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(3) Certificants or applicants, whichever is applicable, shall notify the OSPR within five (5) business days of the date such certificant or applicant knows, or has reason to believe, that the policy of insurance submitted as evidence of financial responsibility will be terminated or any coverage thereunder will cease.
(4) At the Administrator's discretion, a deductible provision or self-insured retention (SIR) layer which is greater than $250,000, in any policy of insurance or certificate is only acceptable if:
(A) the applicant shows supplemental coverage for the amount of the deductible or SIR by means of other acceptable insurance, surety, guaranty, self-insurance, letter of credit, or other proof of financial responsibility acceptable to the Administrator; or
(B) the deductible provision provides for a loss reimbursement plan which contains language guaranteeing that the insurer will be responsible for payment of all claims on a first dollar basis, without waiting for the insured to pay the amount of the deductible.
(5) No later than thirty (30) calendar days following the expiration of the current policy period, certificants using insurance as evidence of financial responsibility shall submit a certificate of insurance, or other written documentation acceptable to the Administrator evidencing the renewal of certificant's insurance policy.
Certificant shall also submit additional written documentation acceptable to the Administrator within ninety (90) calendar days. Acceptable written documentation includes a copy of the renewal policy that incudes language that the policy covers damages as specified in Government Code Section 8670.56.5(h); an Endorsement form (FG OSPR Form 1929 (10/05), FG OSPR Form 1930 (10/05), or FG OSPR Form 1962 (10/05); other documentation which contain the minimum information set forth in Subsection (a)(2) above; or similar or comparable evidence of insurance acceptable to the Administrator. Any additional terms or limitations which may affect coverage, including the renewal and new expiration dates, shall be included.
(6) The Administrator may require the certificant to submit a supplemental certificate of insurance executed by the certificant's insurance company and/or the certificant's insurance broker or agent confirming that the certificant's insurance coverage used to demonstrate financial ability remains current and/or agreeing to notify the Administrator within thirty (30) calendar days of cancellation of the policy for any reason.
(7) If an insurance policy is submitted which for any reason cannot be used as evidence of financial responsibility, the applicant must submit a declaration from the underwriter, or a broker designated and authorized by the underwriter, containing the information required in Subsection (a)(2), above.
(8) For insurance coverage to be acceptable, the insurer providing coverage must be licensed or approved by the California Insurance Commissioner to do business in the State of California (i.e., be an admitted company) or, as a minimum, not be named in any order "not to place business with nonadmitted insurer" issued pursuant to Section 1765.1 of the Insurance Code by the California Commissioner of Insurance. The insurer providing coverage must also have a current AM Best rating of at least A-. The Administrator may waive this minimum rating requirement on a case-by-case basis if sufficient evidence such as, but not limited to, the insurer's ability to pay claims is provided.
(b) Qualification as a self-insurer.
(1) An applicant may satisfy financial responsibility requirements by demonstrating, to the Administrator's satisfaction, that the applicant meets the requirements specified in this subsection. To qualify as a self-insurer, the applicant must meet the criteria of either Subsections (b)(1)(A) (Test I), or (b)(1)(B) (Test II) below.
(A) Test I - The applicant must have:
1. one of the following two ratios:
a. a ratio of total liabilities to net worth less than 1.5;
b. a ratio of cash flow (the sum of net income, after taking into consideration the effect of any extraordinary items, plus depreciation, depletion, and amortization) minus $20 million to total liabilities greater than 0.1; and
2. worldwide owners' equity minus intangible assets (i.e., "tangible net worth") equal to at least $20 million plus two times the amount of self-insurance to be established; and
3. assets in the United States amounting to at least ninety percent (90%) of total assets or at least two times the amount of self-insurance to be established.
(B) Test II - The applicant must have:
1. a current rating of the applicant's most recent bond issuance of AAA, AA, A, or BBB- stable or better, as issued by Standard and Poors or Aaa, Aa, A, or Baa as issued by Moody's or commercial paper rating of A1, A2, or the equivalent; and
2. worldwide owners' equity minus intangible assets (i.e., "tangible net worth") of at least $20 million plus two times the amount of self-insurance to be established; and
3. assets in the United States amounting to at least ninety percent (90%) of total assets or at least two times the amount of self-insurance to be established.
(2) Applicants relying upon self-insurance provisions set forth in subsection (b)(1) of this section as evidence of financial responsibility shall submit the following additional documentation to the Administrator with the application:
(A) a letter signed by a financial officer if the applicant is a corporation; a general partner if the applicant is a partnership; or the proprietor if the applicant is a sole proprietorship stating:
1. he or she is a financial officer, general partner, or proprietor (as applicable) of the organization or business entity; and
2. that the letter supports the applicant's use of the financial test to demonstrate financial responsibility in the amount and manner stated (the letter must state the specific amount of financial responsibility being demonstrated by self-insurance and show specifically how the tests have been applied) pursuant to this section; and
3. the applicant or a subsidiary of the applicant is the owner or operator of the tankers, barges or nontank vessels, or facilities described in the applications or the owner of oil; and
4. the applicant or certificant, whichever applies, agrees to notify the Administrator by certified mail within five (5) business days if, at any time, the applicant or certificant fails to meet the self-insurance test criteria.
(B) annual financial statements audited by an independent certified public accountant for the fiscal year ending immediately before each initial application. The applicant may submit, in lieu of audited financial statements, copies of the most recent Form 10-K and any subsequent Forms 10-Q filed pursuant to the Securities Exchange Act of 1934 providing that the Form 10-K includes audited financial statements.
(3) Certificants relying upon self-insurance as the method for demonstrating financial responsibility, and any persons required to demonstrate to the satisfaction of the Administrator that they continue to meet the self-insurance requirements set forth in this section, shall submit annually the letter described in Subsection (2)(A) above and the most current documents described in Subsection (2)(B) above, within thirty (30) days of completion of the audit or forms described in Subsection (2)(B).
(c) Surety bond.
(1) An applicant may demonstrate financial responsibility by obtaining and submitting to the Administrator a surety bond which conforms to the requirements of this subsection. The surety bond form shall be in the form provided by Title 11, California Code of Regulations, Chapter 2, Section 44.2. Refer to bond form titled "Surety Bond for Oil Spill Response and Damages". The surety company issuing the bond must, at a minimum, be among those listed as acceptable sureties on Federal bonds in Circular 570 of the U.S. Department of the Treasury.
