLE on a
ptecard displayed on a cargo tank or portable tank
being used to transport by highway fuel oil not
classed as a flammable liquid See 172 544(c)
FLAMMABLE SOLID
Placard 454 kg (1001 Ibs ) or more gross weight
Of flammable solid See DANGEROUS
SPONTANEOUSLY COMBUSTIBLE
Placard 454 kg (1001 Ibs ) or more gross
weight of spontaneously combustible material
See DANGEROUS
DANGEROUS WHEN WET MATERIAL
Placard any quantity of Division 4 3 material
;LASS s
Division 5 1
CLASS 5
Division 5 2
CLASS 6
Division 6 1
,. Packing Groups I & II
CLASS 6
ORGANIC
PEROXIDE
;POISON;
Division 6 1
Packing Group 111
CLASS 7
XIDIZER
lacard 454 kg (1001 Ibs ) or more gross weight
oxidizing material See DANGEROUS
ORGANIC PEROXIDE
Placard 454 kg (1001 Ibs ) or more grass weight
of organic peroxide See DANGEROUS
POISON
Placard 454 kg (1001 Ibs) or more gross weight
of Packing Groups I & II See DANGEROUS
Placard any quantity of Inhalation Hazard 6 1,
PGI
KEEP AWAY FROM FOOD
Placard 454 kg (1001 Ibs ) or more gross weight
of Packing Group III See DANGEROUS
A POISON placard may be used in place of a
KEEP AWAY FROM FOOD placard
RADIOACTIVE
Placard any quantity of packages bearing the
RADIOACTIVE YELLOW III iabel Certain low
specific activity radioactive materials in
"exclusive use" will not bear the label, but the
RADIOACTIVE placard is required
;LASS s
CLASS 9
ORROSIVE
lacard 454 kg (1001 Ibs ) or more gross weight
corrosive material See DANGEROUS
MISCELLANEOUS
A Class 9 placard is not required However, you
may placard 454 kg (1001 Ibs) or more gross
weight of a material which presents a hazard
during transport, but which is not included in any
other hazard class See DANGEROUS
DANGEROUS
Placard 454 kg (1001 Ibs ) gross weight of two or
more categories of hazardous materials listed in Table
2 A freight container, unit load device, transport
vehicle or rail car which contain non-bulk packagings
with two or more categories of hazardous materials
that require different placards specified in Table 2 may
be placarded with DANGEROUS placards instead of
the separate placarding specified for each of the
materials in Table 2 However, when 2,268 Kg (5000
Ibs) or more of one category of material is loaded
therein at one loading facility, the placard specified in
Table 2 for that category must be applied
Division 1 4 (explosives)
Division 1 5 (blasting agents]
Division 1 6 (explosives)
Division 2 1 (flammable gas)
Division 2 2 (non-flammable gas)
Class 3 (flammable liquid)
Combustible liquid
Division 4 1 (flammable solid)
Division 4 2 (spontaneously combustible)
Division 5 1 (oxidizer)
Division 5 2 (organic peroxide)
Division 6 1, PG I & II, other than
PG I INHALATION HAZARD (poison)
Division 6 1, PG III (keep away from food)
Class 8 (corrosive)
Class 9 (miscellaneous)
SUBSIDIARY RISK
PLACARD
Class or division numbers do not appear on
subsidiary risk placards
UMIGATED
'lacard motor vehicle, freight container or rail
ar on or near each door when fumigated with
Iivision 6 1 (Poison) or Division 2 3 (Poison
as)
RAIL
Placard empty tank cars for residue of material
last contained
The square background is required for the following
placards when on rail cars EXPLOSIVES 1 1 or 1 2,
POISON QAS or POISON GAS-RESIDUE {Division
2 3, Hazard Zone A), POISON or POISON-RESIDUE
(Division 6 1, PGI, Hazard Zone A) The square
background is required for placards on motor
vehicles transporting highway route controlled
quantities of radioactive materials (Class 7)
DISPLAY OF IDENTIFICATION NUMBER WHEN TRANSPORTING HAZARDOUS
MATERIALS IN PORTABLE TANKS, CARGO TANKS AND TANK CARS.
