NWP 4-11

NAVAL WARFARE PUBLICATION

ENVIRONMENTAL PROTECTION NWP 4-11

DEPARTMENT OF THE NAVY OFFICE OF THE CHIEF OF NAVAL OPERATIONS

DISTRIBUTION AUTHORIZED TO THE DEPARTMENT OF DEFENSE AND U.S. DOD CONTRACTORS ONLY FOR OPERATIONAL USE TO PROTECT TECHNICAL DATA OR INFORMATION FROM AUTOMATIC DISSEMINATION. THIS DETERMINATION WAS MADE 15 SEPTEMBER 2003. OTHER REQUESTS SHALL BE REFERRED TO NAVY WARFARE DEVELOPMENT COMMAND, 686 CUSHING ROAD, NEWPORT, RI 02841-1207.

PRIMARY REVIEW AUTHORITY: COMMANDER, NAVY WARFARE DEVELOPMENT COMMAND

0411LP0232950

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NWP 4-11 March 1999 PUBLICATION NOTICE 1. 2. NWP 4-11, ENVIRONMENTAL PROTECTION, is available in the Naval Warfare Publications Library. It is effective upon receipt. Summary: a. NWP 4-11 provides environmental doctrine to commanders for use as a foundation for their plans to accomplish objectives while achieving environmental protection. It discusses compliance and the impact of environmental regulations during progressively demanding operational postures, from peacetime through war. Within each operational posture, this publication identifies issues and offers guidance for specific operations in which a commander or planner may be involved. These operations include multinational maritime operations and environmental contingencies, such as oil spills. b. NWP 4-11 discusses the effect of national and international environmental regulations and agreements on naval operations. It describes the planning required to make sure naval operations comply with established environmental standards and minimize impacts on the environment. c. NWP 4-11 integrates environmental thinking into all operational planning, bringing the subject matter into the proper level of awareness for naval planners and strategists. ROUTING

Naval Warfare Publications Custodian

Naval warfare publications must be made readily available to all users and other interested personnel within the U.S. Navy.

Note to Naval Warfare Publications Custodian This notice should be duplicated for routing to cognizant personnel in accordance with NWP 1-01.

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Environmental Protection
CONTENTS
Page No. CHAPTER 1 ENVIRONMENTAL PROTECTION 1.1 1.1.1 1.1.2 1.1.3 1.2 1.2.1 1.2.2 1.2.3 1.3 1.3.1 1.3.2 1.3.3 1.3.4 1.4 1.4.1 1.4.2 1.4.3 1.5 1.5.1 1.5.2 INTRODUCTION . . . . Navy Environmental Ethic The Environment . . . . . Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1 1-1 1-1 1-2 1-2 1-2 1-2 1-2 1-3 1-3 1-3 1-3 1-4 1-5 1-5 1-5 1-6

NATURE OF DOCUMENT AND RELATED GUIDANCE Publication Composition . . . . . . . . . . . . . . . . . . . Other Naval Warfare Publications . . . . . . . . . . . . . . OPNAV/HQMC Guidance . . . . . . . . . . . . . . . . . .

ENVIRONMENTAL LAWS AND REGULATIONS . . . . . . . . International Environmental Agreements, Treaties, and Regulations U.S. Federal and State Environmental Requirements . . . . . . . . Foreign National Environmental Requirements . . . . . . . . . . . Enforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . OPERATIONAL THREATS TO THE ENVIRONMENT . Peacetime Operations . . . . . . . . . . . . . . . . . . . . Military Operations Other Than War . . . . . . . . . . . . Wartime Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

SAFETY AND HEALTH ASPECTS OF ENVIRONMENTAL PROTECTION . . . . . . . . . 1-6 Hazardous Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-6 Other Health and Safety Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-7

CHAPTER 2 ENVIRONMENTAL PROTECTION DURING PEACETIME 2.1 2.2 2.2.1 2.2.2 2.3 2.3.1 2.3.2 2.3.3 2.3.4 2.3.5 2.3.6 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1 ENVIRONMENTAL REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1 Environmental Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1 Operational Effects of Naval Environmental Requirements . . . . . . . . . . . . . . . . . . . . 2-2 ENVIRONMENTAL PLANNING . . . . . . . . . . . . . . . . . . . . . . Preparation for Peacetime Operations . . . . . . . . . . . . . . . . . . . . The National Environmental Policy Act . . . . . . . . . . . . . . . . . . . Overseas Environmental Planning . . . . . . . . . . . . . . . . . . . . . . Exercise (Including Weapon Systems Test and Evaluation) Considerations Contingencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-2 2-2 2-3 2-5 2-5 2-6 2-8

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NWP 4-11 Page No. CHAPTER 3 ENVIRONMENTAL PROTECTION DURING MILITARY OPERATIONS OTHER THAN WAR 3.1 3.2 3.3 3.3.1 3.3.2 3.3.3 3.3.4 3.3.5 3.4 3.4.1 3.4.2 3.4.3 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1 ENVIRONMENTAL REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1 ENVIRONMENTAL PLANNING . . . . . . Force Majeure and the Doctrine of Necessity Environmental Compliance . . . . . . . . . . Preparations . . . . . . . . . . . . . . . . . . Contingencies . . . . . . . . . . . . . . . . . Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1 3-2 3-2 3-3 3-3 3-4 3-4 3-4 3-4 3-5

MULTINATIONAL MARITIME OPERATIONS DURING MOOTW Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Requirements and Performance . . . . . . . . . . . . . . . . . . . . . . Training for Multinational MOOTW . . . . . . . . . . . . . . . . . . .

CHAPTER 4 ENVIRONMENTAL PROTECTION DURING WAR 4.1 4.2 4.2.1 4.2.2 4.3 4.3.1 4.3.2 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1 ENVIRONMENTAL REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1 Environmental Effects. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1 Special Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-2 ENVIRONMENTAL PLANNING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-2 Within the Theater(s) of War . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-2 Outside the Theater(s) of War . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-3

CHAPTER 5 PLANNING AND WRITING THE ENVIRONMENTAL CONSIDERATIONS ANNEX 5.1 5.2 5.2.1 5.2.2 5.2.3 5.2.4 5.2.5 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-1 THE ENVIRONMENTAL CONSIDERATIONS ANNEX References. . . . . . . . . . . . . . . . . . . . . . . . . . Situation. . . . . . . . . . . . . . . . . . . . . . . . . . . Mission . . . . . . . . . . . . . . . . . . . . . . . . . . . Execution . . . . . . . . . . . . . . . . . . . . . . . . . . Administration and Logistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-1 5-1 5-1 5-2 5-2 5-3

APPENDIX A SAMPLE ENVIRONMENTAL CONSIDERATIONS ANNEX. . . . . . . . . . . . . A-1 INDEX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Index-1

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RECORD OF CHANGES
Change No. and Date of Change Date of Entry Page Count Verified by (Signature)

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Change No. and Date of Change Date of Entry Page Count Verified by (Signature)

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BIBLIOGRAPHY
The following publications and references were used as original source documents in preparation of this publication. Accordingly, several, but not all, of these publications and references are directly referred to within this publication. E.O. 12114, Environmental Effects Abroad of Major Federal Action Federal Regulation 40 CFR 1110.1 Geneva Convention Article 51 Joint Pub 4-04, Joint Doctrine for Civil Engineering Support Joint Pub 5-03.2, Joint Operation Planning Execution System (JOPES) Volume II, Planning Formats and Guidance Manual of the Judge Advocate General, Section 0255 MCO P5090.2, Environmental Compliance and Protection Manual MCRP 4-21C, Military Environmental Protection Navy/Coast Guard MOA of 1995 NDP 1, Naval Warfare NWP 1-14M, Commanders Handbook on Law of Naval Operations OPNAVINST 3120.32 Series, Standard Organization and Regulations of the U.S. Navy OPNAVINST 5090.1, Environmental and Natural Resources Program Manual OPNAVINST 5100.19, Navy Occupational Safety and Health (NAVOSH) Program Manual for Forces Afloat OPNAVINST 5100.23, Navy Occupational Safety and Health Program Manual United Nations Convention of the Law of the Sea, Article 236 U.S. Navy Regulations, 1990 16 U.S. Code 1371, Marine Mammal Protection Act 33 U.S. Code 1902, Act to Prevent Pollution from Ships 42 U.S. Code 4331, National Environmental Policy Act