(2) Upon written request, the Administrator may waive the thirty (30) day notice period for terminations prior to the bond's expiration date pursuant to item 10 of the bond form with respect to any unloaded tanker(s), barge(s) or nontank vessel(s), covered by the surety bond.
(3) The bond shall contain no additional terms or conditions which limit the surety company's obligation to pay for costs and damages arising under Government Code Section 8670.56.5.
(4) Under the terms of the bond, the bond shall be subject to and governed by the laws of the State of California.
(5) Applicants utilizing surety bonds to demonstrate evidence of financial responsibility shall establish a standby trust fund. The Trust Agreement shall be in the form prescribed by this subchapter. Refer to FG OSPR Form 1926 (3/99) for tankers, barges or nontank vessels/owners of oil and FG OSPR Form 1961 (3/97) for marine facilities, incorporated by reference herein, for approved language. Under the terms of the bond, all payments made thereunder shall be deposited by the surety directly into the standby trust fund in accordance with the Administrator's instructions.
(d) Letter of Credit.
(1) An applicant may satisfy financial responsibility requirements by obtaining and submitting to the Administrator an Irrevocable Standby Letter of Credit in favor of the State of California. The issuing institution must be an entity which is acceptable to the Administrator and which has the authority to issue letters of credit and whose letter of credit operations are regulated and examined by a federal or state agency. The letter of credit shall be in the form prescribed by this section. Refer to FG OSPR Form 1927 (3/97), incorporated by reference herein. The Irrevocable Letter of Credit shall:
(A) be effective on or before the approval date of the Certificate of Financial Responsibility; and
(B) be addressed to the Administrator.
(2) The letter of credit shall contain no additional terms or conditions which limit the issuing institution's obligation to make funds available for costs and damages arising under Government Code Section 8670.56.5.
(3) An applicant utilizing a letter of credit to demonstrate evidence of financial responsibility shall establish a standby trust fund. The Trust Agreement shall be in the form prescribed by this section. Refer to FG OSPR Form 1926 (3/99) for tankers, barges or nontank vessels/owners of oil and FG OSPR Form 1961 (3/97) for marine facilities for approved trust agreement language. Under the terms of the letter of credit, all amounts paid pursuant to a draft by the State of California shall be deposited by the issuing institution directly into the standby trust fund in accordance with the Administrator's instructions.
(e) Guaranty:
(1) An applicant may satisfy the financial responsibility requirements determined pursuant to this chapter by obtaining a written guaranty which conforms to the requirements of this subsection. The Guaranty of Financial Responsibility for Oil Spill Response and Damages shall be in the form prescribed by this section. Refer to FG OSPR Form 1928 (3/97), incorporated by reference herein, for approved language.
(2) Applicants utilizing guarantees to demonstrate evidence of financial responsibility must submit a properly executed guaranty to the OSPR.
(3) Upon written request, the Administrator may waive the thirty (30) day notice period for terminations prior to the guaranty's expiration date pursuant to item 9 of the guaranty form with respect to any unloaded tanker(s), barge(s) or nontank vessel(s) covered by the guaranty.
(4) The guaranty shall contain no additional terms or conditions which limit the guarantor's obligation to pay for costs and damages arising under Government Code Section 8670.56.5.
(5) Except in circumstances where the guarantor itself is a responsible party, no guarantor shall be held liable for any cleanup costs and damages which exceed the amount of financial responsibility that the guarantor has provided.
(6) Applicants utilizing guarantees shall establish a standby trust fund.
(A) The Trust Agreement shall be in the form prescribed by this section. Refer to FG OSPR Form 1926 (3/99) for tankers, barges or nontank vessels/owners of oil and FG OSPR Form 1961 (3/97) for marine facilities for approved language.
(B) Under the terms of the guaranty, all payments made thereunder shall be deposited by the guarantor directly into the standby trust fund in accordance with the Administrator's instructions.
(C) Where the guarantor is the parent corporation of the applicant, the requirement to establish a standby trust fund is waived.
(f) Other evidence of financial responsibility. Applicants may provide other evidence of financial responsibility that is not specifically mentioned in this subchapter and which is acceptable to the Administrator. Acceptable evidence pursuant to this subsection includes, but is not limited to, documentation that provides proof of entry of each tanker, barge or nontank vessel, into a protection and indemnity club (P&I Club) and which reflects that each entered tanker, barge or nontank vessel, is covered for pollution risk in the amount set forth in Section 791.7 above and which names the applicant as an assured or member, all addenda which pertain to pollution risk and deductibles, and a copy of the applicable P&I Club rules.
(1) At the Administrator's discretion, an applicant submitting evidence of P&I Club cover containing a deductible or similar provision which is greater than $250,000 may be required to submit the following additional proof before applicant's evidence of financial responsibility shall be deemed acceptable:
(A) the applicant shows supplemental coverage for the amount of the deductible by means of other acceptable insurance, surety, guaranty, self-insurance, letter of credit, or other proof of financial responsibility acceptable to the Administrator; or
(B) the deductible provision provides for a loss reimbursement plan which contains language guaranteeing that the P&I Club will be responsible for payment of all claims on a first dollar basis, without waiting for the member to pay the amount of the deductible.
(2) No later than thirty (30) calendar days following renewal of the P&I Club coverage, certificants using P&I Club membership as the method of evidence of financial responsibility shall self certify in writing that the certificant's membership in the P&I Club has been renewed.
Certificants shall also submit additional written documentation acceptable to the Administrator evidencing renewal of the certificant's membership in the P&I Club, no later than ninety (90) calendar days following renewal of the P&I Club coverage. Acceptable written evidence includes a copy of the addendum or renewal certificate of entry, both of which contain the information required by Subsection (f), and any additional terms or conditions which may affect cover, including the renewal and new expiration dates.
(3) If requested by the Administrator, the certificant shall submit documentation executed by the certificant's P&I Club confirming that the certificant's coverage used to demonstrate financial responsibility remains current. The certificant shall agree to notify the Administrator within thirty (30) calendar days, or five (5) days prior to a tanker, barge or nontank vessel entering into the state waters of California, of cancellation of the cover for any reason.
(g) Combination of methods. Any one or a combination of the above-described methods may be utilized to establish the amount of financial responsibility required pursuant to this subchapter.


