Arctic Council
Cooperation on
Marine Oil Pollution
Preparedness and
Response in the
Arctic
Appendix IV : OPERATIONAL GUIDELINES
[Type the author name]
December 15, 2012
Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
Appendix IV: Operational Guidelines
Preamble
The Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic (the
“Agreement”) includes the following Operational Guidelines (the “Guidelines”). These Guidelines
set out provisions to guide cooperation, coordination and mutual assistance for oil pollution
preparedness and response in the Arctic. They assist the National Competent Authorities to
coordinate the cooperation of participating (or signatory) nations in mitigating the effects of oil
pollution incidents on human health and safety, property and the environment. Response efforts
must be undertaken without delay in order to be effective and to minimize damage that may result
from an oil pollution incident. Safety is the primary response objective.
Specifically, the Guidelines address procedures for notification and request for assistance,
command and control in response operations, administrative issues and other recommended
measures to facilitate an effective cooperative oil pollution incident response.
It is recognized that some Parties may already have bi-lateral or multi-lateral contingency plans in
place that will guide or address coordination and cooperation in response operations. The
following Guidelines could be used in addition to such plans, or to aid in their development or
amendment. It is also recognized that any joint operations will be guided by the national response
plans of the Host/Requesting State to the extent possible.
Definitions (to be completed once Guidelines are final)
Assisting Party: Party that can provide assistance to another Party for response operations or joint
exercises and training.
Liaison officer: Representative of an Assisting Party assigned to the Requesting Party’s Operational
Control.
National Competent Authority: Agency responsible for response operations and with which
assisting parties will communicate to coordinate response operations (see Appendix I). See
Appendix III for the list of Authorities entitled to request assistance or to decide to render
assistance requested.
National On-Scene Commander: Lead individual from Assisting Party responsible for managing and
coordinating Assisting Party response operations at sea, under the leadership of the On-Scene
Commander.
Oil pollution incident means an occurrence or series of occurrences having the same origin, which
results or may result in a discharge of oil and which poses or may pose a threat to the marine
environment, or to the coastline or related interests of one or more States, and which requires
emergency action or other immediate response.
On-Scene Commander: Individual responsible for managing and coordinating response operations
and personnel at sea.
Operational Control: The control and command function that is undertaken by the appointed
national authority of a Requesting Party in charge of a joint response operation related to the
disposition and use of personnel and equipment placed at its disposal.
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Appendix IV: Operational Guidelines
Party: Arctic Council States which have consented to be bound by the Agreement on Cooperation on
Marine Oil Pollution Preparedness and Response in the Arctic and for which the Agreement is in
force (the Government of Canada, the Government of the Kingdom of Denmark, the Government of
the Republic of Finland, the Government of Iceland, the Government of the Kingdom of Norway, the
Government of the Russian Federation, the Government of the Kingdom of Sweden and the
Government of the United States of America)
Requesting Party: Party requesting assistance and initiating joint response operations, exercises or
training and often the Party in whose [area of responsibility] the spill originated
Strike Team: Specified combinations of the same kind and type of resources, with common
communications and a Leader.
Task Force: A temporary group of resources with common communications and a Leader that may
be pre-established and sent to an incident, or formed at an incident
Updating of the Operational Guidelines
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Appendix IV: Operational Guidelines
Determination of Lead in Cooperative Responses to Incidents
Outside Clear Jurisdictional Boundaries and on the High Seas
When an oil pollution incident is detected outside clear jurisdictional boundaries of any one party
(i.e. on the high seas), and a potential threat to a party’s waters or jurisdiction is anticipated, a
signatory to the Agreement may, in the interests of pan-arctic stewardship, wish to coordinate a
multi-nation response to mitigate pollution impacts. This implies a cooperative approach to
response operations. However, there is a requirement for direct leadership to be initiated,
coordinated and sustained for a response to be effectively carried out.
How that leadership role is established requires some further discussion. Several alternatives are
presented:





Alternative 1. The state geographically closest to the incident, irrespective of the detection
mechanism is assigned this responsibility.
Alternative 2. A purely volunteer and ad hoc methodology is purposely left in place.
Alternative 3. Signatory States take a rotational and cyclical leadership role for areas not under
a State’s jurisdiction but within the boundaries of the Agreement. Specific supporting states
may pre-commit to various response activities.
Alternative 4. Upon detection of a spill, a meeting of the competent authorities is called by the
nation who detected the spill and a decision is collectively made based on the volunteer to lead
the operational activities.
Alternative 5. Do nothing.
Once the leadership alternative is selected a state exercising this leadership role would have to
determine the response requirements as if it were the host nation. Further permutations and
combinations may require a joint operational concept to be developed. The lead state would then
follow the guidelines found in this document.
Role of polluter and the Polluter Pay Principle
This section needs review by international legal council.
In most domestic regimes the polluter (or Responsible Party) follows the laws of the state and is
generally held responsible for negligent actions on their part and the liabilities that result for those
actions (or inaction). Insurance (P&I) assist in the establishment of limits of liability and
compensation which can or cannot be sought.
Internationally a similar regime exists whereby carriers of pollutants manage these liabilities.
Both these conditions provide compensation for the loss of product, ability for a state to recover
costs in a response and provide compensation for damages (liability) which can be established.
It is not clear whether an incident occurring on the high seas, with no direct impact to a nation, can
be pursued for liability or cost recovery for response actions under these existing rules.
Should a state wish to lead or assist in a response for the mitigation of impacts not directly
impacting its interests the ability of this state or states to recover cost internationally will have to
be established.
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Appendix IV: Operational Guidelines
Notification
When a Host State becomes aware of an oil pollution incident within its area of national
responsibility, it shall notify the other parties which are signatories to the Agreement of the
incident without unnecessary delay using the National 24-hour Operational Contact Points
provided in Appendix II of the Agreement. Notification does not constitute automatic activation of
response under the Agreement.
The Notification should include, but is not limited to, the following information:
a. a name or unique identification title for the incident;
b. the name of the host State and Competent Authority taking the lead in respect of the
incident, including 24/7contact information (telephone, fax, mobile, email);
c. date and time of incident awareness in international format, and shall be reflective of the
time at which the host nation began its tracking or involvement in the incident;
d. date and approximate time of the occurrence as reported by the source of the incident;
e. situational data to provide senior officials of non-host nations enough information to
maintain a state of alertness. At minimum this should include:
1. Location of incident: latitude and longitude, or if the spill is dynamic, include the
potential area of influence.
2. Identification of major issues or concerns: Including SAR activities, pollution
potential and/or salvage/casualty response issues.
3. Situation assessment: assessment of the situation (type and cause of incident, and
host country’s analysis of the immediate and short term impacts or requirements.
4. Acknowledgement of Notification: To verify receipt of information by non-host
nation’s competent authority. The acknowledgement shall include date and time of
transmission. This acknowledgment is to be sent back to host nation upon completion of
internal notifications.
A sample Notification form is found at ….
National Contingency Planning
For regional cooperation to work effectively and rapidly in case of emergency, each Party should
update annually the information provided in their National Contingency Plan including:
a. the national organization and the competent national authorities in charge of combating
marine pollution;
b. specific national regulations aimed at preventing incidents likely to cause marine pollution;
c. national regulations regarding the use of products and combating techniques;
d. bilateral or multilateral agreements on marine pollution;
e. research programs, experiments and major exercises on the various aspects of marine
pollution response; and
f. purchase of major items of equipment.
In order to strengthen the national capabilities to combat pollution, a national program of training
of personnel should be developed and maintained at a proper level, which should include at a
minimum at the regional level:
a. general training covering all the aspects of marine pollution control; and
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Appendix IV: Operational Guidelines
b. practical advanced training designed to deal with one single and important aspect of
pollution control.
Equipment Considerations
Sending, receiving and returning of equipment requested or offered creates a number of logistic,
administrative and legal problems which should be resolved quickly, since a delay in the response
actions may considerably reduce the efficiency of the assistance. General arrangements in this regard
should be adopted prior to any incident and could be usefully included in the National Contingency
Plan. Thus only the details of application remain to be settled at the time of action.
Assistance
Countries facing a major pollution emergency may require external resources to augment national
capacity for large scale oil spill incidents. In such cases, the affected country may wish to issue a
request for international assistance. This can be done bilaterally, multilaterally, or possibly through
a regional mechanism, where these exist. If deemed necessary, an international request for
assistance may be issued. Regional and international organizations may also assist in facilitating
and coordinating assistance in support of national level efforts.
This chapter provides guidance for nations in one of two conditions:
a. States seeking assistance from other States following an oil spill, in framing requests, and
evaluating and responding to offers; and
b. States that may wish to offer assistance.
Request for Assistance
If so required, a State may request assistance from other States indicating the scope and type of
assistance needed.
States concerned should cooperate to facilitate prompt assistance. States must follow the
applicable provisions of any existing bilateral or multilateral agreement, but to the extent
consistent with such provisions or in their absence, assistance should follow the remaining
provisions in this chapter.
The Requesting State is responsible for overall supervision, control and coordination of the
response to the incident and of any assistance supplied. Personnel sent by the Assisting State are in
charge of the immediate operational supervision of its personnel and equipment.
a. Personnel sent by the Assisting State should follow relevant laws of the Requesting State.
The Requesting State should ensure that Assisting State personnel are made aware of these
laws as soon as practicable (e.g., part of their in-briefing or orientation).
b. Appropriate authorities of the Requesting State and Assisting State should cooperate closely
on all relevant issues.
The Requesting State should provide adequate local facilities and services for necessary
administration and management of the Assisting State’s assets, including decontamination, and
ensure the security, and protection of its personnel and equipment as well as their safe return.
In the absence of bilateral or multilateral agreements, the financial conditions for the operation
should be mutually/jointly determined by the Assisting and Requesting States.
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a. It is understood the National Competent Authorities identified by the Agreement have the
requisite authority to enter into activities and applicable financial agreements.
The Requesting State may at any time request the termination of assistance received.
a. Once a termination request is made, concerned States should consult each other to make
arrangements for proper termination of assistance.
Information Requirements for a Request for Assistance
The Requesting State should:
a. make its requests in a clear and precise manner (quantity, type, etc) by indicating for which
purposes equipment, products and response personnel will be used;
b. appoint an authority to receive the equipment, products and response personnel and to
ensure control of operations from the moment equipment, products and personnel arrive in
the country and while these are conveyed to and from the scene of operations;
c. make arrangements for the rapid entry of equipment, products and personnel prior to their
arrival and ensure that customs formalities are facilitated to the maximum extent.
Equipment should be admitted on a temporary basis and products should be admitted free
of excise and duties;
d. supply all that is needed for the correct operation and maintenance of equipment and
provide accommodation and food for response teams;
e. ensure that, should ships and aircraft be provided, ships are granted all necessary
authorization and aircraft cleared to fly in the national air space. A flight plan or a flight
notification will be filed and accepted as an authorization for aircraft to take off, land ashore
or at sea outside regular customs airfields;
f. return once response operations are over, all unused products and ensure that returned
equipment is in the best possible working order; and
g. send a report on the effectiveness of equipment, products and personnel provided to the
appropriate Authorities of the Assisting Party.
It is recommended that a standard format for a NOTIFICATION or REQUEST REPORT be used by
the Requesting State to provided standardized means of informing other nations and organizations
of the specifics of the incident and the specific operational needs as part of specific resource
requests. A sample REQUEST REPORT has been provided at the end of this chapter.
States requesting specific assistance for response operations from foreign governments should
consider providing the detailed information set forth below in each request with respect to both
equipment and personnel. States should update such detailed requests as operational needs change
during the course of the response.
With respect to States requesting specific assistance for response operations, such guidance may,
without limitation, include:
a. information on the preliminary responses to offers of assistance, including, if appropriate,
descriptions of how the offer of assistance will be further evaluated within the framework
of the government’s emergency response system and related laws and regulations, and any
applicable interagency evaluation process;
b. if appropriate, estimates for the length of time the evaluation of the offer is expected to take;
c. instructions for providing detailed information about each offer of assistance from a foreign
government or international organization; and
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Appendix IV: Operational Guidelines
d. instructions for how to forward and transmit any offers to that State’s nearest embassy or
mission. The State should also provide instructions to its embassies and missions
worldwide on how to deliver these offers to appropriate personnel with the lead response
agency or other elements of the foreign ministry or external affairs agency (i.e. email,
facsimile and telephone contact information of specific points of contact that will require
the information).
Recommendations for Offer Receipt and Processing Procedures
This section outlines some key proposed procedures for the establishment of mechanisms for
review and consideration of and response to offers of assistance on the most expedited basis
possible, consistent with operational requirements.
Best Practices:
a. Ensure operational elements of response organizations (i.e. the National Competent Authority)
are heavily involved throughout the evaluation of offers to confirm that offers of assistance meet
current or projected operational needs, and are empowered to accept or decline such offers,
based on current or projected needs;
b. Facilitate and ensure any necessary legal reviews of offers of assistance from appropriate
Requesting State authorities; and
c. Ensure adequate and comprehensive documentation of offers of assistance from foreign
governments and international organizations, including the responses to such offers; the
financial arrangements agreed to such as the costs associated with the deployment of any
equipment and/or personnel for the purpose of cost recovery; evidence collection or other postevent actions for which such information may be needed.
Once a nation and its appropriate authority determine the need for response resources beyond its
existing capabilities, as well as those beyond which it can obtain through exiting bilateral and
multilateral agreements, a Liaison Officer(s) to coordinate between the National Competent
Authority and the agency which handles foreign affairs should be established as well as possibly an
Interagency Group (to ensure other agencies which should be involved in the International Offers of
Assistance process are properly represented, such as a Customs agency.
Upon receipt of an offer Liaison officers and interagency working groups should lead efforts to