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GLOSSARY
The following terms/phrase definitions are provided for use with this publication. Unless otherwise indicated, all terms and definitions were extracted from applicable environmental-related Department of the Navy instructions and publications. A at sea/open ocean. The ocean zone beyond 12 nm from shore. (See also High Seas and Contiguous Zone.) B ballast water. Seawater taken aboard a vessel to adjust draft, trim or stability. bilge water. Water and other liquids that collect in low places inside a ships hull. The bilge collects oil and water resulting from the normal operation of machinery. blackwater. Sewage, human body wastes, and the wastes from toilets and other receptacles intended to receive or retain body wastes. C contiguous zone. The ocean zone extending between 3 and 12 nm from the shore. critical habitat. The physical or biological features essential to the conservation of a species listed as endangered by the U.S. Fish and Wildlife Service or the National Marine Fisheries Service under the authority of the Endangered Species Act, 16 U.S.C. 531, et seq. (ESA). E endangered species. A species of fauna or flora that has been listed by the U.S. Fish and Wildlife Service or the National Marine Fisheries Service for special protection and management under the ESA. environmental assessment (EA). A concise public document that identifies and analyzes the environmental effects of a proposed Federal action, such as a military exercise or construction project, upon the human and biophysical environment. The EA provides documentation to determine whether to prepare an environmental impact statement or a finding of no significant impact. 13 environmental impact statement (EIS). A comprehensive document prepared to assess the environmental impacts of proposed legislation or other Federal actions that might significantly affect the quality of the human environment. The National Environmental Policy Act requires public notice and comment before publication of a final EIS. environmental planning. Efforts that consider the impact of operations, training, exercises, or weapon system introduction upon the environment and, where necessary, allow decision-makers to take early action to eliminate or to mitigate that impact. Additionally, environmental planning may require consultation or submission of documentation (such as the EIS or EA) to demonstrate that environmental factors have been considered. excess hazardous material. Unused hazardous material in full, properly sealed containers that can be returned to the supply system for reissue. F final governing standards (FGS). Country specific substantive provisions, typically technical limitations on effluent, discharges, etc., or specific management practices with which U.S. installations or operations must comply. finding of no significant impact (FONSI). When an Environmental Assessment concludes that no Environmental Impact Statement is necessary, the FONSI documents the reasons why an action, not categorically excluded, will have no significant impact upon the environment. force majeure. An event that cannot be anticipated or predicted, that results in actions contrary to some law. G graywater. Wastewater from deck drains, lavatories, showers, dishwashers, laundries, garbage grinders, and shipboard medical facilities that does not include industrial waste, infectious waste, or human body waste. ORIGINAL

NWP 4-11 H hazardous material. Any material that because of its quantity, concentration, or physical or chemical characteristics may pose a substantial hazard to human health or the environment when released including, but not limited to: 1. Aerosol containers 2. Flammable materials 3. Toxic materials 4. Corrosive materials 5. Oxidizing materials 6. Compressed gasses. hazardous substance. Either a hazardous material or a hazardous waste. hazardous waste. Any waste that requires special precaution in its storage, collection, transportation, treatment, or disposal to prevent damage to persons or property, including explosive, flammable, volatile, radioactive, toxic, and pathological wastes. high seas. The ocean zone beyond 200 nm from shore. M MARPOL (73/38). The International Maritime Convention for the Prevention of Pollution from Ships. N navigable waters. The surface waters, wetlands, and Territorial Seas of the United States. nonindigenous species. Any species or viable biological material that enters an ecosystem beyond its historic range, including any such organism transferred from one country to another. Examples of such species include the zebra mussel and the spiny water flea recently introduced to the U.S. Great Lakes. P policy. In this publication, OPNAVINST 5090.1 (series) and Marine Corps Order P5090.2. R record of decision (ROD). A concise summary of decisions made by the Secretary of the Navy from the range of alternatives analyzed in the Environmental Impact Statement. The ROD states the alternatives, discusses other considerations that influenced the decision, and any mitigating actions or monitoring required. S solid waste. Under Federal statute may include solids, liquids, semi-liquids, and gaseous material. special areas. MARPOL designated environmentally sensitive areas where special international provisions afford additional protection. MARPOL Annex I, for example, prohibits the discharge of oil from oil tankers (and other ships in excess of 400 gross tons) in the Mediterranean, Baltic, and Black Seas and in the Antarctic Region. MARPOL Annex V currently prohibits the discharge of virtually all solid waste in the Baltic Sea, North Sea and Antarctic Region. T territorial sea. The ocean zone within 3 nm from shore. threatened species. Any species likely to become an endangered species within the foreseeable future throughout all or a significant portion of its range. U used hazardous material. Hazardous material that has been used in a shipboard process and has no further use aboard ship, but may still be used ashore or recycled for future use. W wetland. Areas inundated or saturated by surface or ground water at a frequency and duration sufficient to support (and under normal circumstances do support) a prevalence of vegetation typically adapted for life in saturated soil conditions. Wetlands generally include swamps, marshes, bogs, and similar areas.

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LIST OF ACRONYMS AND ABBREVIATIONS

The following acronyms and abbreviations are provided for use with this publication. Unless otherwise indicated, they were extracted from Joint Publication 1-02, Department of Defense Dictionary of Military and Associated Terms, OPNAVINST 5090.1 Series, and other relevant Department of the Navy instructions and publications. A AO. Area of operations. B BALTOP. Baltic operations. C CASREP. Casualty report. CFR. Code of Federal Regulations. CHRIMP. Consolidated hazardous material reutilization and Inventory management program. D DoD. Department of Defense. E EIS. Environmental impact statement. E.O. Executive order. F FGS. Final governing standards. FONSI. Finding of no significant impact. H HQMC. Headquarters Marine Corps. I IMO. International Maritime Organization. J JCS. Joint Chiefs of Staff. OPLAN. Operation plan. OPNAV. Office of the Chief of Naval Operations. 15 ORIGINAL JOPES. Joint Operation Planning and Execution System. JOPREP. Joint Operation Planning Reporting System. L LOGREQ. Logistics requirements. M MARPOL. International maritime convention for the prevention of pollution from ships. MCO. Marine Corps Order. MOA. Memorandum of agreement. MOOTW. Military operations other than war. N NATO. North Atlantic Treaty Organization. NAVOSH. Navy occupational safety and health. NEPA. National Environmental Policy Act. nm. Nautical mile. NMFS. National Marine Fisheries Service. NNPI. Nuclear propulsion plant information. NNPS. Nuclear propulsion plant space. NOAA. N a t i o n a l O c e a n i c a n d A t m o s p h e r i c Administration. NWP. Naval warfare publication. O

NWP 4-11 OPNAVINST. Chief of Naval Operations Instruction. OPORD. Operational order. OPREP. Operational report. OPSEC. Operations security. OWS. Oil/water separator. R REC. Regional environmental coordinator. S SECNAV. Secretary of the Navy. SOFA. Status of forces agreement. SSC. Smaller scale contingency. U USC. United States Code. USFWS. U.S. Fish and Wildlife Service.

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PREFACE
NWP 4-11 provides environmental doctrine to commanders for use as a foundation for their plans to accomplish objectives while achieving environmental protection. This publication discusses compliance and the impact of environmental regulations during progressively demanding operational postures, from peacetime through war. Within each operational posture NWP 4-11 identifies issues and offers guidance for specific operations in which a commander or planner may be involved. These operations include multinational maritime operations and environmental contingencies, such as oil spills. NWP 4-11 discusses the effect of national and international environmental regulations and agreements on naval operations. It describes the planning required to make sure naval operations comply with established environmental standards and minimize impacts on the environment. NWP 4-11 integrates environmental thinking into all operational planning, bringing the subject matter into the proper level of awareness for naval planners and strategists. Throughout this publication, references to other publications imply the effective edition. Report any page shortage by letter to Navy Warfare Development Command. ORDERING DATA Order a new publication or change, as appropriate, through the Navy Supply System. Changes to the distribution and allowance lists (to add or delete your command from the distribution list, or to modify the number of copies of a publication that you receive) must be made in accordance with NWP 1-01. RECOMMENDED CHANGES Recommended changes to this publication may be submitted at any time using the accompanying format for routine changes. Atlantic and Pacific fleet units and stations and all other units and CONUS shore activities submit recommendations to: COMMANDER NAVY WARFARE DEVELOPMENT COMMAND 686 CUSHING ROAD NEWPORT RI 02841-1207 URGENT CHANGE RECOMMENDATIONS When items for changes are considered to be urgent (as defined in NWP 1-01, and including matters of safety), this information shall be sent by message (see accompanying sample message format) to Commander, Navy Warfare Development Command, and all other commands concerned, clearly explaining the proposed change. Information addressees should comment as appropriate. See NWP 1-01. CHANGE SYMBOLS Revised text in changes is indicated by a black vertical line in either margin of the page, like the one printed next to this paragraph. The change symbol shows where there has been a change. The change might be material added or information restated. A change symbol in the margin by the chapter number and title indicates a new or completely revised chapter.