Note: Authority cited: Sections 8670.37.53, 8670.37.54(b) and 8670.37.58, Government Code. Reference: Sections 8670.37.53, 8670.37.54 and 8670.56.5, Government Code.

s 796. Certificate Revocation.
(a) A certificate may be revoked, following (10) ten business days written notice by the Administrator to certificant unless the certificant requests reconsideration as specified in Subsection (d) below, for any of the following reasons:
(1) negligently making an false material statement in connection with an application for or renewal of a certificate; or
(2) failure to establish or maintain evidence of financial responsibility as required by this subchapter.
(b) A certificate may be revoked immediately with concurrent written notice by the Administrator to certificant for any of the following reasons:
(1) when the holder of the certificate is no longer the owner or operator of the tanker, barge or nontank vessel or marine facility, or owner of the oil in question; or
(2) willfully making any false statement in connection with an application for or renewal of a certificate.
(c) Erasures or other alterations to a certificate or copy are prohibited and automatically void a certificate or copy.
(d) Request for Reconsideration.
(1) Certificants may submit a written request to the Administrator requesting reconsideration of any decision to revoke a certificate. Requests must be submitted within ten (10) business days from the date the applicant receives notice of revocation. The Administrator may waive the ten (10) day period for submitting a request.
(2) The request must contain the basis for requesting reconsideration and, if applicable, provide evidence which rebuts the basis for the Administrator's revocation of the certificate. The certificate shall remain valid while the request for reconsideration is reviewed.
(3) Within ten (10) business days from the date the request for reconsideration is received, the OSPR will advise the certificant of the Administrator's decision whether the request will be considered.
(4) Within fifteen (15) calendar days following the notice that the Administrator will consider the request, the certificant will either be sent a notice that the Administrator shall adhere to his or her earlier decision (i.e., deny the request for reconsideration), or the notice of revocation shall be rescinded.
(e) If a certificate is revoked, a new application and fee, if applicable, are required.