ORANGE PANEL
PLACARD
Copyright 1993 & Published by J. J. KELLER & ASSOCIATES, INC , Neenah, Wl 54957-0368 • USA • (800)327-6868
39-FBREV 10/93
-------
HM 181 HAZARDOUS MATERIALS PLACARDING CHART
§172.502 Prohibited and permissive placarding.
(a) Prohibited placarding. Except as provided in paragraph (b) of this section, no person may affix or display on a packaging, freight container, unit load device, motor vehicle or rail c
(1) Any placard described in this subpart unless —
(i) The material being offered or transported is a hazardous material.
(ii) The placard represents a hazard of the hazardous material being offered or transported, and
(in) Any placarding conforms to the requirements of this subpart,
(2) Any sign or other device that, by its color, design, shape or content, could be confused with any placard prescribed in this subpart
(b) Exceptions. (1) The restrictions in paragraph (a) of this section do not apply to a bulk packaging, freight container, unit load device, transport vehicle or rail car which is p
conformance with the TDG Regulations the IMDG Code or the UN Recommendations
(2) The restrictions of paragraph (a) of this section do not apply to the display of an identification number on a white square-on-point configuration in accordance with § 172 336(b) of t
(c) Permissive placarding Placards may be displayed for a hazardous material, even when not required, if the placarding otherwise conforms to the requirements of this subpart
§172.504 General placarding requirements.
(a) General Except as otherwise provided in this subchapter, each bulk packaging, freight container, unit load device, transport vehicle or rail car containing any quantity of a hazard
must be placarded on each side and each end with the type of placards specified in Tables 1 and 2 of this section and in accorddnce with other placarding requirements of this subpc
the specifications for the placards named in the tables and described in detail in §§172 519 through 172 558
(b) DANGEROUS pldcard A freight container, unit load device, transport vehicle or rail car which contains non-bulk packagings with two or more categories of hazardous materials
different placards specified in Table 2 may be placarded with DANGEROUS placards instead of the separate placarding specified for each of the materials in Table 2 However, when 2,2
pounds) or more of one category of material is loaded therein at one loading facility, the placard specified in Table 2 of paragraph (e) of this section for that category must be applied
(c) Exception for less than 454 kg (1,001 pounds). Except for bulk packagings and hazardous materials subject to §172 505. when hazardous materials covered by Table 2 of this
transported by highway or rail, placards are not required on—
(1) A transport vehicle or freight container which contains less than 454 kg (1001 pounds) aggregate gross weight of hazardous materials covered by Table 2 of paragraph (e) of this sec
(2) A rail car loaded with transport vehicles or freight containers, none of which is required to be placarded
The exceptions provided in paragraph (c) of this section do not prohibit the display of placards in the manner prescribed in this subpart if not otherwise prohibited (see § 172 502) on tran
vehicles or freight containers which are not required to be placarded.
(d) Exception for empty non-bulk packages. A non-bulk packaging that contains only the residue of d hazardous material covered by Table 2 of paragraph (e) of this section need not
included in determining placarding requirements
(e) Placarding tables Placards are specified for hazardous materials in accordance with the following tables1
Table 1
Category of material (Hazard class or division number and
additional description, as appropriate)
1.1
1 2
1 3 .
23
43
6 1 (PG 1 Inhalation hazard only) .
7 (Radioactive Yellow III label only)
Placard name
EXPLOSIVES 1 1
EXPLOSIVES 1 2
EXPLOSIVES 1 3
POISON GAS
DANGEROUS WHEN WET
POISON
RADIOACTIVE'
Placard design section
reference (§)
1 72 552
1 72 522
1 72 522
1 72 540
172548
1 72 554
172556
1 RADIOACTIVE placard also required for exclusive use shipments of low specific activity material in accordance with §173 425(b) or (c) of this subchapter
Table 2
Category of material (Hazard class or division number and
additional description as appropriate)
1 4 ...