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CLASSIFICATION//N03510// MSGID/GENADMIN/(Organization ID)// SUBJ/URGENT CHANGE RECOMMENDATION FOR NWP 4-11// REF/A/DOC/NWP 1-01// POC/(Command Representative)// RMKS/ 1. 2. 3. IAW REF A URGENT CHANGE IS RECOMMENDED FOR NWP 4-11 PAGE ______ PARA NO ______ LINE NO ______ FIG NO ______ PROPOSED NEW TEXT (Include Classification)

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CHAPTER 1

Environmental Protection
By maintaining compliance with all environmental standards, we ensure our access to training and operating ranges on land, in the air, and at sea. We recognize that many of our actions, whether it is to train new Sailors or Marines, maintain readiness of combat forces, or test new weapon systems have an impact on the natural environment. We need to understand those impacts, and take appropriate actions to minimize them. Beyond the strict interpretation of the law, we have an ethical responsibility to conserve the natural resources entrusted to us. -Robert B. Pirie, Jr. Assistant Secretary of the Navy (Installations and Environment) 1.1 INTRODUCTION Compliance with environmental laws and regulations is having an ever-greater effect on naval operations. The number of environmental laws and regulations that affect Navy and Marine Corps operations is increasing at international, national, State, and local levels. Naval forces do not only comply with environmental laws and regulations because of a legal requirement, but also as a matter of policy. Failure to comply with or respect (in the case of laws that do not directly apply) these laws and regulations may jeopardize future operations, result in a poor public image, result in interagency disputes or civil litigation, and could also subject a commander or commanding officer to criminal liability. The Navy and Marine Corps strive to lead in environmental protection while effectively carrying out naval operations. To plan and operate effectively, commanders and staff personnel must be aware of environmental laws, regulations, and policy; their impact on operations; and the effect of operations on meeting environmental requirements; in short, how to carry out assigned missions while achieving environmental compliance or minimizing environmental effects. While carrying out assigned missions, operational commanders have an affirmative obligation to avoid unnecessary damage to the environment. Toward that end, commanders must closely observe laws, regulations, and policy for protecting and preserving the environment in all exercises and military operations other than war (MOOTW) and at least consider them in war. In peacetime, meeting environmental requirements may require modification of exercises. Failure to consider environmental requirements or effects early in the planning process could result in exercise delays. Early environmental protection actions or mitigating measures should result in minimal or no limitations or impacts on exercise objectives. 1.1.1 Navy Environmental Ethic. The U n i t e d States Navy must be both a national and international leader in promoting environmental quality for present and future generations. As a steward of the marine and land environments, the Navy has an obligation to care for the natural resources on which the world depends. Defending the environment is part of mission accomplishment; its good citizenship and the right thing to do. The Navy is committed to protecting human health and the environment to the extent practical while performing its military mission. Operating in an environmentally sound manner is the Navy legacy for the 21st century. Its the Navys way of life. 1.1.2 The Environment. Current naval operational publications use the term environment in three ways. The first use describes the political, strategic, or operational context in which a military operation will take place (e.g., the environments of peacetime, military operations other than war, and war). The term also describes the human and physical dimensions of combat (e.g., geography, terrain, weather, or sea conditions) that may affect the conduct of operations. The third use (and that used in this publication) refers to the ecosystem and encompasses both physical and biological systems. Environmental protection, therefore, includes control of emissions to the atmosphere, land, and water;

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NWP 4-11 the protection of endangered marine species; and protection of natural and cultural resources. Since naval forces must operate in unique environments, such as the open ocean, littoral zones, and estuarine waters, the issues they experience are quite different from those involving Air Force and Army operations. ELEMENTS OF ENVIRONMENTAL PLANNING NWP 4-11 will not reiterate the requirements contained in Navy and Marine Corps policy and guidance documents. Rather, it will inform operational commanders and staffs of broad environmental considerations that may have an impact on planning and operations. Operational commanders and planners must be thoroughly familiar with Service environmental regulations imposed upon assigned forces. This knowledge will permit better planning and execution allowing assigned commands to achieve established environmental requirements. It will also assist unit commanders and commanding officers to meet the requirements of Federal, State and local laws and Service regulations. Chapter 1 provides an overview of the publication and describes the strategy and need for considering environmental protection during naval operations. In chapter 2, NWP 4-11 discusses the impact of environmental requirements on naval operations during peacetime, including exercises. Chapter 3 addresses environmental protection during MOOTW. In summary, chapters 1 through 3 identify environmental effects on operations and the effects of operations on the environment, including applicability and special considerations of requirements for each operation. Chapter 4 provides commanders with environmental considerations within and outside the theater(s) of war. Finally, chapter 5 discusses the preparation of the environmental annex (Annex L) of operation plans (Opals) or orders (Operas). 1.2.2 Other Naval Warfare Publications. Although NWP 4-11 establishes environmental doctrine for naval operations, environmental considerations are incorporated in other doctrine. Publications used in planning and executing operations (e.g., strike or amphibious operations, multinational maritime operations, and domestic support operations) and for providing guidance on conducting evolutions (e.g., refueling at sea) also contain specific environmental planning considerations and should be consulted. 1.2.3 OPNAV/HQMC Guidance. The directives, OPNAVINST 5090.1 series, Environmental and Natural Resources Program Manual, and Marine Corps Order P5090.2, Environmental Compliance and Protection Manual, contain policy and guidance on environmental compliance. These documents provide detailed direction to operating forces on preventing pollution and complying with applicable Federal and international environmental regulations. Operational commanders and planners must be thoroughly familiar with these policy guidance documents

Policies and responsibilities to protect and preserve the environment during operations Solid waste management Hazardous material management Flora and fauna protection Archeological and historical protection Oil and hazardous substance spill planning Joint Doctrine for Civil Engineering Support Joint Pub 4-04

1.1.3 Purpose. NWP 4-11 provides environmental doctrine to commanders for use as a foundation for their plans to accomplish objectives while achieving environmental protection. It discusses compliance and the impact of environmental regulations during progressively demanding operational postures, from peacetime through war. Within each operational posture this publication identifies issues and offers guidance for specific operations in which a commander or planner may be involved. These operations include multinational maritime operations and environmental contingencies, such as oil spills. 1.2 NATURE OF DOCUMENT AND RELATED GUIDANCE 1.2.1 Publication Composition. NWP 4-11, Environmental Protection, discusses the effect of national and international environmental regulations and agreements on naval operations. It describes the planning required to make sure naval operations comply with established environmental standards and minimize impacts on the environment. NWP 4-11 integrates environmental thinking into all operational planning, bringing the subject matter into the proper level of awareness for naval planners and strategists.

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NWP 4-11 and their impact upon the forces that use them. Compliance with these directives will ensure compliance with Federal and international regulations. They may not, however, ensure compliance with foreign nation or State and local environmental requirements. Sometimes local requirements are more stringent than those specified in either the OPNAV Instruction or the Marine Corps Order. Operational commanders must then provide sufficient guidance to assigned operating forces to ensure that these forces consider and appropriately follow the additional, applicable requirements. Staff judge advocates assigned to major staffs and regional environmental coordinators (RECs) have local knowledge and can provide authoritative environmental guidance. Commanders can obtain a listing of RECs from the appropriate area commander. They are strongly advised to consider these resources early in the planning process. Forces embarked aboard ships must comply with the environmental requirements under which the ship operates. Marine Corps Order P5090.2 and Marine Corps Reference Publication MCRP 4-21C, Military Environmental Protection, provide guidance to Marine Corps forces operating ashore after disembarking. Navy operational commanders ashore shall follow the guidance of OPNAVINST 5090.1 series, once disembarked. 1.3 ENVIRONMENTAL LAWS AND REGULATIONS The goal of environmental laws and regulations is to prevent or reduce environmental damage. When individuals, activities, and organizations damage the environment, those responsible may be held accountable. 1.3.1 International Environmental Agreements, Treaties, and Regulations. In general, U.S. warships, aircraft, auxiliaries, and other public platforms enjoy sovereign immunity under positive (United Nations Convention on the Law of the Sea, article 236) and customary international law. However, naval forces are subject to some international laws and regulations as well as some U.S. legal requirements. An increasing number of agreements and treaties that impose these laws and regulations deal with environmental protection. Although some international regulations exempt warships, Federal laws implementing the regulations have made some mandatory for U.S. naval forces. For example, Congress made certain requirements of Annex V, International Convention for the Prevention of Pollution from Ships (MARPOL 73/78) applicable to Navy ships by specific dates. OPNAVINST 5090.1 series incorporates these requirements and compliance dates. 1-3 Two U.S. Federal laws are applicable to naval forces worldwide. The Endangered Species Act and the Marine Mammal Protection Act require compliance even in international waters or on foreign shores. In addition, Executive Order (E.O.) 12114 of 4 January 1979 requires environmental planning and may impose environmental protection restraints on U.S. forces in areas outside the jurisdiction of any nation (the global commons). 1.3.2 U.S. Federal and State Environmental Requirements. Naval forces operating in the navigable waters of the U.S. can be subject to Federal, State, regional, and local laws and regulations. Federal statutes constitute the bulk of environmental law. Under many circumstances, these requirements are applicable to naval forces conducting operations within areas under State and local jurisdiction. States generally can create and enforce more stringent criteria than Federal laws. They have considerable leeway to follow enforcement interpretations of Federal laws or laws of other States. Since Navy and Marine Corps guidance is written at the Federal level, operational commanders should be aware of unique State environmental requirements and ensure that assigned forces are advised of these requirements. Commanders can accomplish this through OPLANs or OPORDs, senior officer directives, Fleet Guides, or responses to ship logistics requests (LOGREQs). Commanders should seek the advice of staff judge advocates (either their own or from the staff of the Navy Regional Environmental Coordinator or Commanding General for the AO). The foremost Federal environmental planning statute is the National Environmental Policy Act (NEPA). It must be considered when the environmental effects have not been studied before, such as when the Navy or Marine Corps wants to test new weapons or hold exercises in a new location within the territorial U.S. It requires naval force commanders to identify and consider the environmental consequences of their actions before carrying them out. For example, operations in the vicinity of endangered species may require consultation with the U.S. Fish and Wildlife Service and an environmental assessment. Specific details for compliance with NEPA are contained in this publication and Navy and Marine Corps policy. 1.3.3 Foreign National Environmental Requirements. U.S. Navy ships operating within the territory of a foreign country (internal waters, ports, and seas out to 12 nautical miles (nm) from land and not in innocent passage) are subject to the laws of that foreign country as a condition of port entry, although the legal ORIGINAL