Note: Authority cited: Sections 8670.37.54(b), 8670.37.56 and 8670.37.58, Government Code. Reference: Sections 8670.37.54-8670.37.56, Government Code.

s 797. Reporting and Suspension.
(a) The certificant shall provide written notification to the Administrator of an event which could produce a material change that affects the certificant's ability to comply with the financial responsibility requirement. Such events include, but are not limited to, an oil spill or discharge occurring within or outside of California marine waters from one or more tankers, barges or nontank vessels, or marine facilities or other facilities for which the certificant may be liable for damages, or other significant action against the certificant (e.g., bankruptcy, insolvency). Additionally, the certificants must notify the Administrator in writing of any potential liability that could produce a material change that affects the certificant's ability to comply with the financial responsibility requirement. Written notification must be submitted within ten (10) business days of knowledge of the incident or knowledge of sufficient facts which would lead a reasonably prudent person to investigate and learn of the incidents. For purposes of this subsection, "material change" means an event or action which could cause the certificant to be liable for damages in an amount exceeding five percent (5%) of the total financial resources reflected by the certificate or, if owners' equity exceeds the total amount of financial resources reflected by the certificate, five percent (5%) of the owners' equity.
(b) Upon notification of the oil spill or discharge or other action or potential liability, as required by Subsection 797(a) , the Administrator shall reevaluate the validity of the Certificate of Financial Responsibility.
(c) Upon a determination by the Administrator that the certificant lacks sufficient financial resources to assume financial responsibility for both the current spill or liability and have adequate resources remaining available to meet the requirements of this subchapter, the Administrator shall suspend the certificate following ten (10) business days written notice.
(d) Suspension of the certificate shall continue until the responsible party demonstrates, to the satisfaction of the Administrator, that the responsible party has the financial resources needed to meet the requirements of this subchapter.
(e) Request for Reconsideration.
(1) Certificants may submit a written request to the Administrator requesting reconsideration of any decision to suspend a certificate. Requests must be submitted within ten (10) business days from the date the applicant receives notice of suspension. The Administrator may waive the ten (10) day period for submitting a request.
(2) The request must contain the basis for requesting reconsideration, and, if applicable, provide evidence which rebuts the basis for the Administrator's suspension of the certificate. Upon a showing of good cause, the Administrator may reinstate the certificate pending a final decision by the Administrator.
(3) Within ten (10) business days from the date the request for reconsideration is received, the OSPR will advise the certificant of the Administrator's decision whether the request will be considered.
(4) Within fifteen (15) calendar days following the notice that the Administrator will consider the request, the certificant will either be sent a notice that the Administrator shall adhere to his or her earlier decision (i.e., deny the request for reconsideration), or the notice of suspension shall be rescinded.


Note: Authority cited: Sections 8670.37.54(b), 8670.37.56 and 8670.37.58, Government Code. Reference: Sections 8670.37.54-8670.37.56, Government Code.

s 800. Definitions.
In addition to the definitions in Chapter 1, Section 790 of this Subdivision, the following definitions shall govern the construction of this subchapter. Where similar terms are defined, the following will supersede the definition in Chapter 1:
(a) "Vessels" means any watercraft or ship of any kind, including every structure adapted to be navigated from place to place for the transportation of merchandise or persons.


Note: Authority cited: Section 8670.23, Government Code. Reference: Sections 8670.3, 8670.21 and 8670.23, Government Code.

s 800.5. Harbor Safety Committees.
(a) The Administrator shall create harbor safety committees for the harbors and adjacent regions of San Diego Bay; Los Angeles/Long Beach Harbor; Port Hueneme; San Francisco, San Pablo, and Suisun Bays; and Humboldt Bay. In consultation with each harbor safety committee, the Administrator shall determine its geographic region of responsibility which shall be clearly reflected in the committee's plan as described in Section 802(b)(2) of this Subchapter.
(b) In the event that a designee of a port authority is not able to participate as a harbor safety committee member due to military affiliations, the civilian counterpart for that harbor may serve in place of the port authority designee.
(c) All meetings of harbor safety committees, their subcommittees, workgroups or organizations, as defined in Government Code Section 54952, are subject to the open meeting requirements contained in Government Code Sections 54950 through 54962.


Note: Authority cited: Sections 8670.23 and 8670.23.1, Government Code. Reference: Section 8670.23, Government Code.