1.5
1 6 ..
2 1
22
3
Combustible liquid
4 1 .
42
5 1
52 ....
6 1 (PG 1 or II other than PG 1 inhalation hazard)
6 1 (PGIII)
62
8
9
ORM-D
Placard name
EXPLOSIVES 1 4 ...
EXPLOSIVES 1 .5
EXPLOSIVES 16
FLAMMABLE GAS
NON-FLAMMABLE GAS
FLAMMABLE
COMBUSTIBLE
FLAMMABLE SOLID
SPONTANEOUSLY COMBUSTIBLE
OXIDIZER
ORGANIC PEROXIDE ....
POISON
KEEP AWAY FROM FOOD
(None)
CORROSIVE
CLASS9..
(None)
Placard design section
reference (§)
1 72 523
1 72 524
1 72 525
1 72 532
1 72 528
172542
172 544
1 72 546
172547
1 72 550
1 72 552
1 72 554
1 72 553
1 72 558
172560
(f) Additional placarding exceptions (1) When more than one division placard is required for Class 1 materials on a transport vehicle, rail car, freight container or unit load devic
placard representing the lowest division number must be displayed,
(2) A FLAMMABLE placard may be used in place of a COMBUSTIBLE placard on —
(0 A cargo tank or portable tank
(n) A compartmented tank cor which contains both flammable and combustible liquids
(3) A NON-FLAMMABLE GAS placard is not required on a transport vehicle which contains non-flammable gas rf the transport vehicle also contains flammable gas or oxygen and it is
with FLAMMABLE GAS or OXYGEN placards, as required
(4) OXIDIZER placards dre not required for Division 5.1 materials on freight containers, unit load devices, transport vehicles or rail cars which also contain Division 1,1 or 1 2 materials anc
placarded with EXPLOSIVES 1.1 or 1 2 placards, as required
(5) For transportation by transport vehicle or rail car only, an OXiDlZER placard is not required for Division 5 1 materials on a transport vehicle, rail car or freight container which also contc
1.5 explosives and is placarded with EXPLOSIVES 1 5 pldcards, as required
(6) The EXPLOSIVE 1.4 placard is not required for those Division 1 4 Compatibility Group S (1.45) materials that are not required to be labeled 1 4S.
(7) For domestic transportation of oxygen, compressed or oxygen, refrigerated liquid, the OXYGEN placard in § 172.530 of this subpart mdy be used in place of a NON-FLAMMABLE GAS f
(8) Except for a material classed as a combustible liquid that also meets the definition of a Class 9 material, a COMBUSTIBLE placard is not required for a material classed as a combu
when transported in a non-bulk packaging For a material in a non-bulk packaging classed as a combustible liquid thdt also meets the definition of a Class 9 material, the CLASS 9 place
substituted for the COMBUSTIBLE placard
(9) For domestic transportation, a Class 9 placard is not required A bulk packaging containing a Class 9 material must be marked on each side and each end with the appropriate Idi
number displayed on an orange panel or a white-square-on-point display configuration are required by subpart D of this part
(10) For domestic transportation of Division 6 1, PG III materials, a POISON placard may be used in place of a KEEP AWAY FROM FOOD placard
(g) For shipments of Class 1 (explosive) materials by aircraft or vessel, the applicable compatibility group letter must be displayed on the placards required by this section
§172.505 Placarding tor subsidiary hazards.
(a) Each transport vehicle, freight container, portable tank and unit load device that contains a poisonous material subject to the "Poison-Inhalation Hazard" shipping description of § 17:
must be pldcarded with a POISON or POISON GAS placard, as appropriate, on each side and each end, in addition to any other placard required for that material in §172 504. Duplicc
POISON or POISON GAS placard is not required
(b) In addition to the RADIOACTIVE placard which may be required by §172.504(e) of this subpart each transport vehicle, portable tank or freight container that contains 454 kg (1001
more gross weight of fissile or low specific activity uranium hexafluoride shall be placarded with a CORROSIVE placard on each side and each end.