NWP 4-11 principles of sovereign immunity preclude coastal states from involuntarily boarding or arresting public vessels. However, Navy policy requires ships to abide by environmental provisions contained in port visit clearances and/or status of forces agreements (SOFAs). Port guides discuss such provisions, and attachs and other respondents should emphasize this in responses to LOGREQs. When port visit material or SOFAs do not provide sufficient information, operational commanders should attempt to follow corresponding requirements of U.S. navigable waters or ports. Where this is not feasible, Navy ships should operate in a manner consistent with that of host nation warships. Naval forces ashore are required to comply with applicable SOFA provisions dealing with the environment. They may also be expected to comply with E.O. 12114 and the Final Governing Standards (FGS) for that nation. 1.3.4 Enforcement. U.S. State and municipal environmental authorities have authority to enforce their laws and regulations through civil and sometimes criminal action against individuals. Many environmental laws also allow private citizens to sue for enforcement. Enforcement actions can be in the form of Notices of Violation, Notices of Noncompliance, warning letters, warning notices, citizen suit notices, consent orders, or other written or oral notifications of environmental noncompliance. Navy and Marine Corps forces shall comply with applicable environmental laws and regulations and report noncompliance, whether or not any enforcement action is being taken. When out of compliance, the command must give prompt attention and effort to ensure compliance is achieved, and notify appropriate commanders of the noncompliant condition. Prompt attention is the best defense against possible criminal charges and/or civil penalties. Federal, State, or local environmental regulatory officials have the authority to inspect naval commands and activities (including ships) if the following three conditions are met: first, the inspection must be authorized by a law applicable to U.S. Federal agencies through a waiver of sovereign immunity; second, the inspector must present proper credentials from the regulatory agency; and third, the inspector must meet appropriate personnel security requirements. Navy and Marine Corps policy (OPNAVINST 5090.1 series and Marine Corps Order P5090.2) provide specific guidance for these inspections. State and municipal jurisdictions can take criminal action against an individual for violations of applicable environmental laws or regulations. Such actions normally apply to willful or egregiously negligent violations. Commanders should consult their staff judge ORIGINAL 1-4 advocate for further information on personal liability. Commanders and planners should take action throughout the planning process to ensure commands or individuals do not violate Federal, State, or local laws or regulations while carrying out assigned duties. Likewise, commanders may also need to take action including convening an investigation in accordance with the Manual of the Judge Advocate General, to determine the cause and document environmental incidents and take appropriate disciplinary action. U.S. naval vessels are immune from the direct application of international environmental conventions. These vessels, however, are required to act in a manner consistent (so far as is reasonable and practicable) with such conventions, as long as those actions do not impair the operations or operational capabilities of such vessels. Furthermore, commanders should know that although international environmental conventions do not directly apply to naval vessels, through domestic legislation, the U.S. has made some international environmental standards explicitly applicable to U.S. naval vessels. Navy policy (OPNAVINST 5090.1 series) includes those legal requirements. Even though a naval vessel operating in ocean areas under the jurisdiction of a foreign state has sovereign immunity, it must operate with due regard for that nations resource-related laws and regulations. Additionally, naval vessels must comply with any environmental requirements established in port visit clearances and the local SOFA. Enforcement authority of foreign coastal states over U.S. naval vessels is limited. Environmental authorities from a foreign country do not have authority to inspect Navy ships to determine environmental compliance with that countrys laws. If such inspection is requested, Navy policy describes the action to be taken. If a naval vessel is in violation of environmental laws or regulations, however, it may be subject to a demand that the vessel leave the ocean area under the coastal states jurisdiction. The United States may ultimately be liable for damage caused as a result of a U.S. naval vessel violating a foreign coastal states resource-related laws or regulations. The Suits in Admiralty Act and Public Vessels Act have waived sovereign immunity and allow the United States to be sued for damage caused to marine property or resources by U.S. naval vessels and operations. Environmental requirements for operations ashore in a foreign nation vary since the operations must comply with any applicable SOFA, host nation laws of general

NWP 4-11 applicability, and applicable FGS. When planning for operations ashore, close coordination and consultation must exist between the staffs of the unified or sub-unified commander and the senior Navy or Marine Corps commander responsible for that region or country. When planning for operations ashore, operational commanders should address claims procedures for terrestrial operations and maneuver damage. Commanders should also address possible remediation actions (post operation) during operational planning. The Navy and Marine Corps manage environmental compliance through internal inspections and controls, such as training and environmental compliance evaluations. The ultimate responsibility for enforcing environmental compliance within a command remains with the commander or commanding officer. 1.4 OPERATIONAL THREATS TO THE ENVIRONMENT 1.4.1 Peacetime Operations. Peacetime operations are those conducted under conditions in which the possibility of armed conflict is low, and forces are operating at a reduced condition of military readiness. Peacetime operations include training for combat, normal steaming under peacetime conditions, and exercises with other U.S. naval forces, joint forces, or allied forces. To maintain operational readiness during peacetime, naval operating forces strive as much as possible to operate as they would during war and contingency operations. However, in peacetime, operational planners have time to identify the environmental effects of naval operations and take mitigating action, including establishing operating guidelines to protect the environment while allowing operational forces to experience the maximum amount of realism during training. During peacetime operations, naval forces must comply with applicable Federal, State, and local environmental laws and regulations and applicable international and host nation environmental laws. Failure to comply may result in enforcement actions against the involved forces, a poor public image, the politicization of routine operations and unwanted outside scrutiny of the non-environmental aspects of the operation, and the possibility of denial of similar operations in the same location in the future. Planning and conducting peacetime operations that protect the environment, regardless of geographic location, must include proper management of the following: 1-5 1. Sewage (blackwater), wastewater (graywater), oily waste (including ship compensating ballast and bilge water) and other liquid wastes. 2. Hazardous materials, including the disposal of ship and force-generated hazardous wastes. 3. Medical wastes (infectious and sharps) and those wastes that could create the public perception of being potentially infectious. 4. Solid wastes (including garbage, metal, wood, paper, glass, and plastics). 5. Energy use, including energy conservation. 6. Ship and vehicular operations to avoid damage to coastlines, beaches, and habitats. 7. Ship, aircraft, landing craft, and off-road vehicle operations to prevent harm to marine mammals and other endangered animal or plant species. 8. Ballast water and sediment to control introduction of non-indigenous species by vessels or vehicles. 9. Aircraft and vehicle noise. 1.4.2 Military Operations Other Than War. MOOTW are naval operations that encompass the use of military capabilities across the range of military operations short of war. These military actions can be applied to complement any combination of the other instruments of national power and occur before, during, and after war. Examples of MOOTW include: counterinsurgency, counterterrorism, peace enforcement, peace operations, counterdrug operations, civil operations, evacuation of U.S. or third world country nationals, and disaster relief. MOOTW operations are generally located within the exclusive economic zone, territorial sea, or territory of another nation. Therefore, U.S. environmental laws would not be directly applicable to U.S. naval operations. However, naval forces should comply with environmental planning requirements and exercise sound environmental management inside the AO to the fullest extent that operational conditions and mission accomplishment allow. When an operational commander is unable to fully comply with these management requirements because of operational objectives, he must then try to minimize detrimental effects on the environment. Operations occurring on the high seas are subject to the requirements of the U.S. Endangered Species and Marine Mammal Protection Acts. Additionally, the ORIGINAL

NWP 4-11 Ocean Dumping Act prohibits vessels from transporting material from land to sea for the express purpose of dumping without a permit (for example, captured weapons or munitions). Early in the planning process, a determination must be made whether compliance with these Acts would impede operations. If so, these constraints must be forwarded immediately up the chain of command to the Office of the Chief of Naval Operations or Commandant of the Marine Corps in order for staff to pursue the necessary exemptions. MOOTW may require naval forces to remain on-station ashore or within proximity of land to provide rapid response capability to deteriorating situations (e.g., evacuation of noncombatants). The primary consideration must be the mission itself (saving lives, halting military aggression, and feeding the starving). However, an understanding of the environmental planning and management requirements imposed upon unit commanders, particularly those aboard ship, will permit operational commanders and planners to make informed decisions allowing mission accomplishment while protecting the environment. For example, allowing ships to leave an inshore station for open ocean areas to discharge shipgenerated wastes may be a viable option that planners should consider during operational planning. 1.4.3 Wartime Operations. When other instruments of national power are unable to achieve national objectives or protect national interests, naval forces may be directed to conduct combat operations to gain them. The goal is to win quickly with as few casualties as possible. The principal considerations regarding environmental protection during wartime operations are contained in NWP 1-14(M), The Commanders Handbook on the Law of Naval Operations. Environmental conditions inside and outside the theater(s) of war may differ. Planners and commanders must be informed and be aware of these differences and must plan operations accordingly. 1.5 SAFETY AND HEALTH ASPECTS OF ENVIRONMENTAL PROTECTION 1.5.1 Hazardous Materials. Proper control and management of hazardous materials are important aspects of environmental protection. Failure to properly use, store, and dispose of hazardous materials can result in an adverse impact not only to the environment but also to the safety and health of sailors, marines, and the general populace. ORIGINAL 1-6 OPNAVINST 5100.19 series, Navy Occupational Safety and Health (NAVOSH) Program Manual for Forces Afloat and OPNAVINST 5090.1 series provide policy and guidance for the control and management of hazardous material aboard ships (including embarked detachments). Commanders of embarked units must familiarize themselves with this policy and require assigned personnel to follow it while stationed aboard ship. Marine Corps Order P5090.2 provides hazardous material control and management instructions and guidance for Marine units operating independently from ships. Other naval forces ashore must follow OPNAVINST 5100.23 series, NAVOSH Program Manual, and OPNAVINST 5090.1 series. Navy and Marine Corps policy limits a units hazardous materials inventory to the minimum necessary to carry out assigned missions. Unit commanders accomplish this by following the Consolidated Hazardous Material Reutilization and Inventory Management Program (CHRIMP) procedures. Minimizing hazardous material through inventory management increases ship and personnel safety and improves ship damage control capabilities. Reutilization of hazardous material until the remaining material has no further use will reduce the amount of hazardous wastes created by ships and units ashore. Embarked units should participate in the shipboard hazardous material control and management program to the maximum extent possible. Embarked unit commanders must provide a list of all hazardous material introduced aboard to the ships commanding officer, including the location of this material for damage control and fire fighting purposes. Upon leaving the ship, the embarked unit should remove all hazardous materials it brought aboard. Since ships will be carrying minimal amounts of hazardous material, operational commanders must ensure that logistics support provides needed quantities of these materials, when required. Failure to accomplish this may result in stockpiling of shipboard hazardous materials to ensure availability. Stockpiling of hazardous materials aboard ship may jeopardize the safety and health of shipboard personnel and may adversely affect damage control, ship survivability, and fire protection. Because of Navy restrictions on disposal of hazardous materials into surrounding waters, ships may be carrying significant amounts of these materials that have either been partially used or have no further use aboard the ship. Allowing hazardous materials (wastes) to collect aboard ships will have an adverse impact on personnel safety and health and ships damage control,