s 800.6. Harbor Safety Committee Membership.
(a) The Administrator shall appoint to each harbor safety committee, for a term of three years, all of the following members and their alternates:
(1) A designee of each of the port authorities within the region, except that the harbor safety committee for the San Francisco, San Pablo and Suisun Bay region shall have four designees.
(2) A representative of dry cargo vessel operators, except that the harbor safety committee for the San Francisco, San Pablo and Suisun Bay region may have two representatives.
(3) A representative of tank ship operators, except that the harbor safety committee for the San Francisco, San Pablo and Suisun Bay region shall have one additional representative of either tank ship operators or marine oil terminal operators.
(4) For the harbor safety committees for the Los Angeles/Long Beach Harbor region, Port Hueneme region, and Humboldt Bay region a representative of marine oil terminal operators.
(5) A representative of tug or tank barge operators, who is not also engaged in the business of operating either tank ships or dry cargo vessels, except that the harbor safety committees for the San Francisco, San Pablo and Suisun Bay region and Humboldt Bay region shall have one representative of tug operators and one representative of tank barge operators, neither of whom is also engaged in the business of operating either tank ships or dry cargo vessels.
(6) For the harbor safety committees for the San Francisco, San Pablo and Suisun Bay region, Los Angeles/Long Beach Harbor region and San Diego Bay region, a representative of scheduled passenger ferry or excursion vessel operators.
(7) A representative of the pilot organizations within the region, except that the harbor safety committee for the Los Angeles/Long Beach Harbor region shall have two pilot representatives: one a designee of the Port of Los Angeles pilot organization and one a designee of the Port of Long Beach pilot organization. Additionally, the harbor safety committee for the Los Angeles/Long Beach Harbor region have one representative of mooring masters who represents all mooring masters operating within the committee's geographic area of responsibility.
(8) A representative of a recognized labor organization involved with operations of vessels.
(9) A representative engaged in the business of commercial fishing.
(10) A representative of pleasure boat operators or a recreational boat organization.
(11) A representative of a recognized nonprofit environmental organization that has as a purpose the protection of marine resources, except that the harbor safety committee for the Los Angeles/Long Beach Harbor region may have two representatives.
(12) The United States Coast Guard Captain of the Port and a designee of each of the following federal agencies to the degree that each consents to participate on the committee: the United States Army Corps of Engineers, the National Oceanographic and Atmospheric Administration, and the United States Navy.
(13) A designee of the California Coastal Commission, except for the harbor safety committee for the San Francisco, San Pablo and Suisun Bay region, where the Administrator shall appoint a designee of the San Francisco Bay Conservation and Development Commission.
(b) A harbor safety committee may petition the Administrator with a request for new or additional membership positions for special needs to conduct ongoing harbor safety committee business and which reflect the makeup of the local maritime community. The qualifications for such positions shall be set either in committee bylaws or on the petition. The approval of such petitions shall be at the sole discretion of the Administrator.
(c) A harbor safety committee may petition the Administrator for the elimination of new or additional membership positions requested and approved pursuant to Subsection (b). The approval of such petitions shall be at the sole discretion of the Administrator.
(d) The members appointed from the categories listed in Subsections (a)(2), (3), (4), (5), (6), and (7) above shall have navigational expertise. An individual is considered to have navigational expertise if the individual meets any of the following conditions:
(1) Has held or is presently holding a United States Coast Guard Merchant Marine Deck Officer's license.
(2) Has held or is presently holding a position on a commercial vessel that includes navigational responsibilities.
(3) Has held or is presently holding a shoreside position with direct operational control of vessels.
(4) Has held or is currently holding a position having responsibilities for permitting or approving the docking of vessels in and around harbor facilities.
(e) The Administrator shall appoint a chairperson and vice chairperson, for a term not to exceed the balance of their current membership appointment, for each harbor safety committee from the membership specified in Subsection (a) above. The Administrator may withdraw such appointments at his or her sole discretion.
(f) Upon request of the committee chairperson, pursuant to the committee's bylaws, the Administrator may remove a member or alternate appointed under authority of Subsection (a) above.


Note: Authority cited: Sections 8670.23 and 8670.23.1, Government Code. Reference: Section 8670.23, Government Code.

s 801. General Provisions.
(a) Each harbor safety committee shall be responsible for planning for the safe navigation and operation of vessels within its geographic region of responsibility. As part of meeting this responsibility, each committee shall prepare and submit to the Administrator its harbor safety plan which encompasses all vessel traffic within its region and addresses the region's unique safety needs.
(b) All harbor safety plans shall be consistent with both the California Oil Spill Contingency Plan and the National Contingency Plan.
(c) All harbor safety plans shall be in writing and shall include a reference to any federal, state or local laws or regulations if those laws or regulations were relied upon to develop the plan.
(d) Harbor safety plans which meet the requirements of this subchapter shall be implemented by the Administrator in consultation withthe respective committee.
(e) On or before July 1 of each year, each harbor safety committee shall assess maritime safety or security within its region, including tank vessel safety, and shall report its findings and recommendations for improvements to the Administrator by amending its current harbor safety plan or instituting other alternatives to address its findings. All plans shall be reviewed by the Administrator to ensure their compliance with this subchapter.
(f) The Administrator may direct a harbor safety committee to address any issue affecting maritime safety or security, as appropriate, and to report findings and recommendations on those issues.