define operational requirements – being lead by technical experts within the National Competent
Authority– and should ensure, to the extent practical that detailed information described in these
guidelines is obtained for all offers of assistance.
Agencies engaged in response operations should ensure that personnel charged with the evaluation
and deployment of response assets are appropriately and sufficiently staffed so that the need to
evaluate and respond to offers of assistance does not interfere with the actual conduct of
operations.
States should provide guidance to response personnel and any foreign ministry or external affairs
personnel and personnel at Embassies and missions regarding documentation of offers of
assistance from foreign government and international organizations, responses to such offers, and
costs associated with the deployment of any equipment or personnel for the purpose of cost
recovery, evidence collection or other post-event actions for which such information may be
needed.
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Appendix IV: Operational Guidelines
Acknowledgement and Response to a Request for Assistance
The States in receipt of a request for assistance should provide acknowledgement of receipt to the
Requesting State and disseminate the information without delay to the appropriate authorities for
evaluation and decision.
States should communicate its response to the Requesting State as soon as possible and should
provide:
a. a detailed statement and complete list of all equipment, products and personnel it can provide
within those listed by the Requesting State as well as instructions for use of equipment and
products;
b. equipment that is in good working order and suitable for the requirements of the Requesting
State;
c. only products approved for use in its own territory; and
d. competent specialized personnel, if possible equipped with own kit needed for their action.
With respect to offers of equipment that can be deployed or utilized in response operations, such
detailed information may, without limitation, include the following:
a. the exact type and specification of the equipment offered including, to the fullest extent
possible, detailed photographs of the equipment, identification of the manufacturer(s),
model numbers, specification documents and, if practical, any information regarding the
prior operational use of the offered equipment in related oil or hazardous material
discharge/release events;
b. the current condition of the equipment and the possibility of degradation of the equipment
during operational use;
c. the total amount of each specific type or category of equipment offered;
d. weight, dimensions and other physical characteristics of equipment offered;
e. when and for how long the equipment would be available;
f. whether the equipment is being offered on a reimbursable basis or without charge;
summary of the terms and conditions of the offer if the equipment is being offered on a forfee basis ;
g. where the equipment is currently located;
h. whether the Assisting State will transport the equipment and the terms and conditions
under which transportation is offered including any export or customs restrictions that may
apply under the offering government’s national laws;
i. any special logistical problems that may be encountered in transporting or deploying the
equipment;
j. any specific conditions regarding use of the equipment;
k. the location of the international airport or seaport from which the equipment will be
transported;
l. contact information for authorized points of contact who are knowledgeable about relevant
technical details of the offered equipment and would be available to discuss additional
technical or operational details with subject matter experts; and
m. estimates of the time required to make the equipment available for transfer.
The Assisting State should determine minimum standards of maintenance, security, safety and
training required to operate equipment sent to Requesting State.
With respect to offers of technical, advisory or expert assistance from a foreign government, such
detailed information may, without limitation, include the following:
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Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
Appendix IV: Operational Guidelines
a. the credentials and a brief description of the experience of each individual that would
provide assistance, to include assurance that they are aware of the weather and working
conditions in the Arctic and are equipped with the appropriate cold weather working gear;
b. an assessment of the capability of each individual to speak and read in the official language
of the State engaged in response operations and the availability of effective translation
services if a language barrier is expected;
c. each individual's availability both in terms of how quickly the individual can be deployed to
response operations, for how long the individual can be deployed, and any requirement for
the individual to depart the operational location over the anticipated deployment period;
d. any costs the receiving government would be expected to defray (e.g., air fare, lodging, daily
remuneration fee);
e. whether the Assisting State would facilitate direct communications between the individuals
offering to provide assistance and technical experts of the Assisting State to further evaluate
the offer;
f. any special requirements of the offering government regarding the status of the individual
during any deployment period (i.e. requirement that the individual have the status of
Embassy technical staff, etc.); and
g. establishing means to ensure the personal safety and security of individual responders
while assisting in country, as well as ensuring their indemnity against any existing
responder liability laws within that nation.
Non-specialized personnel should not normally be sent out except perhaps in case of particularly
massive oil pollution.
Unsolicited International Offers of Assistance
Recognizing that a major incident exceeding national level capacity will demand additional external
resources to ensure a timely and effective response and may also result in an outpouring of offers of
assistance from the international community, early establishment of a robust coordination
mechanism to manage the process is an essential component of ensuring a timely and effective
response to the incident. The section aims to define parameters/guidelines for the establishment of
such a coordination mechanism to address offers of assistance.
Nations facing a major oil pollution incident may consider establishing one or more working groups
responsible for coordinating the intake, review, assessment, and potential acceptance of offers of
assistance from governments and international organizations.
Such working groups may, among other potential responsibilities:
a. communicate and share information through the most efficient means; and
b. assist in defining specific components of offers of assistance and matching those offers with
operational needs as defined by the agencies directly engaged in response operations.
The following are some recommended steps to follow in order to adequately process an offer of
assistance, upon receipt. These steps are not prescriptive, nor are they exhaustive. Each response
situation is unique and those involved need to be flexible to adapt these to their unique
circumstances as appropriate.
Document receipt of the offer: Once the Requesting State has submitted a NOTIFICATION or
REQUEST REPORT, and offers of assistance start to arrive, the already established Liaison Officers
(between the National Competent Authority and Foreign Ministry), as well as the operational
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Appendix IV: Operational Guidelines
technical experts from the National Competent Authority, and the Interagency group (if formed)
will document receipt of the offer, ensuring that the following information is captured at a
minimum:
a.
b.
c.
d.
Date and time of receipt of offer;
Method by which offer was Transmitted;
Who submitted the offer; and
Specific details of what was offered (as much as have been provided).
An internal spreadsheet, database, offer log, or some other electronic means to track offers which
have been received by the Requesting State should be established, and the agency responsible for
tracking and responding to received offers should be determined and agreed upon within that
State.
Responses to offering States: As described below, a timeline should be established for all steps
involved with managing international offers, one of the first of which should be an initial
communication to the Assisting State that their offer has been received and is under review. This
initial receipt communication should also provide a time estimate of when an acceptance/decline
communication will be sent. An example of a RECEIPT COMMUNICATION can be found at the end
of this chapter.
Determine Timelines and Evaluation Team composition: A determination should be made, between
the Requesting State’s National Competent Authority and Foreign Ministry, of the frequency with
which offers will be reviewed and evaluated, as well as the composition of the evaluation team.
During prolonged and complex responses, it is possible for International Offers of Assistance to be
provided over weeks of time. In such cases, those charged with receipt and evaluation of those
offers as well as for acceptance, should establish a frequency of evaluation as well as a timeline for
providing a response to the Assisting State. For example, the Evaluation Team could include
representatives from the Coast Guard (including technical experts as well as decision makers) and
the Department of State, and they may meet daily at a set time in person or via teleconference to
evaluate and provide an acceptance recommendation on offers received.
Technical Input: Ensuring that evaluation teams include a technical expert who is closely involved
in the response and is intimately aware of specific response needs such as the type and kind of
skimmer, boom, or other equipment is critical to the success of utilizing offers of assistance. One of
the primary objectives of a successful International Offers of Assistance program is to ensure that
the offers aid and support the response, with only those tools needed, and not bog down the
response with unnecessary, unwanted or outdated equipment.
Acceptance Decision: Once the evaluation team has made a determination whether to accept or
decline the offer, this decision should be documented appropriately. A range of specific information
should be included in the Acceptance Decision documentation, including rationale and/or criteria
for accepting or declining an offer. For example:
o
o
OFFER STATUS: ACCEPTED / DECLINED
RATIONALE:
OFFER WAS FOR AN EQUIPMENT TYPE NOT NEEDED
FOR THE OPERATIONS OF THIS RESPONSE.
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An example of an ACCEPTANCE COMMUNICATION can be found at the end of this chapter.
Critical to the successful management of an International Offers of Assistance program are to
ensure that all parties involved have realistic expectations about how offers will be solicited,
managed, processed, and responded to, as well as reasonable timeline estimates for each of these
key steps. Also critical to a successful IOA program, is consistent and thorough documentation of
each step in the management and processing of offers.
Liaison officers
Each Nation facing a major oil pollution incident will have a designated lead agency in charge of
spill response efforts and the coordination of response operations with other agencies of the
government. In the event the spill escalates beyond national capacity, there may be a need to
designate one or more liaison officers. Depending on the specifics of the incident, the lead agency
may consider employing one or both of the following types of liaisons to assist with interagency
coordination:
a. Foreign or External Affairs agencies or Regional organizations may consider designating
personnel to serve as a direct liaison with the lead agency for response operations. The
liaison officer should work closely with personnel from all agencies engaged in response
operations to accurately define and describe the specific types of capabilities that are
needed at various stages of response operations and to determine categories of response
capabilities that may be obtained through international sources. The liaison officer function
will facilitate the evaluation of offers of assistance from foreign governments or
international organizations in order to ensure that they meet current or projected
operational needs; and
b. the lead response agency may also designate personnel to serve as liaison officers with the
nation's Ministry of Foreign or External Affairs to serve as a technical advisor in
communications with other nations.
Communications between Response Agencies and National Competent
Authorities
In order to ensure that the correct equipment and/or assistance is requested in the international
arena, response agencies should specifically define and document their need for use as the basis for
requesting assistance. As these requirements are then communicated to the international
community, the specific needs should be stated in a uniform manner. Providing such detailed
information will promote the generation of responsive offers of assistance that most closely match
current and projected operational needs.
As soon as practical after response operations have commenced, foreign ministries and external
affairs agencies should provide guidance to their embassies and missions in foreign States on how
to communicate information regarding assistance that the State requires. The information