NWP 4-11 survivability, and fire protection. Operational commanders must monitor and reinforce efforts to off-load used/excess hazardous materials (hazardous wastes) from ships required to remain at sea for extended periods. Aviation ships (aircraft carriers and aviation amphibious ships) generate large amounts of used/excess hazardous material (hazardous wastes). For them, operational commanders should consider off-load by shipto-ship transfers on a weekly basis. Smaller ships need only be supported on a four- to six-week interval. The Navy has authorized ship-to-ship transfer of used/excess hazardous material (hazardous wastes) to support ships for operational purposes. Operational commanders have a responsibility to ensure that this hazardous material off-load does not jeopardize the health and safety of receiving ships. Commanders should consider the following before authorizing such transfers: 1. Does the receiving ship have space available to properly store the received material and continue to safely accomplish its assigned mission? The receiving ship must have space available to store the material and provide adequate fire protection without interfering with the ability to safely transfer fuel and/or materials to ships. 2. How long must the receiving ship carry the received material before being able to off-load it ashore? The receiving support ship should off-load used hazardous material from other ships promptly on return to port to minimize carrying time of the material. Navy ships may also be assigned to carry retrograde hazardous wastes generated ashore. Whether generated ashore or aboard, commanders should enforce the packaging, labeling, and palletizing requirements of either OPNAVINST 5100.19 series or Marine Corps Order 5090.2 for ship-to-ship or shore-to-ship transfers of used hazardous material or hazardous wastes. Failure to do so may jeopardize the health and safety of the crew of the receiving ship. 1.5.2 Other Health and Safety Considerations. Naval personnel responding to environmental emergencies, such as oil or hazardous substances spills, react to prevent damage to the environment, frequently with little or no concern for personal safety and health. Commanders must ensure these persons have proper training and equipment to protect themselves from the material they are attempting to clean up or remove. Response personnel must not only have the equipment needed to clean up spilled or released material, but must be given personal protective equipment such as protective clothing and eye and respiratory protection. Personnel expected to wear respirators in the performance of an environmental emergency response must be medically certified to do so. They must be fit-tested for the respirator to be worn, and must be trained on how to use it. These actions cannot be accomplished in the period between the spill occurring and the commencement of cleanup. Environmental emergency response is an infrequent operation for Navy and Marine Corps personnel. During such a response, they may perform tasks under stressful, less-than-ideal conditions. The commander must consider these factors in planning for and ordering a response, because they increase the risks to the health of the personnel involved.

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CHAPTER 2

Environmental Protection During Peacetime

2.1 INTRODUCTION In peacetime, Navy and Marine Corps forces carry out assigned objectives while complying with environmental law and regulations, whether engaged in exercises, weapons systems test and evaluation, or maintenance and testing of shipboard equipment. Operational commanders and subordinates must understand their mission objectives thoroughly. Similarly, they must understand their operational constraints, among them the spectrum of environmental laws and regulations. For peacetime operations, including exercises, the environmental constraint is overriding. In peacetime, efficient planning and environmental incident-free operations depend upon operational commanders and planners taking environmental considerations into account early in the planning process. Environmental planning considerations deal with achieving environmental compliance without severely affecting mission objectives. This chapter identifies measures commanders should take to ensure compliance, both on land and at sea. It will help commanders and planners assess and reduce environmental risks while successfully completing their missions. Frequently, naval forces use established operating areas or ranges for conducting exercises. Operating areas are normally close to land to shorten transit distances. Instrumented ranges, only available on or near shore, allow naval forces to document performance and evaluate results. Naval forces use designated beach areas for practicing amphibious operations and other land areas for shore bombardment ranges. The Navy conducts operations and training in some of the most environmentally sensitive areas of the world. Naval forces must be mindful of the growing public concern for the environmental effects of operations in these areas and must use them properly and protect their ecosystems. Otherwise, the Navy and Marine Corps may lose access to these areas for exercises and training, or the public could force exercises and training operations further from land where the environmental effect is less, but at substantially reduced efficiency and greater cost to the Services. Planning must be meticulous to achieve compliance, avoid unnecessary environmental degradation, and maintain public support for the continued use of these delicate areas. Planning may lead to modifying exercise objectives to achieve most if not all training goals, selecting more favorable operating areas for conducting the operation, and establishing environmental rules of engagement that will permit realistic training while achieving environmental protection. Chapter 2 discusses ship and other naval force limitations and capabilities that may affect environmental compliance options. It includes guidance to maximize capabilities and minimize limitations. It discusses planning for various environmental contingencies inherent in peacetime naval operations. These contingencies include response to spills of oil and hazardous substances by assigned units and the failure of units or personnel to comply with environmental requirements. Personnel may suddenly have to react to situations that cause environmental damage during peacetime naval operations. In anticipation of these contingencies, public affairs planning and training need to be addressed. 2.2 ENVIRONMENTAL REQUIREMENTS 2.2.1 Environmental Effects. To minimize the environmental effects of a mission, commanders and planners must be knowledgeable of the effects that naval operations may cause. These effects include: 1. Water pollution 2. Air pollution 3. Ground pollution 4. Effects on marine mammals 5. Effects on endangered species

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NWP 4-11 6. Effects on cultural or architectural resources 7. Introduction of aquatic non-indigenous species and the destruction of indigenous populations. 2.2.2 Operational Effects of Naval Environmental Requirements. To properly plan and accomplish a mission while minimizing the effect on the environment, operational commanders and planners must have an understanding of the environmental requirements affecting naval operations. These requirements are addressed in Navy and/or Marine Corps policy (OPNAVINST 5090.1 series or Marine Corps Order 5090.2). 2.3 ENVIRONMENTAL PLANNING 2.3.1 Preparation for Peacetime Operations. In preparing for peacetime operations (including exercises or weapon systems test and evaluation) planners should: 1. Identify operational objectives and potential alternative operations that would achieve objectives. 2. Identify the potential effects caused by the operation. These effects include: a. Solid wastes disposal (afloat and/or ashore) b. Liquid wastes disposal (afloat and/or ashore) c. Air emissions d. Noise (including noise from machinery, sonar, and aircraft operations) e. Explosives use in the water or ashore f. Ballast water discharge g. Vehicle or troop damage. 3. Identify the characteristics of the environment potentially affected: a. Presence of endangered species or their habitats b. Presence of marine mammals c. Presence of unique biota such as coral reefs d. Presence of architectural or cultural resources e. A designated marine sanctuary ORIGINAL 2-2 f. Presence of fish stocks or sedentary creatures that might be affected by the operation. 4. If the scheduled exercise or operation has not been conducted before, is a substantial change from prior action, uses a new operating area, employs new sensors (sonars, radars, etc.), employs new weapons, or has the potential to significantly impact the environment, including any of the characteristics in paragraph 3 above: a. Prepare proper environmental documentation under the National Environmental Policy Act (NEPA) or Executive Order (E.O.) 12114 (e.g., perform an environmental assessment). b. If marine mammals are affected, consult with the National Marine Fisheries Service (NMFS) and seek legal advice from an appropriate staff judge advocate. c. If endangered species or their critical habitats are affected, consult with the U.S. Fish and Wildlife Service or the NMFS. d. If cultural or architectural resources are affected, consider consulting with the State Historic Preservation Officer. e. Identify operational limits or restrictions needed to achieve environmental compliance and limit adverse environmental effects in the area(s) of operation. 5. Identify any operational limits or restrictions imposed by prior environmental documentation, any other legal mandate, base commander or Commanding General directive, foreign environmental regulation, status of forces agreement (SOFA), or Regional Environmental Coordinator requirement. 6. Identify possible contingencies that may occur during the operation. Determine how each contingency would affect the environment in the area of operations and how it could be prevented or mitigated should it occur. Determine the naval force response to each contingency. 7. For terrestrial operations in which operations or maneuver damage may occur, identify the methods for handling claims, including procedures for claim submission, validation, and payment. For these operations, also address naval force remediation efforts, including responsibility for such actions.