Note: Authority cited: Sections 8670.23 and 8670.23.1, Government Code. Reference: Section 8670.23, Government Code.

s 802. Harbor Safety Plan Content.
(a) All harbor safety plans shall be written in consideration of the best achievable protection standard as that term is defined in Chapter 1 of this subdivision.
(b) Each harbor safety plan shall include, at a minimum, a discussion of the following:
(1) Tug Escorts
(A) One section of the plan shall be dedicated to the usage of tug escorts in the committee's geographic region of responsibility.
(B) This section shall allow for a case-by-cast determination of tug escort usage or need based on specified criteria which include, but are not limited to, all of the following factors:
1. the physical limitations of the tugs;
2. an analysis of commonly encountered weather and sea conditions including, but not limited to, wind, tidal and ocean currents;
3. the type of cargo carried by the tank vessel;
4. a determination of whether or not tug escorts are needed for unladen tank vessels; and
5. the effectiveness of tug escorts in steering and/or stopping assistance for heavily laden tank vessels given the geographic and navigational limitations of that region.
(C) This section shall also include, but not be limited to, all of the following:
1. an outline discussing tug boat capabilities when assisting a tank vessel;
2. a recommendation determining when tank vessels must be escorted by tug(s) while entering, leaving, or navigating in the region;
3. a determination of sufficient size, horsepower, and pull capacity of the tug(s) to assure maximum assistance capability;
4. a comprehensive inventory of the number and types of tugs available for tank vessel escort in each geographic region; and
5. an analysis, including factual data and studies relating to the analysis, which specifies the incident and location of accidents and the effects of the absence or presence of tug escorts at the time of those accidents.
(D) Each plan shall address its method for performing a continued study of tug escorts, which will rely in part on relevant information solicited by the harbor safety committee from pilots, masters, representatives from towing industries and builders, and other interested parties.
(2) Geographic Region of Responsibility
This section shall provide a written description of each committee's geographic region of responsibility and shall include a large scale chart, or chartlet, illustrating the entire region. The geographic region of responsibility described and illustrated shall be the one approved by the Administrator as outlined in Section 800.5(a) of this Subchapter.
(3) Regional Harbor Conditions
This section shall provide:
(A) A description of existing and expected conditions of weather, tidal ranges, tidal currents (directions and velocities) and other factors which might impair or restrict visibility or impact vessel navigation;
(B) a description of the procedures for routing vessel traffic, and any contingency or secondary routing plans which may be used during construction and dredging operations;
(C) a description of limitations of current anchorages (designations, proximity to heavily used fairways or channels) and any plans, if developed, to address those limitations; and
(D) a description of the current channel design (navigable channel width and advertised dredged depth) and any proposed changes to these plans.
(4) Vessel Traffic Patterns
This section shall provide, to the greatest extent possible:
(A) A description of the types of vessels which call on the ports or facilities within the region; and
1. identification of the types of cargo transported on the vessels; and
2. a determination of the amount of oil annually (using a three year average) shipped into or from the ports or facilities within the region.
(B) a history and types of all accidents and near-accidents which have occurred within the region during the past three years and any corrective actions or programs taken to alleviate recurrences. For purposes of this subsection, "near-accident" shall mean all situations where a risk of collision as defined by 33 USC 2007 existed;
(C) an assessment of current safety problems or conflicts with small vessels, sailing vessels, or vessels engaged in fishing as it relates to violation of Rule 9 (Narrow Channels Rule) of the Inland Navigational Rules Act (33 USC 2009);
(D) current procedures for routing vessels during emergencies or other contingencies which impact navigation;
(E) a review of existing and proposed federal, state or local laws, regulations or ordinances affecting the region to determine a need for any change;
(F) an assessment of the need for establishing or upgrading existing educational or public awareness programs for all waterway users.
(5) Aids to Navigation
This section shall:
(A) describe any fixed navigational hazards specific to the region and aids to navigation systems in place to minimize risk of contact with these hazards;
(B) evaluate the existing aids to navigation systems available to each region as established and maintained by the United States Coast Guard or other navigational aids as permitted by the United States Army Corps of Engineers, and determine the need for any changes; and
(C) evaluate current programs to determine accurate depth information in navigable channels, anchorages and berths used by tank vessels, and make recommendations necessary to increase the accuracy of such information.
(6) Communication
This section shall:
(A) review and evaluate the adequacy of current ship-to-ship and ship-to-shore communication systems used in the region;
(B) identify any low propagation, or silent areas within the region;
(C) if communication deficiencies exist, develop a strategy to address such deficiencies.
(7) Bridge Management Requirements
(A) This section shall assess the current schedule for bridge openings, the adequacy of ship-to-bridge communications, and the physical limitations affecting vertical and horizontal clearance.
(8) Enforcement
(A) This section shall include suggested mechanisms that will ensure that the provisions of the plan are fully, uniformly and regularly enforced.
(9) Project Funding
This section shall:
(A) provide recommendations for funding projects that the committee intends to recommend or initiate; and
(B) consider the imposition of user fees, and assess existing billing mechanisms as potential funding sources.
(10) Competitive Aspects
This section shall:
(A) identify and discuss the potential economic impacts of implementing the provisions of the harbor safety plan; and
(B) describe the significant differences in the restrictions that could vary from port to port within the region.
(11) Miscellaneous
(A) This section shall address any additional issues deemed necessary by the harbor safety committee that could impact safe navigation in the region including, but not limited to:
1. vessel pilotage;
2. vessel ballast procedures or requirements;
3. vessel mooring requirements;
4. navigation in reduced or restricted visibility; and
5. maintenance dredging necessary for safe vessel operation.