provided should be based on current or projected operational needs and how to facilitate offers of
assistance from foreign governments or international organizations.
Facilitation of Situational Awareness and Common Operating Picture
a. States should consider, if practical, the establishment of Internet based information portals
to facilitate the following:
b. Provide information to foreign governments, international organizations or others
regarding current or projected operational needs that may be met through offers of
assistance;
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c. Provide information regarding the level of detail required for offers of assistance
(equipment and personnel) to ensure the most meaningful and efficient review and
evaluation;
d. Provide portals for the submission of offers of assistance that simplify the collection of
information and streamline communications regarding the receipt and status of offers;
e. Provide information for the media and general public about the full scope of the response
effort and to publicly acknowledge, as appropriate, all who are contributing toward the
response; and
f. Provide points of contact for foreign government or international organizations to contact
for additional information.
The European Commission is presently (2012) working on draft support guidelines for
international assistance. These draft guidelines recommend that nations engaging in International
Offers of Assistance utilize the CECIS (Common Emergency Communication and Information
System) as the primary tool and Virtual OSOCC (On-Site Operations Coordination Centre) when
applicable to provide regular updates at the headquarter level regarding casualties and damage,
entry points and procedures, specific requests for assistance and to inform all international
participants of any special cultural, religious or traditional habits of the affected country, weather,
safety and security issues.
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SAMPLE 1 NOTIFICATION
URGENT
NOTIFICATION/ASSISTANCE REQUEST REPORT – INCIDENT NUMBER/ NAME AND LOCATION:_____________________________________
Date/Time: ____________________/____________________ (UTC)
PAGES (INCLUDING COVER PAGE): __________________________
From/Country of Emergency: _______________________________
To (Point of Contact): _____________________________________
Name/Position: __________________________________________
_______________________________________________________
Fax/Telephone: __________________________________________
Fax: ___________________________________________________
Email: __________________________________________________
Email: _________________________________________________
INCIDENT SPECIFICS
INCIDENT SPECIFICS:
INFORMATION TO DATE:
CONFIRMED?
TYPE AND CAUSE OF INCIDENT:
ESTIMATED VOLUME
SPILLED/SPILLING:
TYPE OF PRODUCT(S):
LOCATION OF SPILL (LAT/LONG):
SOURCE? IS SOURCE
CONTROLLED?
SITUATION ASSESSMENT AND
COMPLICATING FACTORS :
OTHER:
ASSISTANCE NEEDED?
ASSET TYPE NEEDED:
YES
NO
SPECIFICS OF ASSET NEEDED:
DATE/LOCATION
NEEDED:
ACKNOWLEDGEMENT: (Name, Organization, Country) acknowledges receipt of the above
Notification and confirms its dissemination to appropriate domestic authorities (Date, time).
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SAMPLE 2 REQUEST REPORT (Source: European Commission)
REQUEST FOR INTERNATIONAL ASSISTANCE
1. Host Nation requesting authority and contact details:
2. General description of requested assistance:
3. Type of requested assistance (please specify as much as possible):
4. Estimated duration of the deployment:
5. Location of entry points (GPS coordinates):
Land transport:
Air transport:
Maritime transport:
6. Name, location and GPS coordinates of base of operation (if already available):
7. Availability of host nation support:
Commodity/service:
Free of charge – YES
Free of charge - NO
food
drinking water
fuel
accommodation
In country transport
medical support
Liaison Officer
Interpreters
The Request Party will:
Yes
Waive any visa and/or immigration requirements.
Issue any and/or immigration documents.
Accept regulated professions:
doctors/nurses/paramedics/engineers/others.
Exempt equipment/goods of the modules/teams from all customs
duties, taxes, tariffs, fees, and from all export and import restrictions.
Provide temporary authorization to the assisting module/teams(s) to
legally operate on our territory, including rights to open bank
accounts, enter into contract and leases, acquire and dispose of
property and instigate legal proceedings.
Provide security services in case of need and/or upon a request of
assisting module(s)/teams(s).
The Requesting Nation declares to cover any damage suffered by third
parties on its territory caused by the assisting international
modules/teams where such damage is the consequence of the
assistance intervention provided for by this Decision, unless it is
proven to be the result of fraud or serious misconduct.
Yes
No
No
Additional remarks (specify to what extent and/or to what amount you are able to cover possible damage)
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Appendix IV: Operational Guidelines
SAMPLE OFFER COMMUNICATION (FROM ASSISTING STATE TO REQUESTING STATE)
INCIDENT NAME, LOCATION:
DATE:
TIME: (UTC)
ASSISITING PARTY/ORGANIZATION:
POINT OF CONTACT (NAME, CONTACT
INFORMATION):
TYPE OF ASSISTANCE OFFERED (EQUIPMENT,
PERSONNEL, TECHNOLOGY, VESSELS, ETC)
CURRENT LOCATION OF
RESOURCE
OWNER/MANAGER OF
OFFERED RESOURCE
(GOVERNMENT
AGENCY, PRIVATE
ENTITY, ETC)
1.
Does equipment require training personnel to accompany/operate?
2.
Does release of equipment from current location create compliance problem with
minimum standards of equipment for responses?
3.
How should equipment be transported? Will Assisting State provide transport?
4.
Are there specific power supplies, pumps, or other technical needs to operate this
equipment/asset?
5.
OTHER?
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Appendix IV: Operational Guidelines
SAMPLE RECEIPT COMMUNICATION (FROM REQUESTING STATE TO ASSISTING STATE)
INCIDENT NAME, LOCATION:
DATE:
TIME: (TIME ZONE)
OFFER RECEIVED BY:
DATE:
TIME: (TIME ZONE)
PROPOSED DATE OF ACCEPTANCE NOTIFICATION:
OTHER:
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SAMPLE ACCEPTANCE COMMUNICATION (FROM REQUESTING STATE TO ASSISTING STATE)
INCIDENT NAME
OFFER ENTITY (Government/Organization)
DATE/TIME
OFFER:
OFFER NAME/DESCRIPTOR:
ACCEPTED/DECLINED:
ACCEPTED OFFERS:
DATE REQUIRED:
LOCATION:
TRANSPORTATION SPECIFICS:
DECLINED OFFERS:
RATIONALE:
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Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
Appendix IV: Operational Guidelines
Command and Control
(Chart to be added on Command System terminology)
General principles
Operation management for a marine pollution emergency consists of four elements; control,
command, communication and intelligence. The Host State (the country leading the operation) has
operational control and command of all operations.
Parties involved in a joint operation, shall communicate in all relevant levels of cooperation.
The State who has a multinational oil spill response force operating within its area of responsibility
shall, unless otherwise agreed, be in charge of the joint operation (Requesting State) or (Host State).
A Competent Authority of a country is the responsible national authority that is empowered to
request and give international assistance. Competent Authorities of the Assisting States provide
agreed assistance, such as Strike Teams or Teams and materials, to the use of the Operational
Control or Strategic Command (normally ashore) of the Requesting/Host State.
The Competent Authority of the Requesting/Host State has the overall control of a joint operation
and all pollution response measures for the same incident. Nationally, it is assisted by the
respective National Authorities, which deliver necessary resources to the Operational Control or
Strategic Command.
The Operational Control or Strategic Command is the control and command function that is
undertaken by the appointed national authority of a Requesting/Host State in charge of a joint oil
spill response operation relating to the disposition and use of personnel and equipment placed at
its disposal. The Operational Control or Strategic Command plans, orders and co-ordinates all oil
spill response measures at sea and on shore for an incident and takes care of communication,
command, control, intelligence, forecasts and other joint arrangements in connection herewith.
The Operational Control or Strategic Command is responsible for supervision of staff, facilities,
communications and equipment provided in the response operation.
The person in charge of the overall operational control is the Response Commander (RC) or
Incident Commander (IC). The RC or IC may be aided by the liaison officers from assisting States
and the representatives of cooperative national and regional authorities acting as an advisory
body for the (RC) or (IC).
Under the Operational Control and Command of RC, the Tactical Command On-Scene (normally at
sea in a joint operation) is laid upon a designated Supreme On-Scene Commander (SOSC) from
the Lead Country. The contingents of Strike Teams or Teams of Assisting States and of the Host
State operate under the command of a National On-Scene Commander (NOSC) from each State.
The NOSC operates under the command of the SOSC.
Leaders of special joint functions and separate units may be directly under the (RC) or (IC) or the
SOSC. For instance, flight operations for reconnaissance and/or transport can be coordinated by the
operational control and thus controlled and commanded by a special Flight Coordinator.
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Appendix IV: Operational Guidelines
Command structure
In the event of activation of the Agreement, the Parties have agreed to cooperate, provide advisory
services, technical support etc. upon joint response operations. The figure below illustrates the
agreed principles of organizing the response operation on a strategic and tactical level.
Strategic Command
The Requesting State, unless otherwise agreed, will be in charge of the joint operations.
To that effect Requesting State should, through its Competent Authority, inter alia:
a. give administrative, operational and logistic support to assisting foreign units
b. give clearly defined tasks through the Incident Action Plan (IAP). The Incident Commander
is responsible for issuing the IAP.
c. organize practical co-operation between units from different countries
d. keep all units well-informed of the overall situation, and
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Appendix IV: Operational Guidelines
e. keep a firm contact with the command organizations of the assisting countries in order to
ensure that assisting foreign units can be transferred to national command if so
necessitated.
f. maintain ongoing contact with the Competent National Authorities of the Assisting State
whether it be directly or through the Liaison Officer.
g. prepare the Incident Action Plan (IAP), order and co-ordinate all combating measures at sea
and on shore and lead all communication, command, control, intelligence-gathering,
forecasting, and situation monitoring.
The Strategic Command also maintains responsibility for supervision and general safety and
welfare of staff, facilities, and equipment, and is situated on shore.
Tactical Command
The Requesting Party will act as Supreme On-Scene Commander or Coordinator (SOSC).
The SOSC will take tactical decision and will have the tactical control in the response area.
The Assisting State will assign a NOSC for their own units and will identify a lead individual to
facilitate coordination and assignment of operations.
Operationally self-contained assisting units should, to the largest extent be given separate tasks
within defined geographical areas and operate a national teams. The execution of the task will
normally be carried out under the command of the appropriate NOSC who will be in close radio
contact with the SOSC from the lead country.
Transfer of Operational Control and tactical command
If the main body of pollution crosses into a neighbouring State’s area of national jurisdiction the
Strategic and tactical command will normally be transferred to the country that is affected by the
main body of the pollution.
There could be effects in both the country of origin and one or more neighbouring neighbouring
countries.
If the oil is or moves into the High Seas each participating Party shall act on their own command,
unless other agreed. The timing of the shift of strategic and tactical command should be negotiated
between the two countries in question, giving due regard to the overall picture and any possible
trends in its development.
The countries in question will further have to settle the number of units and the amount of
equipment that could be placed at the disposal of the new lead country on how the combating
operation should be continued
Liaison Officers
Response Operations require the close cooperation between the requesting and assisting party or
parties to manage and direct response operations by the parties’ involved on all levels.
The requesting and/or assisting Party or Parties for a response may request a representative from
one of the other Parties to participate as a liaison officer to facilitate the flow of information and to
support direct communications between the Parties.
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Appendix IV: Operational Guidelines
The requested Party or Parties will designate such liaison officer(s) as soon as practicable who will
report directly to the requesting Party as appropriate.
If two countries affected by the same pollution choose not to exchange liaison officers, they should
as a rule exchange daily situation reports.