NWP 4-11 8. Develop the environmental annex (Annex L) to the operation plan (OPLAN) or order (OPORD) to address the operational limitations or restrictions to be imposed during the operation to achieve environmental compliance. Note Appendix A is a model environmental protection annex with example entries. 9. Conduct training for staff and affected commanders on the full contents of the environmental annex (Annex L) including any operational limitations or restrictions imposed during the operation to achieve environmental compliance. This training should identify the reasons for such limitations. Environmental planning for an exercise or other peacetime operation must comply with the requirements of NEPA (Section 2.3.2) or E.O. 12114 (Section 2.3.3) depending upon the location of impacts, marine mammal protection, and endangered species protection. Failure to do so may result in delays in the exercise until proper planning requirements are accomplished. Any unmitigated environmental impact may result in poor public relations for the Navy and/or Marine Corps and possible prevention of similar future exercises in the area of concern. Neither of these potential situations is acceptable for the Navy-Marine Corps team. Training in environmental protection and the offloading and/or proper disposal of wastes and materials likely to become wastes, prior to an exercise, are good practices. Commanders and planners should be particularly aware of unique environmental protection requirements that apply in the exercise area. Full details regarding compliance with the NEPA/ E.O. 12114 process and the Department of the Navy implementing regulations are contained in OPNAVINST 5090.1 series or Marine Corps Order 5090.2. The following sections summarize these requirements. 2.3.2 The National Environmental Policy Act. NEPA requires that commanders make environmental considerations an integral part of the mission planning and decision-making process. NEPA mandates specific procedures for environmental planning, but does not mandate decisions. Although no criminal or civil liability exists for failure to follow NEPA requirements, failure to consider NEPA may result in operational delays due to court-imposed injunctions and an adverse public image. NEPA applies to impacts that occur within the U.S. land territory and territorial sea (12 nm). 2-3 This law is a national charter for protecting the environment. It establishes environmental policy, sets goals, and provides the means for carrying out established policy. NEPA states that Federal agencies shall, to the fullest extent possible, use the NEPA process to identify and assess the reasonable alternatives to proposed actions that will avoid or minimize adverse effects of these actions upon the quality of the human environment, and use all practical means, consistent with the requirements of the Act and other considerations of national policy, to restore and enhance the quality of the human environment and avoid or minimize any possible adverse effects of their actions upon the quality of the human environment. In practical terms, this requires naval commanders to study the potential environmental impacts and prepare statements for any proposed action (including exercises) that has potential to affect the environment. NEPA regulations require: 1. That procedures be in place to ensure that environmental information is available to decision makers and citizens before decisions are made and actions are taken; and 2. That the NEPA process identifies and assesses reasonable alternatives to proposed actions and compares the environmental effects of the alternatives. NEPA uses a three-tiered approach to ensure that pertinent environmental information for major Federal actions is available to decision makers and the public. Any proposed action must fit into one of three categories. 2.3.2.1 Categorical Exclusions. These are actions that individually or cumulatively have no impact upon the environment. 1. The following types of operations applicable to operating forces have been granted categorical exclusions: a. Routine movement of mobile assets b. Routine movement, handling and distribution of materials, including hazardous materials, under applicable regulations. 2. A categorical exclusion does not apply if one of the following is true: a. The action affects public health or safety.

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NWP 4-11 b. The action has the potential to significantly affect wetlands, endangered species, cultural resources, or contaminated sites. c. The action involves highly uncertain impacts, unknown risks or scientifically controversial issues. d. The action establishes precedents or makes decisions in principle for future actions with significant effects. e. The action is a violation of Federal, State, or local law or requirements imposed for the protection of the environment. 2.3.2.2 Environmental Assessments. Actions that potentially have a significant effect on the environment require the writing of environmental assessments (EAs). EAs are documents providing sufficient evidence and analyses to determine whether the action triggers the requirement for an Environmental Impact Statement (EIS) or no significant impact. If no significant impact is determined as a result of an action, then a finding of no significant impact (FONSI) is prepared. 1. The preparation of an EA may be exacting and time consuming. 2. The Navy and Marine Corps policy is to conduct sound planning from both an operational and environmental perspective. If a proposed action is not covered by a categorical exclusion or a previous FONSI, then the commander must initiate an environmental assessment. NEPA also requires an EA if a commander does not know beforehand whether a proposed action (i.e., exercise, weapon system test, etc.) will significantly affect the human environment or will be controversial regarding environmental effects. An EA is an analysis of the potential environmental impact of a proposed action. Documentation will be prepared even if certain effects are unknown. To the extent that factors cannot be quantified, the planner should identify the gap, complete the analyses, and reach a conclusion. 3. When a planned event is similar to one declared a categorical exclusion or one that has previously been determined to have no significant impact but is different because of one or more factors, the EA need only delve into those factors that make it different from the prior documentation. If the resulting EA of those factors concludes that a FONSI can be issued, then the entire event would ORIGINAL 2-4 normally be covered by the FONSI, and no EIS need be prepared for that event. 4. A FONSI for a Navy planned operation or exercise is reviewed and approved by the designated flag-level official at CINCLANTFLT or CINCPACFLT, unless the proposed action has effects of national concern, has effects that are closely similar to those requiring an EIS, or is an action without precedent. These EAs will be reviewed by CNO (N45) and signed at the Navy Secretariat level. Navy and Marine Corps policies and guidance (OPNAVINST 5090.1 series and MCO P5090.2) discuss the procedures for conducting an EA and actions normally requiring EAs. 5. The following are examples of actions involving naval units in peacetime operations that under normal conditions would require preparation of an EA: a. Training exercises on or over nonmilitary property. b. Major training exercises on military property not categorically excluded, for which the impacts are unknown, or the impacts are not already known to be significant. c. Proposed use of tidal or non-tidal wetlands that would require a special permit. d. New target ranges or range mission changes that would increase environmental impact. e. Exercises conducted at the request of a State or territorial government (a ship sinking, for example, to create an artificial reef) when environmental impact might be expected. f. New, low altitude aircraft training routes and/or special-use airspace and warning areas wherein overflights impact persons or wildlife, particularly endangered species. g. Any activity proposed that may adversely affect a threatened or endangered species or the designated or proposed critical habitat of an endangered species. h. Any activity proposed that would adversely affect historical or cultural sites either now on the National Register of Historic Places or eligible for inclusion on the National Register.

NWP 4-11 i. Transportation of hazardous substances, conventional munitions, or other wastes for intentional disposal into the oceans by any naval unit. j. Any action for which the environmental effect is scientifically controversial. 2.3.2.3 Environmental Impact Statements. Actions that will affect the environment in a significant way or are environmentally controversial cause the writing of an EIS. These statements provide full and unbiased discussion of the potentially significant environmental effects to inform the decision-maker for the operation and the public. EISs also describe the reasonable alternatives that will avoid or mitigate those impacts. 1. The planned activities of naval units in an exercise may require an EIS if the EA concludes that a significant impact on the environment might occur or the action may be of national concern or is similar to one previously requiring an EIS. Navy and Marine Corps policies and guidance provide EIS development procedures. 2. When an EIS is completed, a record of decision (ROD) is signed by the Secretary of the Navy or his designee documenting the chosen alternatives and identifying mitigation to be implemented. 3. If the ROD imposes special environmental requirements on the naval commander to mitigate environmental impacts identified in the EIS, these unique environmental requirements must be specifically addressed in the OPLAN or OPORD environmental annex (Annex L) developed for the operation. The naval force commander must ensure that assigned forces are aware of and comply with these additional environmental requirements. 2.3.3 Overseas Environmental Planning. When planning a naval operation to be conducted in the global commons or in the territory or the territorial waters of another nation and the possibility of significant harm exists, an overseas environmental assessment or overseas environmental impact statement or environmental review may be required under E.O. 12114. Navy policies and guidance (OPNAVINST 5090.1 series and MCO P5090.2) discuss procedures for completing these documents. The requirements of NEPA extend to 12 nm from U.S. shores. If an exercise is planned for any area for which a question of NEPA or E.O. 12114 applicability 2-5 exists and for which significant environmental impact may occur, a staff judge advocate should be consulted. 2.3.4 Exercise (Including Weapon Systems Test and Evaluation) Considerations. Exercises (including weapon systems test and evaluation) under peacetime conditions require a high degree of compliance with environmental regulations. The only exceptions to full compliance with appropriate environmental requirements would be emergency situations that threaten human life or the safe operation of ships, aircraft, or other major equipment. Naval planners consider all aspects of an exercise from use of weapons and sensors to logistics when planning an exercise. The environmental effects of these efforts must also be considered. By considering and mitigating environmental effects of an exercise early in the planning stage, naval commanders can reduce the impact of the exercise on the environment and can prevent the loss of valuable training areas for future operations. Limitations on assigned naval forces may preclude the successful completion of some exercise objectives in order to achieve environmental compliance. In this event, planners must do their best to achieve exercise objectives while fully complying with environmental regulations. The impact of these limitations may be reduced by intelligent planning. For example, units that are required to operate within 3 nm of the beach may be chosen from among several ships with a capacity to hold sewage or store trash greater than alternate ships. Planners may modify exercise objectives to achieve most goals, may select more favorable operating areas for conducting the operation, or may establish environmental rules of engagement that will permit realistic training while achieving environmental protection. Environmental factors should influence the exercise planners choices, as do tactical factors. Unless there is some advantage (such as providing amphibious experience on a unique type of beach) that will justify the expense, both of time and operational limitations to meet the required restraints, commanders should plan exercises in areas free of endangered species or cultural resources such as historic sites. If military necessity requires use of these areas for an exercise, training, or other operation, then the planner must ensure that consultation with the proper authorities occurs and that mitigating actions agreed upon as a result of these consultations are incorporated into the environmental annex (Annex L) of the exercise plan or OPORD. Commanders should use previously employed training sites that result in the least environmental effects and artificial constraints, whenever possible. ORIGINAL