Note: Authority cited: Sections 8670.23 and 8670.23.1, Government Code. Reference: Section 8670.23, Government Code.

s 815.01. General Outline.
815.03 Purpose and Scope
815.05 Definitions
815.07 General Requirements
816 Plan Submittal, Review and Approval
817.02 Marine Facility Contingency Plans
817.03 Small Marine Fueling Facility Contingency Plans
818.02 Vessel Contingency Plans
818.03 Vessels Carrying Oil As Secondary Cargo Contingency Plans
819 Oil Spill Response Organizations Rating
820.01 Drills and Exercises -Evaluation and Credit


s 815.03. Purpose and Scope.
This subchapter sets forth planning requirements for oil spill prevention and response for vessels and marine facilities in California. The planning requirements specify that the owner/operator of a vessel or marine facility must own or have contracted for resources sufficient to respond to all spills up to the reasonable worst case spill (RWC). For the purpose of meeting the regulatory requirements herein, contracts for booming, on-water recovery and storage, and shoreline protection services can only be made with OSRO's Rated by the Office of Spill Prevention and Response. For other required services (e.g., shoreline clean-up, waste management, spill response management, etc.) contracts with non-rated OSRO's may be used. The regulations provide a method for calculating the amount of equipment necessary and provide response planning standards for the volumes of oil that each vessel and marine facility could expect to discharge under various scenarios. The planning volumes so calculated will dictate the amount of equipment and personnel that the owner/operators must have available at the time of a spill. This equipment must either be "non-cascadable" in the area where the marine facility is located, or the vessel normally transits, or must be "cascadable" to the region within the mandated timeframes.
The equipment that the owner/operators have available must also be applicable to the areas of intended use. This subchapter requires that trajectory analyses be conducted to determine the probable areas of the coastline that could be impacted by a spill. Based on these trajectories the owner/operators will be able to ascertain the type of equipment that must be available, such as shallow-water skimmers, as well as the appropriate response strategies necessary to protect and clean up the shoreline types that could be affected. For vessels, the trajectories established for the scenarios from the appropriate Area Contingency Plans (ACP) may be used for this purpose.
The information required by these regulations must be submitted to the Office of Spill Prevention and Response (OSPR), and maintained by the owner/operator, in separate volumes. A principal volume will be compiled to contain all the required information, calculations, studies, maps and related data. A separate volume will be set up as a response manual and will contain only the information that response personnel will need at the time of a spill to facilitate the immediate notification and response actions that are mandated.
To the greatest extent possible, California has endeavored to be consistent with the scope and intent of the Federal oil spill response regulations. Allowance has been made to accept response plans prepared for the Coast Guard, or other appropriate agencies, in lieu of the contingency plans required by state regulations. Any additional information required by this subchapter can be submitted simply as an addendum to the plans prepared for other agencies. Information developed to demonstrate compliance with other applicable Federal, State, and International (e.g., International Maritime Organization, etc.) requirements may be used to demonstrate compliance with all or part of this subchapter.
In addition, the Area Contingency Plans (ACP) completed by the Coast Guard, State Agencies, and Local Governments, with public participation, as required by the Oil Pollution Act of 1990 (33 USC 2701, et seq.), shall be used as guidelines for determining whether the individual contingency plans provide for the best achievable protection. Some of the documentation from the Area Contingency Plans may be used by the plan holder in lieu of developing comparable documentation of their own for their individual contingency plans.


Note: Authority cited: Sections 8670.28 and 8670.29, Government Code. Reference: Sections 8670.3, 8670.4, 8670.28 and 8670.29, Government Code.