(c) Each transport vehicle, portable tank, freight container or unit load device that contains a material which as a subsidiary hazard of being dangerous when wet, as defined in §173
subchapter, shall be placarded with DANGEROUS WHEN WET placards, on each side and each end, in addition to the placards required by § 172 504
(d) Hazardous materials that possess secondary hazards may exhibit subsidiary placards that correspond to the placards described in this part, even when not required by this pai
§172.519(b)(4) of this subpart)
© Copyright 1993 & Published by J J KELLER & ASSOCIATES, INC , Neenah, Wl 54957-0368 • USA • (800)327-6868 39-FB (RE
-------
HM 181 HAZARDOUS MATERIALS LABELING CHART
ILASS 1
Explosive
Include appropriate division number
ind compatibility group
CLASS 1
"Include appropriate compatibility
CLASS 1
"Include appropriate compatibility
CLASS 1 Explosive
1 6
"Include appropriate compatibility
CLASS 2
CLASS 2 Division
22
Non-flammable gas
CLASS 2
Oxyget
CLASS 2 Division
23
CLASS 3
CLASS 4
CLASS 4
CLASS 4
CLASS 5
CLASS 5 Division
52
Poison gas
Flammable liquid
Spontaneously combustible
Dangeious when wet
Organic peroxide
CLASS 6
CLASS 6
CLASS 6 Division
62
CLASS 7
CLASS 7
CLASS 7
Poison-Packing Groups I and II
Poison - Packing Group III
Infectious substance
The Etiologic Agent label may be
required (42 CFR 72 3)
CLASS 8
CLASS 9
SUBSIDIARY RISK LABELS
FOR AIRCRAFT
Explosives
Flammable Gas
Flammable Liquid
Flammable Solid
Corrosive
Oxidizer
Poison
Spontaneously Combusf ible
Dangerous When Wet
The hazard class or division number may not be displayed on
a subsidiary label
EMPTY
MAGNETIZED
MATERIAL
Empty
O.O.T. GENERAL GUIDELINES ON USE OF WARNING LABELS
1 Shipper must furnish and attach appropriate label(s) to each package of hazardous material offered for shipment unless exempted from
labeling requirements.
2 If the material in a package has more than one hazard classification, the package must be labeled for each hazard (Ref Title 49 CFR
Sec. 172.402)
3 When two or more hazardous materials of different classes are packed within the same packaging or outer enclosure, the outside of the
package must be labeled for each material involved. (Ref Title 49, CFR, Sec. 172.404).
4. Radioactive materials requiring labeling, must be labeled on two opposite sides of the package. (Ref. Title 49, CFR, Sec. 172.403(f)).
5. Labels must not be applied to a package containing only material which is not subject to Parts 170 -189 of this subchapter or which is
exempted therefrom. This does not prohibit the use of labels in conformance with U N. recommendations ("Transport of Dangerous
Goods"), or with the IMO requirements ("International Maritime Dangerous Goods Code"), ICAO Technical Instructions, or TDG
Regulations (Ref. Title 49, CFR, Sec. 172.401).
HAZARDOUS MATERIALS PACKAGE MARKINGS
SAMPLE PACKAGING MARKING
Proper Shipping Name ACETONE
UN ID Number . UN 1090
S"!
,RD WARNING LABEL
INHALATION
HAZARD
© Copyright 1993 & Published by J J KELLER & ASSOCIATES, INC., Neenah, Wl 54957-0368 • USA • (800)327-6868
38-FB REV. 12/93
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HM 181 HAZARDOUS MATERIALS LABELING CHART
§172.400 General labeling requirements.