NWP 4-11 Some exercises and naval operations, although conducted further from land, may still have an environmental effect. For example, the Navy conducts target ship sinking exercises (SINKEXs) to test weapons systems and improve the reality of training. Since a SINKEX results in the sinking of the ship, it requires extensive preparation to remove pollutants from the target vessel. Following preparation of the designated hull, commanders must ask specific permission for the exercise from the Chief of Naval Operations. Commanders and Officers in Charge of Exercises must carry out SINKEXs per Navy policy (OPNAVINST 5090.1 series). Established Navy operating areas may be located near or within marine sanctuaries. The regulations establishing these sanctuaries generally permit naval operations conducted prior to their establishment to continue. Specific limitations on DoD activities are contained in the Code of Federal Regulations (CFRs). Any new, potentially harmful use of these sanctuaries requires consultation with the National Oceanic and Atmospheric Administration (NOAA). New use is defined as any activity not listed in the CFRs for that specific sanctuary. Planners conducting exercises within or near established marine sanctuaries and testing new weapon systems, ordnance, or tactics should take action to avoid the sanctuary, perform any new actions outside the sanctuary, or consult with NOAA regarding the new use of the sanctuary area. If, after consultation, protective restrictions apply to operations, planners should note these restrictions in the environmental annex (Annex L) of the exercise plan or OPORD. Existing naval operating areas may encompass migratory routes, breeding grounds, or habitats of marine mammals. In these situations, early planning must be conducted to prevent harm to the mammals from naval forces operating in these areas. Planning may include or require prior consultation with the NMFS to protect marine mammals. For example, the winter habitat for the Northern Right Whale coexists with the operating areas and submarine transit lanes for Naval Station Mayport, FL, and Submarine Base Kings Bay, GA. Operations, including transits, conducted during the winter months (December through March) by naval forces operating in these areas have various restrictions placed on them. For example, gunfire exercises must occur outside and directed away from the known whale habitats. Ships must operate at speeds in which they can detect and avoid the whale or the whale can avoid the ships. Ships and aircraft must report whale sightings. Details on such concerns can be obtained from the Regional Commander. During peacetime multinational maritime operations (including exercises), the environmental protection ORIGINAL 2-6 capabilities of the participating units will most likely differ as widely as their operational capabilities. The environmental protection capabilities, both in equipment and procedures, used by U.S. naval forces may exceed those of other member nations, and conversely, the limitations experienced by the other member nations may be greater than those of U.S. forces. These factors should be considered during development of the environmental annex (Annex L) to the plan or OPORD. 2.3.5 Contingencies. The Navy and Coast Guard have a 1995 memorandum of agreement (MOA), signed by the Secretary of Defense, the Secretary of Transportation, the Chief of Naval Operations and the Commandant of the Coast Guard, on Environmental Defense Operations and Pollution Response Activities. Both the Navy and the Coast Guard have shared interests and complementary capabilities for protecting the marine environment through efforts to prevent and mitigate incidents of marine pollution. The MOA provides for the Services to coordinate their response to pollution incidents in peacetime, overseas, or in domestic waters to maximize resources and capabilities. The application of this MOA to military operations other than war (MOOTW) is discussed in Section 3.3.4. Environmental contingencies may occur during exercises. For example, installed equipment may fail, causing units with modern capabilities to process or store wastewater to be forced to discharge it to protect personnel safety and health. Commanders must know whether to order a Manual of the Staff Judge Advocate General Section 0255 investigation and understand the Joint Operational Reporting (JOPREP) requirements. In addition, they must decide which contingencies may require termination of an exercise, and which may permit the exercise to continue. 2.3.5.1 Oil Spills. Of all possible environmental contingencies, the most likely and most destructive is the accidental release of large quantities of oil into the sea or on land. Spilled oil is persistent, destructive to marine life, and can close beaches. Oil spills can occur from a variety of means. A naval force must promptly minimize the spread of the oil, keep it from coming ashore, recover it when practicable, and clean the shoreline if the oil does ultimately come ashore. Commanders facilitate these objectives by promptly communicating to responsible seniors and the Regional Commander the facts of a spill, so that oil spill response organizations can be brought in to minimize damage and clean up the spill. Small spills also have a potential to damage the environment. The spilling activity can usually clean these up with minimum effort. Although small spills may have

NWP 4-11 limited environmental effect, they may be extremely visible. Even small oil spills require prompt action by the spiller. Commanders should be aware of small oil spills and should determine their root causes, to prevent future occurrences. Occasionally, larger spills may occur that have the ability for significant, major, or even catastrophic environmental impact. These major spills may be beyond the capability of naval forces to control and are usually beyond their capability to clean up. To minimize the environmental impact of such a spill, commanders and commanding officers should immediately report the spill, speeding the arrival of competent help, whether the spill comes from the naval force or some other vessel or activity. Following reporting, they should try to control the spread of the spill. The naval force commander must promptly involve his public affairs officer and judge advocate general to address the public affairs implications of a large oil spill. The commander can mitigate the adverse impact of this notification by promptly ensuring that commanders ashore (who will have to deal with the press) are aware of efforts to minimize the spill effects and clean it up. Factual information quickly released puts the best face on bad news. Naval commanders at all levels and their staffs must plan for oil spills and must inform the force component members of the expected actions should an oil spill occur. This should be done through the environmental annex (Annex L) of the plan or OPORD supporting the operation. Contingency plans should discuss spill prevention and reporting, expected initial control and cleanup actions, and the availability and location of cleanup support forces. These plans may also discuss command and control responsibilities, equipment (including personal protective equipment) for control and cleanup, safety and health of personnel, and training. 2.3.5.2 Hazardous Substance Spills. Spills or releases of hazardous substances can result from a variety of actions. Most hazardous materials package sizes used by naval operating forces limit the amount of material available for release. Accordingly, the amount of hazardous material spilled or released to the environment will likely be small (55 gallons or less). Most hazardous materials used by naval operating forces are not so toxic that they will immediately endanger personnel other than operating forces. In the event of a spill, naval forces should first attempt to stop the spill. Next, they should minimize personnel exposure to the spilled material and take appropriate action to control its spread. They should report the 2-7 spill (as appropriate), and finally, take appropriate action to clean it up. Naval commanders at all levels must plan for hazardous material spills and must inform the force component members of expected actions should a spill occur. The vehicle for this is usually the environmental annex (Annex L) of the plan or OPORD. Spill contingency plans should address spill prevention and reporting, initial control actions, cleanup actions, and spill command and control responsibilities. The plans should also address availability and location of equipment (including personal protective equipment) for control and cleanup, safety and health of personnel, and training. If the naval force is relying on the response capability of another government, agency, or Service, the planning document should list points of contact and relevant memoranda of understanding that pertain to the contingency. 2.3.5.3 Contingency Planning for Peacetime Multinational Maritime Operations. Contingency planning for oil or hazardous substance spills for multinational maritime operations is extremely important. Participating members must be aware of reporting requirements and actions expected of them in the event that they or any other member experience an oil and hazardous substance spill. Planners should also be aware of the spill cleanup and control capabilities of assigned units so assistance can be requested or directed in the event of such an occurrence. These preparations will allow the naval operating force to combat a spill in the most effective manner. During multinational maritime operations, planners may find some member nations define oil spills differently, or react to and clean up an oil spill differently than U.S. forces. The capability of some member nation units to respond may also differ from those of comparable U.S. units in the operation. National reporting requirements may exist for member nations that differ from those of the U.S. These reporting requirements may necessitate direct and immediate reporting to their national leadership for this type of incident, delaying notification of the naval force commander. Consensus will have to be obtained with member nations on the procedures of oil spill prevention, spill reporting, spill control actions, expected spill cleanup actions, and oil spill command and control. However, it must be an established principle of operations that each nation is responsible for paying the costs (or providing resources) to control and clean up spills by their vessels. Where possible, the adopted contingency procedures should be exercised to determine the ability of the multinational maritime force to properly and effectively control a potential spill. ORIGINAL