s 815.05. Definitions.
In addition to the definitions in Chapter 1, Section 790 of this subdivision, the following definitions shall govern the construction of this subchapter. Where similar terms are defined, the following will supersede the definition in Chapter 1:
(a) "Area Exercise" means an exercise of the Area Contingency Plan and selected oil spill contingency plans through the combination of tabletop and equipment deployment exercises in accordance with the National Preparedness for Response Exercise Program.
(b) "Contract or Other Approved Means":
(1) includes either of the following:
(A) A written, signed contract, or written certification of active membership, between a plan holder and an Oil Spill Response Organization(s) (OSRO) Rated by OSPR (as specified in Section 819 of this subchapter) or a contract with a nonprofit maritime association (pursuant to CCR Section 826.01(a)(1)(B)) that utilizes Rated OSRO's for the Rating levels and services required. This contract shall identify and ensure the availability of the required personnel and equipment capable of responding to an oil spill within the stipulated response times and in the specified Geographic Regions in which the vessel or marine facility operates; or
(B) Written certification that the necessary personnel and equipment are owned or operated by the plan holder and are available within the stipulated response times and in the specified Geographic Regions;
(2) The owner/operator shall notify the Administrator within five days of a change in contracted resources/membership in a local or regional OSRO.
(3) A contract between a plan holder and an OSRO shall not contain a provision requiring the plan holder to notify the OSRO in advance, in order to guarantee response services for two hours and beyond (as specified in Section 819.04(b)(2)) of this subchapter.
(c) "Dedicated Response Resources" means equipment and personnel committed solely to oil spill response, containment, and cleanup that are not used for any other activity that would adversely affect the ability of that equipment and personnel to provide oil spill response services in the time frames for which the equipment and personnel are Rated. Ratings of six hours or earlier require either dedicated response resources or OSRO owned and controlled response resources, as specified in Section 819.04(b)(2) of this subchapter.
(d) "Equipment Deployment Exercise" means an exercise of oil spill response equipment identified in an oil spill contingency plan or an OSRO application through its actual deployment and operation as it would be used in spill response efforts in an environment of similar water depth, current velocity, tidal range, and substrate, where the equipment may need to be used in an actual oil spill response.
(e) "Full Scale Combination Exercise" means an exercise of an oil spill contingency plan involving both the spill management response efforts and the actual deployment and operation of oil spill response equipment as it would be used in spill response efforts at a specific site.
(f) "Implementation of the Plan" means that all essential provisions have been taken to enable the plan or any portion of the plan to become operational.
(g) "Internal Unannounced Exercise" means an exercise of an oil spill contingency plan organized by an owner/operator or oil spill response organization and initiated so exercise participants have no prior knowledge of the exercise.
(h) "Letter of Approval" means a written document issued by the Office of Spill Prevention and Response to the plan holder following verification, inspection and if required by the Administrator, satisfactory performance in an announced and unannounced drill, and final review of the plan holder's contingency plan.
(i) "Marine Waters", for this subchapter, means those California marine waters subject to tidal influence including all waterways used for waterborne commercial vessel traffic to the Port of Stockton and the Port of Sacramento.
(j) "Non-Dedicated Response Resources" means those response resources listed by an OSRO for oil spill response activities that are not dedicated response resources.
(k) "OSRO-owned and controlled resources" means equipment owned by the OSRO and personnel who are employed directly by the OSRO.
(l) "OSRO Rating Letter" (ORL) means a written document issued by the Office of Spill Prevention and Response to an OSRO following verification, inspection and unless exempted by the Administrator, satisfactory performance in an announced and unannounced drill, and final review of the OSRO's application.
(m) "Plan Holder" means the owner/operator of a tank vessel, nontank vessel, marine facility, small marine fueling facility, or vessel carrying oil as secondary cargo responsible for the development, submittal, update, maintenance of, and compliance with the oil spill contingency plan required under this subchapter.
(n) "Plan Recipient" means a receiving agency and any other entity who has been designated in this subchapter to receive a copy of the vessel or marine facility oil spill contingency plan.
(o) "Shallow-Draft Vessel" means:
(1) for purposes of boom deployment, a vessel that must be able to operate in water depths of two feet or less;
(2) for purposes of skimming operations, a vessel and attendant skimming system that must be able to operate in water depths of three feet or less.
(p) "Spill Management Team" means the personnel identified in an oil spill contingency plan to staff the organizational structure that will manage response implementation and is able to fully integrate into an Incident Command/Unified Command structure, as required by the National Contingency Plan and the State Marine Oil Spill Contingency Plan.
(q) "Systems Approach" means an assessment of the infrastructure and the support resources that an OSRO must have to mobilize, transport, deploy, sustain, and support the equipment resources necessary for the level of response for which Rated.
(r) "Tabletop Exercise" means an exercise of an oil spill contingency plan and the spill management response efforts without the deployment of response equipment. A tabletop exercise usually involves the enactment of a response to a simulated spill.
(s) "Unannounced Drill" means an exercise of an oil spill contingency plan or an OSRO application initiated by OSPR without prior notice to the plan holder or oil spill response organization.


Note: Authority cited: Sections 8670.28, 8670.29 and 8670.30, Government Code. Reference: Sections 8670.3, 8670.28, 8670.29 and 8670.30, Government Code.

s 815.07. General Requirements.
(a) Plan holders shall only contract with an OSRO(s) that has received a Rating by OSPR (as specified in Section 819 of this subchapter) for the booming, on-water recovery and storage, and shoreline protection services required. An OSRO's existing Letter of Approval issued from the Administrator shall remain valid unless revoked and shall be deemed to meet the requirements of this subchapter for three years from the date of the letter's issuance or until January 1, 2003, whichever date occurs later.
(b) No person shall load oil onto, nor unload oil from a vessel unless the following conditions are met prior to transfer operations:
(1) after initial submittal but prior to approval of the contingency plan, the vessel owner/operator must provide the owner/operator of the marine terminal with a copy of the letter acknowledging the receipt of the vessel's oil spill contingency plan by the Administrator, if the terminal owner/operator does not already have such a letter on file;
(2) after approval of the initial submittal of the contingency plan, the owner/operator of the vessel must provide the owner/operator of the marine terminal with a copy of the letter approving the current oil spill contingency planfor that vessel if the terminal owner/operator does not already have such a letter on file; (continued)