5 Part Miniseries – Are annual plan reviews required for all regulatory plans? (USCG FRP)
John K. Carroll III
Associate Managing Director at Witt O'Brien's, LLC, Part of the Ambipar Group
Continuing my 5-part mini-series, “annual plan review requirements under commonly required regulatory compliance programs,” today we will review the requirements under the United States Coast Guard (USCG) rule for Facility Response Plans (FRP) under 33 CFR Part 154 – Subpart F.
If you missed the first two parts, click below.
- 5 Part Miniseries – Are annual plan reviews required for all regulatory plans? (EPA FRP)
- 5 Part Miniseries – Are annual plan reviews required for all regulatory plans? (PHMSA OSRP)
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As always, let’s examine what the actual rule says.
§154.1065 - Plan review and revision procedures
(a) A facility owner or operator must review his or her response plan(s) annually. This review shall incorporate any revisions to the plan, including listings of fish and wildlife and sensitive environments identified in the ACP in effect 6 months prior to plan review.
(1) For an MTR facility identified in §154.1015(c) of this subpart as a “significant and substantial harm facility,” this review must occur within 1 month of the anniversary date of COTP approval of the plan. For an MTR facility identified in §154.1015(b) of this subpart, as a “substantial harm facility” this review must occur within 1 month of the anniversary date of submission of the plan to the COTP.
(2) The facility owner or operator shall submit any revision(s) to the response plan to the COTP and all other holders of the response plan for information or approval, as appropriate.
(i) Along with the revisions, the facility owner or operator shall submit a cover letter containing a detailed listing of all revisions to the response plan.
(ii) If no revisions are required, the facility owner or operator shall indicate the completion of the annual review on the record of changes page.
(iii) The COTP will review the revision(s) submitted by the owner or operator and will give written notice to the owner or operator of any COTP objection(s) to the proposed revisions within 30 days of the date the revision(s) were submitted to the COTP. The revisions shall become effective not later than 30 days from their submission to the COTP unless the COTP indicates otherwise in writing as provided in this paragraph. If the COTP indicates that the revision(s) need to be modified before implementation, the owner or operator will modify the revision(s) within the time period set by the COTP.
(3) Any required revisions must be entered in the plan and noted on the record of changes page.
(b) The facility owner or operator shall submit revisions to a previously submitted or approved plan to the COTP and all other holders of the response plan for information or approval within 30 days, whenever there is—
(1) A change in the facility's configuration that significantly affects the information included in the response plan;
(2) A change in the type of oil (petroleum oil group) handled, stored, or transported that affects the required response resources;
(3) A change in the name(s) or capabilities of the oil spill removal organization required by §154.1045;
(4) A change in the facility's emergency response procedures;
(5) A change in the facility's operating area that includes ports or geographic area(s) not covered by the previously approved plan. A facility may not operate in an area not covered in a plan previously submitted or approved, as appropriate, unless the revised plan is approved or interim operating approval is received under §154.1025; or
(6) Any other changes that significantly affect the implementation of the plan.
(c) Except as required in paragraph (b) of this section, revisions to personnel and telephone number lists included in the response plan do not require COTP approval. The COTP and all other holders of the response plan shall be advised of these revisions and provided a copy of the revisions as they occur.
(d) The COTP may require a facility owner or operator to revise a response plan at any time as a result of a compliance inspection if the COTP determines that the response plan does not meet the requirements of this subpart or as a result of inadequacies noted in the response plan during an actual pollution incident at the facility.
(e) If required by §154.1035(b)(3) or §154.1045, a new or existing facility owner or operator must submit the required dispersant and aerial oil tracking resource revisions to a previously submitted or approved plan, made pursuant to §154.1035(b)(3) or §154.1045, to the COTP and all other holders of the response plan for information or approval no later than February 22, 2011.
Unlike the Oil Spill Response Plan (OSRP) requirements under the Department of Transportation Pipeline and Hazardous Materials Safety Administration (PHMSA), and FRP requirements of the Environmental Protection Agency (EPA) we explored the previous two weeks, USCG clearly states in their rule there is an “annual review” requirement.
It is important to note many in the industry develop Integrated Contingency Plans (ICP) that “integrate” multiple regulatory documents into one plan. If your operations have done this, one needs to be mindful of the varying timings and regulatory requirements and ensure they are being addressed – don’t assume every regulation mirrors one another. At Witt O’Brien’s, we frequently see companies trying to create one form to cover everything; however, in doing so, many omit items by accident in the spirit of trying to “streamline.”
As noted above in the rule, if there are no significant changes to the plan, one must simply note in the revision record that the “Annual Review” was done and capture any minor administrative changes – send updates at the next major plan update. If there were significant changes, as defined above, one must submit the plan within 30 days to the USCG.
When is the best time to review and update your plan and address annual requirements? My suggestion is when you are conducting your annual Preparedness for Response Exercise Program (PREP) exercise. During this time, one is exercising one’s plan and capabilities, and a big part is ensuring the plan is accurate. So, during pre-planning or during the hotwash, capture these edits, make the applicable revision record entries, and plan updates.
Other important actionable items:
- What Triggers an FRP Resubmittal (USCG)?
- What is an USCG FRP 5-Year Review?
- SPCC, FRP, OSRP Updates, when, how, help?
At Witt O’Brien’s we always suggest at a minimum:
- Review the National Contingency Plan (NCP), Area Contingency Plan (ACP) for your area, your environmental sensitivity maps (ESM), and your vulnerability analysis to ensure your plan is still up to date, as lots can change annually, e.g., new neighbors, new water intakes, updates to the listing of endangered animals in the area. It is crucial your pre-plans for protecting/responding to these in your plan are current.
- Evaluate the plan: contact tables; tank tables; facility details; procedures; diagrams; spill responder contracts; etc.
- Analyze the quality and execution of your drill/exercise program and determine if policy changes should be enacted to strengthen your overall program/capabilities.
For a complete listing of archived blogs and compliance insights, click here. Past blogs cover training requirements, clarification on additional confusing elements within the above rules, and much more.
We are here to help solve your compliance questions and challenges. Need some compliance assistance, or have a question? Please email John K. Carroll III ([email protected]), Associate Managing Director – Compliance Services or call +1 281-320-9796.
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