(a) Except as specified in §172.400a, each person
who offers for transportation or transports a haz-
ardous material in any of the following packages or
containment devices, shall label the package or con-
tainment device with labels specified for the material
in the 172.101 Table and in this subpart:
(1) A non-bulk package;
(2) A bulk packaging, other than a cargo tank,
portable tank, or tank car, with a volumetric capacity
of less than 18 m3 (640 cubic feet), unless placarded
in accordance with subpart F of this part;
(3) A portable tank of less than 3785 L (1000 gallons)
capacity, unless placarded in accordance with sub-
part F of this part;
(4) A DOT Specification 106 or 110 multi-unit tank
car tank, unless placarded in accordance with sub-
part F of this part; and
(5) An overpack, freight container or unit load
device, of less than 18 m3 (640 cubic feet), which
contains a package for which labels are required,
unless placarded or marked in accordance with
§172.512 of this part.
(b) Labeling is required for a hazardous material
which meets one or more hazard class definitions, in
accordance with Column 6 of the §172.101 Table and
the following table:
Hazard class or
division
II
12
13
1.4
1.5
1 6
2.1
22
23
3 (flammable liquid)
Combustible liquid .
41
42
43
51
5.2
6 1 (Packing Groups
1 and ID
6 1 (Packing Group
III)
6.2
7 (see §172 403) ...
7
7 . .
7 (empty packages.
see §173 427)
8
9
Label name
EXPLOSIVE 11
EXPLOSIVE 12
EXPLOSIVE 13
EXPLOSIVE 1 4
EXPLOSIVE 1.5
EXPLOSIVE 16
FLAMMABLE GAS
NON-FLAMMABLE GAS ..
POISON GAS
FLAMMABLE LIQUID
(none)
FLAMMABLE SOLID
SPONTANEOUSLY
COMBUSTIBLE
DANGEROUS WHEN WET .
OXIDIZER
ORGANIC PEROXIDE
POISON
KEEP AWAY FROM FOOD .
INFECTIOUS SUBSTANCE 1 ..
RADIOACTIVE WHITE-I.. ,.
RADIOACTIVE YELLOW-II ..
RADIOACTIVE YELLOW-NI...
EMPTY
CORROSIVE
CLASS 9
Label design
or section
reference (§)
172.411
172411
172411
172411
172411
172411
172,417
172415
172.416
172419
172420
1 72 422
172.423
172426
1 72 427
172.430
172.431
1 72 432
1 72 436
172438
172440
172450
172.442
172.446
'The ETIOLOGIC AGENT label specified in regulations of the
Department of Health and Human Services at 42 CFR 72 3 may
apply to packages of Infectious substances.
§172.400a Exceptions from labeling.
(a) Notwithstanding the provisions of §172.400, a
label is not required on -
(1) A cylinder containing a Division 2.1 or Division
2.2 gas that is
(i) Not poisonous;
(ii) Carried by a private or contract motor carrier;
(iii) Not overpacked; and
(iv) Durably and legibly marked in accordance with
CGA Pamphlet C-7, appendix A.
(2) A package or unit of military explosives (includ-
ing ammunition) shipped by or on behalf of the DOD
when in —
(i) Freight containerload, carload or truckload ship-
ments, if loaded and unloaded by the shipper or
DOD; or
(ii) Unitized or palletized break-bulk shipments by
cargo vessel under charter to DOD if at least one
required label is displayed on each unitized or pal-
letized load.
(3) A package containing a hazardous material other
than ammunition that is —
(i) Loaded and unloaded under the supervision of
DOD personnel, and
(ii) Escorted by DOD personnel in a separate vehi-
cle.
(4) A compressed gas cylinder permanently mounted
in or on a transport vehicle.
(5) A freight container, aircraft unit load device or
portable tank, which —
(i) Is placarded in accordance with Subpart F of this
part, or
(ii) Conforms to paragraph (a) (3) or (b) (3) of
§172.512.
(6) An overpack or unit load device in or on which
labels representative of each hazardous material in
the overpack or unit load device are visible.
(7) A package of low specific activity radioactive
material, when transported under §173.425(b) of this
subchapter.
(b) Certain exceptions to labeling requirements are
provided for small quantities and limited quantities in
applicable sections in part 173 of this subchapter.