The liaison officers are under no administrative obligations from the host country except
those established by the host country for the functioning of the centre itself. The liaison
officers will thus have to arrange for their own accommodation, meals, etc.
The liaison officers should be given access to all necessary communication means such as
telephone, telefax, and email to a reasonable extent if available.
The functions of the liaison officers should be two-way so that their home country should be
able to channel its opinions and wishes through the liaison officers. In cases involving joint
operations or rendered equipment, this two-way function will be of great importance.
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Appendix IV: Operational Guidelines
Response Phases
General
The actions, which are to be taken to respond to an oil pollution incident, consist of five phases.
Elements of a phase or an entire phase may take place concurrently with one or more of the other
phases.
Phase I: Discovery and Notification
Phase II: Preliminary Assessment and Initiation of Action
Phase III: Containment and Countermeasures
Phase IV: Clean-up, Disposal and Decontamination
Phase V: Demobilization
Phase I: Discovery and Notification
An oil pollution incident may be discovered through routine surveillance activities, observations of
government agencies, by the entity, which caused the incident, or by members of the general public.
The Party, which becomes aware of an oil pollution incident in the contiguous waters, (ref. Art. 3 of
the Agreement) will without delay and in accordance with Article 6 in the Agreement and the
chapter xx of the Operational guidelines, notify all signatories to the Agreement accordingly.
Phase II: Preliminary Assessment and Initiation of Action
A party receiving notification of an oil pollution incident in the contiguous waters will immediately
assess the incident and manage the response operations in accordance with the appropriate
national response systems.
Phase III - Containment and Countermeasures
Containment and countermeasures will be undertaken using mechanical means unless other means
have been previously agreed by the States’ SOSC or NOSC and any other appropriate agency or
organization, in accordance with the laws of each State. Conditions for use and type of nonmechanical measures will be specified as appropriate.
Non-mechanical measures may be used as specified in that State’s national response system or as
agreed between the parties in the actual situation.
Phase IV - Clean-up, Disposal and Decontamination
The Requesting State is responsible for planning and execution of Clean-up, Disposal and
Decontamination.
Disposal of recovered oil and contaminated materials in clean-up operations will be undertaken in
accordance with the applicable national laws and regulations.
Decontamination of response resources during the coordinated response operations shall be
conducted in accordance with the applicable laws and requirements of each Party.
Phase V: Demobilization
The Requesting State will, in consultation with relevant government authorities and assisting
parties develop a coordinated demobilization plan.
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Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
Appendix IV: Operational Guidelines
Communication during Operations
Operative Communications
The system for Operative Communication during Oil Spill Response Operations in the Arctic is
described in the communication plan below.
Communication between the Incident Command, the SOSC and Monitoring
systems
It is the responsibility of the Requesting State to establish and maintain the communication
between the Incident Command, SOSC and the responsible for Monitoring Aerial Operations.
Communication between Incident Command, the SOSC and/or the Monitoring systems will be
based on appropriate communication systems for the actual situation.
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Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
Appendix IV: Operational Guidelines
The Operational Control (and as necessary a Flight Coordinator) will communicate with airplanes
and helicopters via the aviation frequencies (VHF 118-136 MHZ), which the nearest Flight
Information Region will order to be used for the purposes of the operation. Aviation frequencies
may also be used in communication between aircraft and OSC.
Maritime patrol planes and rescue helicopters are normally equipped with maritime VHF radios for
direct communication between the aircraft and vessels, which is beneficial for transport and near
reconnaissance services. Remote sensing results gained by a surveillance flight may be transferred
from a plane immediately to the Operational Control and to the OSC by radiotelephone or by a
possible special image transfer system. Following a flight reconnaissance, data can be sent by
mobile telecopy or from computer to computer by radio or mobile telephone.
Communication between the SOSC and the NOSC
A dedicated international maritime VHF channel will be established for communication between
SOSC and NOSC. To ensure smooth operations, the vessel from which the SOSC operates should, as a
rule, have at least two maritime VHF stations on board with a stand-by function on the dedicated
channel.
It is the responsibility of the Requesting State to obtain the appropriate authorization for use of
radio frequencies for response operations at sea.
Communication between NOSCs
Under circumstances where one NOSC and his (strike) teams operate geographically close to
another NOSC and his strike teams, a need may arise for direct communication between the two
NOSCs in respect of navigation, manoeuvring and other operational matters.
In order to restrict the number of VHF channels in use, the communication between NOSCs should
be performed on the same VHF channel as used for communication between the NOSCs and the
SOSC.
If more VHF channels are used for communication between the SOSC and the NOSCs, the
communication plan should be established in such a way that NOSCs and their strike teams
operating geographically close to other NOSCs and their strike teams should be allocated the same
VHF channel for communication with the OSC.
Communication between the NOSCs and their (Strike) Teams
The communication between a NOSC and his strike team units should be performed on special
domestic (internal) frequencies. The SOSC should allocate domestic frequencies for each of the
strike teams.
Communication between (Strike) Teams
If a need for communication between strike teams arises under the same NOSC, this communication
will be carried out on the same domestic frequencies as used for communication with the NOSC or
on a special domestic frequency selected for internal communication between strike teams.
Public Communications
Public communication will be the responsibility of the Requesting State. Coordinated public
information releases among States are preferred, but not always possible. To the maximum extent
25
Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
Appendix IV: Operational Guidelines
possible, joint press and media releases/briefings of the involved States will be conducted. If joint
press releases are not possible, the respective public affairs officers will coordinate to the
maximum extent possible to ensure information released separately is consistent and accurate.
Communication between Assisting States and the Incident Command (Strategic level)
of the Requesting State
The Competent Authority of the Requesting State and the Competent Authority of an Assisting State
may communicate with the Incident Command by using all convenient ways of communication
available for the purpose. All important matters for assistance shall be confirmed by the Competent
Authorities of the respective States. The Assisting State’s liaison officer may be responsible for
communication between his authority and the Incident Command. Otherwise it is the duty of the
Incident Command to deliver necessary information at minimum, daily.
Communication between an Assisting State and its Strike Teams
An Assisting State may communicate with its Teams involved in the operation via its liaison and the
Operational Control or directly when appropriate. Sea-going units may be reached by radio via MF,
VHF or HF coast stations or by mobile telephone (NMT or GSM) or by satellite telephone. Flight
units and other land-based teams may be attained by telephone. An aircraft, when airborne, may be
contacted directly or indirectly through the Operational Control. In case of an emergency an
airborne aircraft may also be contacted through the Air Traffic Service.
Movement and Removal of Resources across Borders
Removal/Management of Waste
Clean-up and disposal should be undertaken as expeditiously as possible.
Disposal of harmful substances and contaminated materials recovered in clean-up operations must
to be done in accordance with applicable laws of federal, state, provincial, territorial and municipal
governments. The State in whose geographic area the harmful substances and contaminated
materials were collected should be responsible for the disposal measures. Final disposal of the
recovered oil will depend on its nature and degree of contamination.
On completion of the clean-up operations, some restoration may be necessary. The degree of
restoration will be determined by the Host State. Some examples of such restoration are replacing
contaminated beach sand, replanting mangrove stands, marsh, and sea-grasses.
The decision to terminate clean-up operations will be made by the [On-Scene Commander].
In general, termination is decided when further operations would be ineffective or the
desired level of clean-up has been achieved.
Points of Entry
All participating States should pre-identify points of entry for incoming teams. Entry points can be
any type of border crossing (roads, rivers, ports, railroads, airports). Participating States should
develop a catalogue of these pre-identified entry points, including their capacities.
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Appendix IV: Operational Guidelines
Response Equipment
Many states have laws in place for customs duty and/or restriction exemptions with regard to
certain types of goods imported and exported for humanitarian relief. It is also common for
governments to have special emergency provisions in their customs legislation allowing for special
arrangements being put in place for processing of incoming relief items following a major disaster.
Requesting States should evaluate the applicability of such laws, if they exist within their nation, to
assistance for pollution response, which may not fall under the same stipulations as disaster
response.
If such laws exist within the Requesting State and can be applied to International Assistance for
pollution response, the Requesting State needs to determine how these exemptions are to be
implemented for response equipment, property and personnel arriving in from the Assisting
Nations. Likewise, the international responders from the Assisting State should prepare and have
ready detailed manifests of their equipment or property to facilitate expeditious customs
processing.
If the Requesting State accepts the use of ATA Carnets (www.atacarnet.com), for temporary
admission of professional equipment, it may be advantageous to investigate whether the issuance
of a Carnet is an option. A Carnet or ATA Carnet is an international customs and export-import
document. It is used to clear customs without paying duties and import taxes on merchandise that
will be re-exported within 12 months. Obtaining a Carnet also includes obtaining a surety bond to
secure the value of the goods shipped; insurance for the goods; and shippers export declaration.
Manifests
From the OCHA/UNEP Guidelines for Environmental Emergencies, the following are minimum
recommended elements that should be included in a manifest for equipment. Manifests are
provided by the Assisting State.
a. Date – Stating the date of the export/import;
b. Reason for Import – A short description stating that the equipment is for emergency
relief;
c. Shipper/Owner – Stating who owns and is responsible for the shipment during
transport. Shipper and owner will in most cases be the same, unless equipment is
sent as unaccompanied cargo;
d. Consignee – Name and contact details of the person responsible for the consignment
once it has reached the country of destination. For equipment brought by relief
teams, etc. this will usually be the same as shipper/owner;
e. Terms of Delivery – Refers to the international commercial term (incoterm) that
applies to the shipment. They are normally used to divide transaction costs and
responsibilities between buyer and seller in international commerce and stated on
an invoice for customs purposes. For equipment imported by Assisting Nation, it is
recommended to use the code CIF, which indicates that Cost, Insurance, Freight is
included in the invoiced value;
f. Overview – A table specifying the various items imported with description, quantity,
weight/volume, estimated value in internationally well-known currency (e.g., USD)
and possibly serial numbers of the items. Above or underneath the table the total
quantity, weight, volume and value should be indicated. Any items that are
considered hazardous substances should be clearly marked as such. It should also
be stated that the items are not being imported for commercial purpose; and
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g. Declaration – At the end of the manifest a declaration is normally included stating
that the equipment is intended to be used, disposed of, or re-exported. Furthermore,
it is also declared what origin the equipment has, often referred to in customs-terms
preferential status.
A manifest may be structured as a proforma invoice to further state that the equipment is
not intended for commercial purposes, but only for the owner’s professional use.
Immigration
All States should facilitate innocent passage of personnel and equipment and property
through its territory for the purpose of assisting in response operations, including
expeditious processing or complete waiver of customs and visa requirements.
The Requesting State should also provide regular information to arriving experts or response teams
with regard to entry points, customs and visa requirements, and other arrival arrangements.
Typically, immigration regulations regarding employment authorization require that
consent be obtained for all foreign nationals to work within a country. For purposes of
immigration and customs and excise rules, special emergency procedures should be
legislated, or temporary easements allowed, that could be invoked by government
authorities in the event of a spill in which a foreign response organization's services were
needed.
Diplomatic clearance
Response ships and surveillance are often owned and used by the Assisting State and therefore
need Diplomatic Permits before entering into the Requesting State’s territorial waters or air space.
Such Diplomatic Clearance should be provided by the Requesting State instead of applying normal,
less expeditious Diplomatic routines for this.
In areas where distances are short between different States’ resources, “Standing Diplomatic
Clearance” could be considered in order to save time in a mutual response operation.
Wildlife
With regard to wildlife response, there are two main areas in which customs and border crossings
need to be considered:
a. The entrance of invited responders and/or equipment into a country; and
b. The transport of oil affected animals across borders in order to have them rehabilitated in a
neighboring country
In some cases, permits may be needed to transport wildlife to and from a country. When permits
are necessary, it should be the responsibility of the Requesting State to ensure all permits are
secured prior to any wildlife being transported.
Transport of animals may require special equipment and knowledge and should always be done in
close consultation with experts.
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Passage through the Territory of a Third State
The Requesting State should coordinate with the Assisting State to ensure the facilitation of passage
of any equipment through a third party territory.
Joint Review of Oil Pollution Incident Response Operations
The purpose of an incident review is to draw experience from the operational parts of a bi-or
multilateral operation – from notification to termination – in order to identify areas for
improvement and to make necessary changes in the Operational Guidelines.
An Incident review should be executed as soon as soon as possible after termination of the
operation. The review should only deal with operational matters. Financial or legal matters have a
much longer time span and should therefore only be considered if they had a direct impact on the
operative outcome.
The review should be attended by representatives from all States having taken part in the
operation, but other States’ representatives should be invited.
In order to facilitate the review the following structure could be applied:
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
k.
l.
m.
n.
o.
p.
Short review of the incident
Notification
Request for assistance
Command and Control
Liaison
Tele- and radio communications
Equipment
Logistics
Aerial/satellite surveillance and monitoring
Oil drift hind- or forecasting
Intermediate storage
Waste management
Health and safety
Mass media and other public relations
Termination of operation
Any other business
Findings from the review should be documented and an action list should be determined.
Recommendations for changes of the Operational Guidelines should be forwarded to the next
meeting of the Competent Authorities where a presentation of the review should be made.
Joint Exercises and Training
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Exercises
Every two years, a competent authority or authorities with responsibility for Arctic oil pollution
preparedness and response, and which is party to the Agreement, should coordinate and conduct a joint
oil spill response exercise.
Responsibility for conducting joint exercises should fall, if possible, to the State in which the Arctic
Council Chairmanship resides however other States may offer to lead the exercise in any given year.
Joint exercises should commence within one year of the signing of the Agreement by all participating
States, and take place every two years thereafter.
The scenario should involve an oil spill that will or have the potential of crossing into the marine area of
another State or States, with boundaries delineated in Article 3 of the Agreement.
The host country should be responsible for all aspects of the exercise including design, development,
conduct, review, and documentation to include preparation of a compendium of lessons learned and
recommendations to inform needed improvements in preparedness for an Arctic oil spill.
Each Member State should delegate at least one member of their competent authority to serve as a
member of the exercise planning team to support the host country in the development of exercise goals
and objectives, spill scenario, assessment of need for and benefit of equipment deployment,
documentation requirements, scope of exercise, participant logistics, and other aspects of the exercise.
Each exercise should include one or more of the following objectives:
a. Real time notification of affected State competent authorities of initial spill event
b. Simulated monitoring and sharing information on spill location
c. Processing requests for assistance
d. Coordination of response operations
e. Identification and compilation of list of available response resources
f. Simulated movement of equipment across borders
The host country should provide member States the date(s) for the exercise at least one year in advance
to facilitate participation of appropriate representatives.
A schedule for the exercise cycle from initial concept design to final report publication should be
established by the host country with support from the exercise planning team.
At the initial planning team meeting, the member States of the planning committee should identify and
adopt a common incident command system that will be employed for all future exercises and in
response to oil spills that occur in the Arctic.
A report on the exercise, findings, and recommendations should be published within six months of
exercise completion and circulated to Arctic Council States and made accessible on the Arctic Council
website.
In the year following the joint exercise, member States should conduct a notification exercise that will
verify contact information for competent authorities, and the ability to collect and convey a spill report.
Responsibility of conducting, analyzing, and writing a report on each notification exercise should be the
responsibility of the country that holds the Arctic Council Chairmanship at the time.
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Notification exercises should commence within three months of the approval of the Agreement by all
participating States and take place on a quarterly basis thereafter.
To provide opportunities for other joint exercise engagement, member States should notify competent
authorities at least six months in advance of other scheduled Arctic or cold water oil spill exercises and
provide for either observation status or participation in the exercise.
Training
Prior to each joint exercise, the host country should conduct a one day training that addresses the scope
of the exercise, the incident command system that will be used in the exercise, best practices in spill
management, or other topics of interest.
Each member Nation should notify the competent authority or authorities of parties to the Agreement
of scheduled training where open positions may be available to accommodate staff from other States.
Notification of training would include:
a. Name of training
b. Date(s)
c. Location
d. Training objectives and content
e. Targeted positions
f. Pre-requisite training required for attendance
g. Language of instruction
h. Registration costs, if any
Reimbursement of Costs of Assistance
Liability and Compensation for Pollution Damage in the Arctic Region
Dealing with marine pollution, whether at sea or on the shore, can be a protracted and expensive
business. Initially, the costs of clean up operations fall on the bodies incurring them. These
paragraphs give a brief description of the ways that those involved in clean up operations can later
recover their costs. However, its purpose is not to provide definitive legal advice.
The route by which compensation is available for a pollution incident within the Arctic region is
dependent upon the source and the type of the pollutant involved. The paragraphs below and table
provided at the end of this chapter seek to identify the relevant legislation for most pollution
incidents.
Tankers
For a pollution incident involving a commercially operated tanker1, a number of compensation
A tanker is defined under the 1992 Civil Liability Convention as 'any sea-going vessel and seaborne craft of
any type whatsoever constructed or adapted for the carriage of oil in bulk as cargo...' (where the oil is
persistent,
see
the
convention
text
for
a
full
definition
http://www.iopcfunds.org/uploads/tx_iopcpublications/Text_of_Conventions_e.pdf). However, a broader
definition of a tanker would encompass the carriage of other bulk liquid cargoes and, as such, a tanker may be
1
31
Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
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schemes are available:
For a pollution incident involving persistent oil2 carried as cargo, compensation in Canada,
Finland, Greenland3, Iceland, Norway, the Russian Federation and Sweden is available under an
international compensation regime comprising the 1992 Civil Liability Convention, the 1992 Fund
Convention and the 2003 Supplementary Fund Protocol. The amount of compensation available is
either ~US$329million or ~US$1,230million, dependent upon whether the affected country is a
signatory to the Supplementary Fund Protocol (see table 1 & figure 1). Compensation is obtainable
from the tanker owner or the tanker's insurer up to an amount dependent upon the size (gross
tonnage) of the tanker with the remainder obtainable from the International Oil Pollution
Compensation Funds (IOPC Funds)4. These schemes provide compensation for costs and losses
incurred within national waters and for actions taken on the high seas to protect national waters
(see section 8 below for additional information). Other costs and losses incurred on the high seas
are not covered.
The responsibility in many of the Arctic countries to respond to and clean up a pollution incident
falls initially on the government of the country affected. In such countries, the role of a shipowner
may be restricted to crew and salvage matters, or providing technical support and ultimately
paying compensation through their Protection and Indemnity (P&I) insurance. In other
jurisdictions, legislation places a requirement on the shipowner to respond to varying extents, with
the activities overseen and directed by government. Irrespective of the response requirements,
under the international conventions, the tanker owner is strictly liable for the costs of clean up
operations. Strict liability means that the claimant need not prove fault to obtain compensation. The
tanker owner may escape liability only if they can prove that one of a limited number of exceptional
circumstances (for example, an act of war) caused the damage. This liability does not exist on the
high seas.
For a pollution incident involving persistent bunker fuel carried by a tanker, compensation is
also available in the same countries under the same international compensation regime provided
the tanker was carrying persistent oil cargo or has the residues of a persistent oil cargo onboard at
the time.
For a pollution incident involving bunker fuel5 carried by a tanker that has no persistent oil
cargo or residues onboard, compensation is available under a different international
compensation regime (the 2001 Bunkers Convention). Compensation is obtainable from the tanker
owner or the tanker's insurer up to an amount dependent upon the size (gross tonnage) of the
tanker. The Bunkers Convention has the same geographical limits as the 1992 CLC.
defined as 'any ship (whether or not self-propelled) designed, constructed or adapted for the carriage by
water in bulk of crude petroleum, hydrocarbon products and any other liquid substance'. It is unclear
whether the conventions apply to floating production, storage and offloading units (FPSO & FSU) and
permanently or semi-permanently anchored ships engaged in ship-to-ship oil transfer operations.
2 The definition of persistent oil is highly technical, being based on the distillation characteristics of an oil.
Hydrocarbon mineral oils such as crude oil and heavy fuel oil are persistent oils. Aviation fuel and petrol are
non-persistent oils. Vegetable based oils are excluded from this definition.
Confirmation of the applicability of the international conventions by Denmark to Greenland should be
clarified.
3
4
see www.iopcfunds.org for further information
Defined under the Bunkers Convention as any ‘hydrocarbon mineral oil, including lubrication oil, used or
intended to be used for the operation or propulsion of the ship, and any residues of such oil’
5
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For a pollution incident involving non-persistent oil carried as cargo or other pollutants
carried in bulk as cargo, for example hazardous and noxious substances, compensation is
dependent upon establishing a valid claim under the appropriate national law, pending
implementation of the HNS Convention (see section 11 below for further information). In Canada,
Finland, Greenland3, Iceland, Norway, the Russian Federation and Sweden, the amount of available
compensation is limited by a separate convention, the Convention on Limitation of Liability of
Maritime Claims 1996 (LLMC 1996), dependent upon the size (gross tonnage) of the ship.
Country
Civil Liability
Convention
1992
Fund
Convention
1992
Supplementary
Fund Protocol
2003
Limitation of
Liability for
Maritime Claims
1996
Bunkers
Convention
2001
Canada