§172.401 Prohibited labeling.
(a) Except as provided in paragraph (c) of this sec-
tion, no person may offer for transportation or no car-
rier may transport any package bearing a label speci-
fied in this subpart unless —
(1) The package contains a material that is a haz-
ardous material, and
(2) The label represents a hazard of the hazardous
material in the package.
(b) No person may offer for transportation and no
carrier may transport a package bearing any marking
or label which by its color, design, or shape could be
confused with or conflict with a label prescribed by
this part.
(c) The restrictions in paragraphs (a) and (b) of this
section, do not apply to packages labeled in confor-
mance with —
(1) Any United Nations recommendation, including
the class number (see §172.407), in the document
entitled "Transport of Dangerous Goods.";
(2) The International Maritime Organization (IMO)
requirements, including the class number (see
§172.407), in the document entitled "International
Maritime Dangerous Goods Code";
(3) The ICAO Technical Instructions, or
(4) TheTDG Regulations.
§172.402 Additional Labeling requirements.
(a) Subsidiary hazard labels. Each package contain-
ing a hazardous material —
(1) Shall be labeled with primary and subsidiary haz-
ard labels as specified in Column 6 of the §172.101
Table; and
(2) For other than Class 2 or Class 1 materials (for
subsidiary labeling requirements for Class 1 materi-
als see paragraph (e) of this section), if not already
labeled under paragraph (a) (1) of this section, shall
be labeled with subsidiary hazard labels in accor-
dance with the following table:
SUBSIDIARY HAZARD LABELS
Subsidiary
hazard level
(packing
group)
1
II
III
Subsidiary Hazard (Class or t
3
X
X
*
4.1 4.2 4.3 5.1
X X X X
N X X N
X — Required for all modes.
•— Required for transport by vessel only
• •— Required for transport by aircraft and ve:
...— Impossible as subsidiary hazard.
N — None required
(b) Display of hazard class on labels. The app
hazard class or, for Division 5.1 or 5.2 the
number, shall be displayed in the lower cor
primary hazard label and may not be display
subsidiary label.
(c) Cargo Aircraft Only label. Each persi
offers for transportation or transports by ai
package containing a hazardous material w
authorized on cargo aircraft only shall label tt
age with a CARGO AIRCRAFT ONLY label s]
in §172.448 of this subpart.
(d) Radioactive Materials. Each package confe
radioactive material that also meets the defin
one or more additional hazards, except Class
be labeled as a radioactive material as requi
§172.403 of this subpart and for each additior
ard.
(e) Class 1 (explosive) Materials. In addition
label specified in Column 6 of the §172.101
each package of Class 1 material that also mei
definition for:
(1) Division 6.1, Packing Groups I or II, sh
labeled POISON; or
(2) Class 7, shall be labeled in accordance
§172.403 of this subpart.
§172.403 Contains special requiremem
RADIOACTIVE materials. See regulations.
§172.405 Authorized label modifications.
(a) For Classes 1, 2, 3, 4, 5, 6, and 8, text indica
hazard (for example FLAMMABLE LIQUID) ,
required on a primary or subsidiary label when -
(1) The label otherwise conforms to the provisic
this subpart, and
(2) The hazard class or, for Division 5.1 or 5.
division number, is displayed in the lower corn
the label, if the label corresponds to the primary
ard class of the hazardous material.
(b) For a package containing Oxygen, comprei
or Oxygen, refrigerated liquid, the OXID1ZER
specified in §172.426 of this subpart, modified tc
play the word "OXYGEN" instead of "OXIDIZ
and the class number "2" instead of "5.1", ma
used in place of the NON-FLAMMABLE GA.4
OXIDIZER labels. Notwithstanding the provisioi
paragraph (a) of this section, the word "OXYG
must appear on the label.
© Copyright 1993 & Published by J J KELLER & ASSOCIATES, INC., Neenah, Wl 54957-0368 • USA • (800)327-6868
38-FB REV. 1;
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