Finland





Greenland





Iceland


Norway


Russian
Federation


Sweden










United States
Table 1. Applicability of international compensation conventions within the Arctic Region
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Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
Appendix IV: Operational Guidelines
Figure 1. Compensation limits under the international regime for tankers.6
For a pollution incident involving a tanker in the United States, compensation is available under US
national law. The Oil Pollution Act of 1990 (OPA‘ 90) places a requirement on the shipowner to
respond and prescribes liability and compensation for oil (see section 33 USC § 2704 of OPA’90 for
further information7). The Comprehensive Environmental Response, Compensation and Liability
Act of 1980 (CERCLA)8 prescribes liability and compensation for many other pollutants.
Compensation for tankers operated non-commercially, for example by military departments, is not
governed by the above compensation schemes. Compensation would be dependent upon the
government of the operating country.
Non-Tankers
For a pollution incident involving a commercially operated ship other than a tanker, for
example a container ship or a cruise ship, a number of compensation schemes are available:
For a pollution incident involving bunker fuel carried by a commercially operated ship other than
a tanker in Canada, Finland, Greenland3, Norway and the Russian Federation, compensation is
available under the 2001 Bunkers Convention. Compensation is obtainable from the ship owner or
the ship's insurer up to an amount dependent upon the size (gross tonnage) of the ship. The
Bunkers Convention applies strict liability on shipowners and has the same geographical limits as
the 1992 CLC.
For a pollution incident involving bunker fuel carried by a commercially operated ship other than a
tanker in Iceland, Sweden and the United States, compensation is dependent upon establishing
6
The Conventions are described is Special Drawing Rights where 1 SDR ~=US$1.62
7
for example at http://www.uscg.mil/npfc/Response/RPs/limits_of_liability.asp
8
See http://www.epa.gov/oem/content/hazsubs/cercsubs.htm for further information
34
Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
Appendix IV: Operational Guidelines
liability under national law and would be available from the ship owner or the ship's insurer. In
Iceland and Sweden, liability is limited by the LLMC 1996, dependent upon the size (gross tonnage)
of the ship. In the United States, liability is prescribed by OPA’90.
For an incident involving other pollutants carried by a commercially operated ship other than a
tanker, for example hazardous and noxious substances carried in containers on a container ship,
compensation is dependent upon establishing liability under national law and would be available
from the ship owner or the ship's insurer. In Canada, Finland, Greenland3, Iceland, Norway, the
Russian Federation and Sweden, the amount of available compensation is limited by LLMC 1996,
dependent upon the size (gross tonnage) of the ship. In the United States, liability is prescribed by
CERCLA or OPA’90.
For a pollution incident involving a government owned or operated ship, other than a ship used
for commercial purposes, compensation would be dependent upon the government of the operating
country.
Offshore Installations
No international regime is in place to establish liability and compensation for offshore
installations. Compensation is therefore dependent upon establishing liability under national law,
for example OPA’90 in the US (other examples of national law could be included). Compensation
should be sought first from the operator of the installation. Operators may be self insured or insure
liabilities in the commercial insurance market.
For operations in Greenland and Norway, compensation may be available alternatively from the
Offshore Pollution Liability Association Limited (OPOL)9 if the operator is unable to pay.
Compensation is available currently from OPOL up to US$250 million for all claims (including
pollution damage10 and the costs of remedial measures11) arising out of an accident.
As noted in footnote 1, it is unclear whether the international conventions apply to floating
production, storage and offloading units (FPSO & FSU) and permanently or semi-permanently
anchored ships engaged in ship-to-ship oil transfer operations. If the international conventions are
not applicable, compensation should be sought as for other types of offshore installations.
Unknown Source
If the specific source of the pollution cannot be identified, compensation may still be available.
The IOPC Fund pays compensation for pollution damage if the claimant can prove (for example, by
chemical analysis) that the pollution resulted from a spill of persistent oil from a tanker.
Claiming for Recoverable Activities under the International Conventions
Following an oil spill, the ship owner, their insurer – usually a Protection and Indemnity Club (P&I
Club)12 – and the IOPC Funds if relevant, generally pay compensation for four areas of claims:

9
pollution prevention measures and clean up;
See http://www.opol.org.uk/ for further information.
‘Pollution damage’ means direct loss or damage (other than loss of or damage to any offshore facility
involved) by contamination which results from a discharge of oil.
10
‘Remedial measures’ means reasonable measures taken by any party from any of whose offshore facilities a
discharge of oil occurs and by any public authority to prevent, mitigate or eliminate pollution damage
following such discharge of oil or to neutralize the oil involved in such discharge.
11
12
For further information on the main P&I Clubs see http://www.igpandi.org/
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Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
Appendix IV: Operational Guidelines



property damage;
economic losses in the fisheries, mariculture, fish processing and tourism sectors; and
environmental damage and post-spill studies
Admissible claims for clean-up operations include the cost of response to oil floating at sea, to
defend sensitive resources, to clean shorelines and coastal installations and to dispose of any
recovered oily debris, such as personnel and the hire or purchase of equipment and materials. The
cost of cleaning and repairing clean up equipment and of replacing materials consumed during the
operation is also admissible.
Claims for damage to property such as fishing nets and vessel hulls may be compensated as may
claims for consequential economic loss (loss of income and profit as a result of damage to property)
and pure economic loss (loss of income and profit where property has not been contaminated, for
example by the imposition of fishing bans).
The international regime limits compensation for environmental damage to actual restoration
costs. This is in contrast to US national law that provides compensation for both decrease in value
of natural resources and the costs of assessing such damages.
Compensation under the international conventions is also available in cases where there is no oil
spill, if there is a grave and imminent threat that pollution damage might occur. For example, the
costs of mobilising clean up resources to the site of a tanker aground on a rocky coastline in bad
weather would normally be admissible, even if a successful salvage operation subsequently
prevents any oil from being spilled.
The logistics of a response within the Arctic region may result in significant costs. If the total of all
valid claims exceeds the total amount of compensation available, claimants will only receive a
percentage of their claims. Concerns in the early stages of an incident that this situation might arise
can result in the P&I Clubs, and IOPC Funds if relevant, making initial payments at less than 100%
of eligible claims. The IOPC Funds make top up adjustments as the claims position becomes clearer.
However, this situation is only likely to arise following major oil spills.
The IOPC Funds have developed a series of criteria for establishing whether claims are eligible for
compensation13. In relation to clean up and reinstatement operations, the fact that a government or
other public body decides to take certain measures does not automatically mean that the IOPC
Funds will reimburse the cost of those measures.
Where a claimant and the body paying compensation cannot agree on the assessment of the claim,
the claimant has the right to bring his or her claim before the competent court in the State in which
the damage occurred. However, since the international compensation regime was established in
1978, court actions by claimants have not proved necessary in the majority of incidents involving
the relevant conventions.
These criteria are often applied to the assessment of claims arising from non-Fund incidents, for
example for spills from non-tankers under the Bunkers Convention or liability arising under
national laws.
Claiming for Recoverable Activities under OPOL
Under the OPOL process8, operators accept strict liability (subject to limited exceptions), up to a
maximum of US$250 million per incident, comprising US$125 million to cover pollution damage
claims and US$125 million for remedial measures claims. OPOL administers the provisions of the
Agreement, under which participating oil companies who are operators accept strict liability for
See the IOPC Funds Claims Manual at
http://www.iopcfunds.org/uploads/tx_iopcpublications/2008_claims_manual_e.pdf
13
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Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
Appendix IV: Operational Guidelines
pollution damage10and remedial measures11 up to a maximum amount per incident.
Operators under the OPOL Agreement must provide evidence of financial responsibility in respect
of their obligations to claimants, subject to the limits in the Agreement, but the OPOL Agreement
does not preclude claimants from seeking redress in the Courts for losses incurred. If an operator
fails to meet his obligations to claimants under the OPOL Agreement, then the remaining operators,
who are parties to the OPOL Agreement, have agreed to guarantee payment of claims up to the
maximum aggregate amount of US$250 million per incident.
The OPOL Agreement covers not only fixed installations and pipelines but also mobile offshore
drilling units (MODU), production facilities such as Floating Production Storage and Offloading
facilities (FPSOs) and Floating Storage Units (FSUs) while being used in the production process, as
well as when temporarily removed from its operational site for any reason whatsoever.
Under the OPOL Agreement, claimants are required to submit their claims within one year of the
date of the incident to the relevant operator who is obliged to handle and pay the claim directly.
It should be remembered that the OPOL Agreement does not act as a limit on an operator’s
member’s liability at law and claimants are free to pursue their rights through the Courts for losses
which exceed the maximum recoverable under the OPOL Agreement or those beyond the scope of
the OPOL Agreement.
Claiming for Recoverable Activities under National Law
10. Members of the Arctic Council are invited to provide a summary of their national laws relevant to
liability and compensation for pollution from ships not covered by the international conventions and
for offshore installations.
Other Legislation
Hazardous and Noxious Substances Convention
The 2010 HNS Convention14 establishes a comprehensive regime covering pollution damage from
hazardous and noxious substances carried by ships, as well as the risks of fire and explosion,
including loss of life, personal injury, and loss of or damage to property. The convention is not yet in
force, requiring ratification from additional states.
Removal of Wrecks
The Nairobi International Convention on the Removal of Wrecks (2007 Wreck Removal
Convention)15, which is not yet in force, covers the liability for the removal of wrecks and was
adopted by the IMO in 2007. This Convention provides a legal basis for State Parties to remove, or
have removed, shipwrecks potentially affecting the safety of lives, goods and property at sea, as
well as the marine environment.
The registered owner of the ship that becomes a wreck and that constitutes a hazard, is liable to
remove the wreck. In particular, the ship owner is liable for the costs related to locating, marking
and removal of the wreck. The owner and the person(s) providing insurance or other financial
security is entitled to limit liability under any applicable national or international regime, such as
the Convention on Limitation of Liability for Maritime Claims (1976 LLMC) and its Protocol.
Collaborative response under UNCLOS and OPRC 1990.
14
See http://hnsconvention.org/ for further information.
See http://www.imo.org/About/Conventions/ListOfConventions/Pages/Nairobi-InternationalConvention-on-the-Removal-of-Wrecks.aspx for further information.
15
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Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
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The difficulties of response in Arctic waters, particularly the remote nature of many areas and
recovery of oil from ice may necessitate collaboration between countries bordering the region, and
further afield. All Arctic countries are party to the International Convention on Oil Pollution
Preparedness, Response and Co-Operation, 1990 (OPRC’90)16 that serves to promote this
process. Under this Convention, countries agree, where possible, to co-operate and respond when
requested by any country affected or likely to be affected by an oil spill. The 2000 Protocol to the
Convention addresses requests for spills of hazardous and noxious substances. This stance is
supported by UNCLOS article 19717 that urges countries to cooperate through competent
international organizations, in formulating and elaborating international rules, standards and
recommended practices to protect and preserve the marine environment. Article 234 of UNCLOS
addresses specifically response in ice covered national waters.
The Convention stipulates that the costs incurred by assisting countries should be met by the
country requesting the assistance. Response activities undertaken by a country on its own initiative
should be met instead by that country. Alternative funding arrangements can be determined as part
of bilateral or multilateral contingency plans or agreed otherwise.
For the reimbursement of such costs the Convention also stipulates that the costs of activities
undertaken by a country at the request of another country should be fairly calculated according to
the law and current practice of the assisting country. This is of particular importance when
resources from a country that is a party to an appropriate international compensation convention
(1992 Civil Liability, 1992 Fund and 2001 Bunkers Conventions) are used in a country that is not a
party. OPRC’90 anticipates that all activities may not be eligible for compensation and stipulates
that the country requesting assistance may ask the assisting country to waive reimbursement of the
costs exceeding the amount compensated or to reduce the costs which have been calculated in
accordance with paragraph.
OPRC’90 addresses collaborative response with national waters, although response to pollution
threatening a country’s waters may potentially be addressed. It is probable that any response on
the high seas would initially be at the expense of the responding countries.
Insurance
The Requesting Nation should determine with the Assisting Nation which party will assume the
responsibility for equipment damage and loss. If suitable insurance cannot be obtained by either
party, then another means of guarantee should be requested. The most secure means of insuring
the replacement of damaged or lost equipment is to request that a bond be placed with a financial
institution in the value of the loaned equipment.
Attach separate table/chart identifying the relevant legislation for most pollution incidents.
Guidelines for Cost Recovery and Record Keeping
See http://www.imo.org/about/conventions/listofconventions/pages/international-convention-on-oilpollution-preparedness,-response-and-co-operation-(oprc).aspx for further information.
16
See https://www.un.org/depts/los/convention_agreements/texts/unclos/UNCLOS-TOC.htm for further
information.
17
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Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
Appendix IV: Operational Guidelines
These paragraphs contain information on how those who respond to, or are affected by, marine
pollution incidents should best go about recovering the costs incurred.
In order to streamline and expedite this process of cooperation and to avoid any potential for later
misunderstanding, the Requesting Nation and Assisting Nation should agree on the principles for
compensating the potential damage suffered by third parties as early as possible, ideally already
during the process of requesting, offering and accepting the international assistance. Both, the
Requesting Nation and Assisting Nation should declare their willingness or non-willingness to
cover damage suffered by third parties.
During any counter pollution or salvage operation it is essential that all those involved keep records
of their activities, for example the time, location and reason for the activity the resources used. In
the initial emergency phase, the need to record the information necessary for the subsequent
reimbursement of costs is commonly overlooked as operational personnel will be occupied on
other tasks focussing on the response. Nevertheless, the importance of accurate records cannot be
over-emphasized. Reliance on memory for subsequent claims compilation is not realistic,
particularly during a lengthy and fast-moving response.
Useful records extend from minutes of meetings including all decisions made to beachmaster
records of the number of personnel, plant and materials used on a particular beach on a particular
day and who provided them. The compilation of a photographic library, with all photographs date
and time stamped would be of great assistance as proof of activities.
A number of criteria exist for a claim to qualify for compensation. These criteria, adapted from the
IOPC Funds claims manual, can provide a guide to best practice when compiling a claim under any
jurisdiction and include:





Any expense, loss or damage must actually have been incurred.
Any expense must relate to measures that are considered reasonable and justifiable.
Any expense, loss or damage is compensated only if and to the extent that it can be considered
as caused by contamination resulting from the spill.
There must be a reasonably close link of causation between the expense, loss or damage
covered by the claim and the contamination caused by the spill.
A claimant has to prove the amount of his or her expense, loss or damage by producing
appropriate documents or other evidence such as: .
o recording the dates on which work was carried out at each site; in this context, date and
time stamped photographs are extremely useful;
o recording the number and categories of response personnel, regular or overtime rates
of pay and who is paying them;
o recording the travel, accommodation and living costs for response personnel; keep a
record of the equipment costs for each site: types of equipment used, rate of hire or
costs of purchase (bearing in mind residual values to be deducted), quantity used,
period of use (in use or standby);
o ensuring that any damaged equipment is photographed and assessed by an independent
body prior to repair or replacement;
o recording materials consumed in the response, for example, sorbent and dispersant;
o recording the cost of temporary storage, transport, treatment and disposal of waste; and
recording any other incident specific cost relating to the response in any way, e.g. oil
analysis, reinstatement, impact assessments, etc.
Record keeping
To be most effective, the recording of information should be the responsibility of all personnel with
the gathering of the information necessary to support a claim allocated to a dedicated person or
39
Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
Appendix IV: Operational Guidelines
group with a good understanding of the structure and accounting practices of the claimant
organisation. Record keeping should commence at a very early stage in the incident to keep
adequate records and control expenditure. Responders should not discard any relevant document.
All data should be backed up and catalogued on a regular basis, at least daily.
The precise form of records varies with the circumstances. However, there are two points to keep in
mind:
 records of any incident act as the source material for many incident related purposes; and
 since responders cannot know the particular purpose that records will serve in advance, record
keeping should err on the side of too much rather than too little detail.
The record should clearly show information received, decisions taken, orders given, and action
taken. For example, responders may use aircraft for reconnaissance. In this case, there should be a
record not only of when they called the aircraft out but of take-off times, landing times, details of
any oil found, the area searched, passengers and crew on-board the aircraft, who received the
information and when. For dispersant spraying operations, records should specify the area of
operations and indicate the duration of spraying, the amount, type, age, and efficacy of dispersant
used, and the results obtained.
As a further indication of the level of records required one example would be for the hiring-in of an
item of equipment, the hirer should seek to clarify the following items:




















member of staff that authorised and placed the order;
the reason for hiring the equipment;
date and time item actually hired;
organisation hired from;
evidence of any research relating to cost of hire
quantity of each item actually hired;
for larger pieces of equipment (particularly chartered vessels) it would be useful to take
photographs of the condition of the item prior to use for response activities;
if more than one item of any type is hired, devise a system for unique identification;
how it was delivered / transported;
where it was actually delivered to;
who took delivery;
a daily activity record of what the item was used for, including the location of use;
photograph of damaged items;
brief description of how the damage occurred;
do not repair until approval or advice has been reached with an insurance representative on
site (for example a surveyor appointed by the insurers);
dates actually used for the response;
dates the item was on standby at the scene of the incident;
date off-hired;
condition of the item when returned to owner; and
no betterment of equipment on return to owners.
Record keeping requires a heavy commitment in terms of minute takers, message takers,
procurement specialists and financial experts. There are specialist firms that offer tracking and
recording services for clean up operations and the appointment of such a firm may be justifiable
following a major pollution incident. In such a case, liaison with the owners and insurers will
determine whether such costs can be recovered.
Like any operation involving the expenditure of large sums of money, the usual rules of propriety,
accountability and the need for a fully detailed audit trail apply.
40
Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
Appendix IV: Operational Guidelines
Time limits for claims arising from an incident
Claimants should aim to produce their claim at the earliest opportunity – if need be in draft form
initially. Claimants should be aware that there are usually time limits for claims. Claimants must
secure their claims by taking legal action against the polluter, typically within three years of the
date on which loss or damage occurred or within six years of the date of the incident.
Wherever possible, claimants should seek to have their claims settled within these periods. If this is
not possible, claimants may protect their claims by taking legal action against the owner or their
insurer. Should this be necessary, claimants should seek legal advice.
Formal legal action to enforce a claim is usually the last resort. In most cases, informal negotiations
result in a settlement. Given the time limits for legal enforcement of claims, it is in everybody’s
interest for claimants to submit claims as soon as possible after the incident. Often, considerable
time is required to compile a claim and all the substantiating evidence. If claimants anticipate
delays, they should notify the owner’s insurers at an early date of the intention to submit a claim at
a later stage.
Submitting a claim
Claimants should initially submit claims for clean up costs to the owner and/or to the relevant P&I
Club18.
The P&I Clubs do not publish formal guidance on their requirements for submitting claims, but the
guidance in this appendix and the IOPC Funds’ claims manual19 or claims manuals of respective
nations3,4 may be appropriate.
Where relevant, the IOPC Funds co-operate closely with the relevant P&I Club in assessing and
settling claims. In an incident involving the IOPC Funds, claimants should submit full supporting
documentation to the tanker owner, the P&I Club or the IOPC Funds. Where required, claimants
should notify the IOPC Funds of any claim they have submitted to the owner or P&I Club.
When an incident gives rise to a large number of claims, the P&I Club and the IOPC Funds may
jointly set up a local claims office to process claims more easily. If such a claims office is established
at the scene of an incident, claimants should submit their claims to that office. The local press
should carry details of how to submit claims. The designated surveyor and the joint claims office
refer claims to the P&I Club and to the IOPC Funds for decisions on their admissibility.
General – All Claims
Claims should be in writing and must contain the following particulars:


18
19
3
the name and address of the claimant, and of any representative;
the identity of the ship or offshore installation involved in the incident;
Contact details for the main P&I Clubs are available at http://www.igpandi.org/Group+Clubs
See http://www.iopcfunds.org/uploads/tx_iopcpublications/2008_claims_manual_e.pdf
See http://www.uscg.mil/ccs/npfc/Claims/default.asp for further information on the USA
4
See http://www.tc.gc.ca/eng/marinesafety/oep-ers-regime-compensation-314.htm for further information on
claims submission in Canada
41
Agreement on Cooperation on Marine Oil Pollution Preparedness and Response in the Arctic
Appendix IV: Operational Guidelines




the date, place and specific details of the incident if known;
the type of pollution damage sustained
the nature of the operations, or response measures, for which the claimant is seeking
compensation; and
the amount of compensation sought.
Supporting documentation should link all the expenses (including disposal) to the actions taken at
specific sites.
20. Members of the Arctic Council are invited to provide a summary of their national policy relevant to
costs recovery and record keeping where this differs from the above.
Administrative Provisions
The Operational Guidelines should be kept updated and should take into consideration lessons
learned and any new and relevant information.
According to paragraph 2 of Article 20 of the Agreement on Cooperation on Marine Oil Pollution
Preparedness and Response in the Arctic (“the Agreement”), additional Appendices or
modifications to existing Appendices may be adopted at the meetings of the Parties.
As custodian of the Guidelines, XXXcountry is responsible for coordinating the review, approval and
implementation of any proposed amendments.
Proposals to update the Guidelines may be submitted to EPPR Heads of Delegation by state
representatives (including Competent National Authorities). These are forwarded to the custodian
of the Guidelines (XXX Head of Delegation) who will distribute the proposals to EPPR Heads of
Delegation for consideration by members of each state along with instructions regarding timelines
for reply. The proposed amendments will be discussed and consolidated at the next EPPR working
group meeting, and upon approval, will be forwarded to representatives of the competent national
authorities of the Parties for consideration and acceptance at the next meeting of the Parties.
The custodian must ensure the public availability of the amended Guidelines on the Arctic Council
website without delay, to allow immediate access by all potential users (i.e. representatives of the
competent national authorities of the Parties and members of the Emergency Prevention,
Preparedness and Response working group of the Arctic Council). The custodian must also ensure
electronic archiving of any previous versions.
42