NWP 4-11 Similarly, differences may exist between U.S. forces and the member nations regarding the definition of a hazardous substance spill and the procedures for the handling and disposal of hazardous material. The U.S. strictly limits the disposal of hazardous material at sea; however, no universal international standard exists prohibiting at-sea disposal of hazardous material other than the London Dumping Convention, an international treaty. U.S. Navy ships report all hazardous material spills that go overboard. Spills on land within the U.S. require reporting dependent upon the amount and the type of hazardous material spilled. Commanders and planners need to establish consistent spill reporting criteria, spill control procedures, spill cleanup procedures, and command and control responsibilities in the environmental annex (Annex L) in the event a hazardous substance spill occurs during the operation. 2.3.5.4 Looking Ahead. Commanders and planners must anticipate operational difficulties and ship limitations that may affect environmental compliance. By anticipating contingencies, arrangements with the Navy Regional Commanders and regulators may be agreed upon beforehand and not on an ad hoc crisis basis after delays have occurred. 2.3.6 Training. The best means of ensuring environmental compliance and enhancing environmental protection during exercises is by training involved personnel on the environmental requirements for the operation and actions expected of all participants. In particular, unique requirements imposed by the operation should be discussed in the exercise plan or OPORD environmental annex (Annex L). Training on these requirements should be accomplished prior to the start of the exercise. Naval force commanders must be aware of special environmental requirements imposed on an exercise as a result of a ROD from an EIS or consultations regarding marine mammals or endangered species. Planners must incorporate these requirements into the OPLAN or OPORD environmental annex (Annex L), and participating unit commanders and commanding officers should be specifically trained on the emergent requirements during preparations for the exercise. Since most of the training may be unique to the exercise, most of it must be conducted by the participating commands and personnel planning the operation (the persons who would most likely know the environmental pitfalls and how to avoid them). Assistance from knowledgeable staff judge advocates should be sought for command level training. General environmental training of ships crews and support personnel may be obtained through courses offered at Navy or Marine Corps schools.

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CHAPTER 3

Environmental Protection During Military Operations Other Than War

3.1 INTRODUCTION Military operations other than war (MOOTW) is a term used to cover a spectrum of tasks for military forces. These tasks range from simple show the flag operations, with little or no prospect of violence, to violent but short-lived combat deliberately undertaken in pursuit of a national or multinational goal. These operations are usually emergencies, begun and prosecuted with little time to plan as thoroughly as for exercises or peacetime operations. In this pragmatic situation, commanders must make choices and tradeoffs, because goals conflict, or the means of achieving a goal is at odds with one or more requirements. Ideally, naval forces should carry out operational missions with care to protect the environment. In the real world of MOOTW, sometimes this cannot be accomplished at the level all would like. Chapter 3 discusses how a commander plans for national and multinational maritime operations other than war while maximizing protection of the environment. 3.2 ENVIRONMENTAL REQUIREMENTS During MOOTW, all legal requirements imposed by various jurisdictions during peacetime still apply. There is no general suspension of any environmental law or regulation for reasons of expediency or necessity. Certain laws do allow exceptions for national security or emergencies. These exceptions are very rare, fact-specific, and limited in their application. The planner of MOOTW must be aware of the laws, understand the reasons for their existence, and plan to protect the environment as practicable while achieving MOOTW objectives. The planner, in consultation with his judge advocate, should identify, as quickly as possible, those requirements that will prevent mission accomplishment. The commander should forward requests for relief up the chain of command. Ultimately, the decision 3-1 to pursue statutory exceptions will be made at the Joint Chiefs of Staff (JCS) or DoD/SECNAV (or other Service Secretary if a joint operation) level. 3.3 ENVIRONMENTAL PLANNING Military operations other than war are inherently short-fused operations that do not permit detailed planning because of lack of time. Commanders must plan these kinds of operations rapidly and often under conditions of increased security, both of which hinder interagency communications. Given the time-consuming nature and deliberate planning focus of the National Environmental Policy Act (NEPA) and Executive Order (E.O.) 12114, the normal procedures for environmental documentation usually will not be followed in MOOTW. However, NEPA does have abbreviated procedures for emergencies such as support of MOOTW operations. Executive Order 12114 is even more flexible and has exemptions and exclusions for emergencies, armed conflict, and humanitarian relief. Further details on how to meet these relaxed requirements are contained in Navy and Marine Corps policy (OPNAVINST 5090.1 series and Marine Corps Order 5090.2). Even though an exemption may exist, commanders still have an obligation to conduct sound analytic planning that considers environmental impacts. The level of detail, of course, will depend on available planning time, security, and site access. To the extent that MOOTW are planned and carried out rapidly, some environmental concerns may be at risk. Inevitably, some environmental effects may occur during MOOTW that might have been foreseen and avoided, had there been time to fully consider environmental impacts and mitigating actions. When lives or major national interests are at risk, it becomes necessary to prioritize. Often environmental concerns must be subordinated to other more important national interests, certainly to the preservation of human life. ORIGINAL

NWP 4-11 This does not mean that environmental protection has no place in MOOTW. To the extent that time and circumstances allow, all existing environmental requirements observed in peacetime should be observed during MOOTW. Planning to minimize environmental effects requires judgment by naval commanders and their supporting staffs. They must consider tradeoffs between environmental protection and operational risks. If they can meet applicable standards without jeopardizing the mission, of course, they should. If they cannot meet all standards, then they must seek actions that minimize the environmental effect with minimal operational impact. The level of environmental consideration for commanders and planners will vary with the location of the unit or command relative to the area of operations (AO). Forces operating outside of the AO (for example, a naval force transiting to the operation) for which the risks are much lower should be more attentive to environmental protection and standards than forces within the AO. The level of environmental consideration for operating forces may also vary with the phase of an operation. For example, during the rehearsal and transit phases of an amphibious operation to support a foreign national emergency, the level of environmental consideration should be much higher than when the amphibious landing is actually accomplished, particularly if hostile reaction to the operation is anticipated or occurs. During the withdrawal phase of a successful operation, the level of environmental concern should increase to a level appropriate to the tactical situation. The peaceful transit back to homeport or other deployed site should have an even higher level of environmental concern, consistent with peacetime operations. Operational commanders and their planning staffs have to consider all these factors in preparation for such operations. Other factors affect the level of environmental protection by the naval force. Equipment or systems to achieve compliance afloat or ashore may be inoperable or operating at reduced capability. The weather or terrain may not permit planned actions to achieve environmental compliance. Conditions may exist in which environmental compliance jeopardizes the health or safety of ships crews, embarked personnel, or forces ashore. Given these factors, safety of ship, health and safety of ships crews and embarked forces, and health and safety of forces ashore take precedence over environmental protection. 3.3.1 Force Majeure and the Doctrine of Necessity. Force Majeure is related to the doctrine of necessity that allows, for a given situation, holding in ORIGINAL 3-2 abeyance a law that ordinarily applies, but which if strictly observed under the unusual circumstances of the situation, will lead to greater harm than that resulting from disobeying the law. The doctrine does not hold if an individual, because of his own negligence, brought about the situation forcing him to choose to obey or disobey. One aspect of Force Majeure refers to the inability of a vessel to obey a law because of a breakdown or malfunction of equipment. Inoperable machinery provides a legal defense for not obeying a law that otherwise is binding. The machinery must not be inoperable because of negligence on the part of the vessel using the defense. This doctrine can pertain to the effect of breakdowns of waste treatment machinery and the consequent inability to obey an environmental law. Some of the laws governing environmental protection have clauses allowing noncompliance under certain stated circumstances. However, the doctrine of necessity is applicable to all laws. No law protecting the environment requires a commanding officer or master to hazard the ship and risk the lives of the crew. In other words, if compliance with an environmental law risks loss of ship or crew, that is grounds for noncompliance/nonadherence. The possibility of this situation occurring is recognized in Navy policy. Many Navy discharge policies permit noncompliant discharges in the event that failure to discharge the waste would result in damage to the ship or adversely affect the safety and health of the crew. Force Majeure permits waste discharges under those conditions not specifically addressed in Navy policy. Such discharges should consist of the minimum necessary to protect a ship and/or crew and should be addressed in the ships logs. These discharges should be reported to operational seniors, and appropriate action should be taken to repair equipment or move the ship to an area in which such discharges are compliant. 3.3.2 Environmental Compliance. However short planning time may be, considering environmental factors as early as possible will have several important results. Naval operations that have an environmental effect can be identified and measures taken to eliminate or minimize the effect without jeopardizing the mission. The commander can develop and publish environmental rules of engagement (ROE) in the environmental annex (Annex L) to the OPLAN or OPORD that will minimize the impact of environmental effects on the operation. By early consideration of the environment, commanders will become aware of the environmental effects of mission accomplishment while

NWP 4-11 alternatives still exist. They will know what the environmental law and regulations demand of them, and will be able to plan efficiently and act accordingly. 3.3.3 Preparations. Habitual compliance with Service environmental regulations prior to MOOTW is the best means of achieving environmental compliance and protection during the operation. Before any operation, as a part of Navy and Marine Corps military training, personnel required to handle wastes, process waste streams, or handle oil or hazardous materials, and their supervisors, must be trained in these tasks as part of their indoctrination, advancement, and qualification. Additionally, to the greatest possible extent, commanders must compel their units to repair, make fully operable, and use all environmental protection systems and equipment, prior to any operation. Ships and other units should report all significant casualties to environmental protection systems (for example, plastics waste processors, OWS, etc.) by CASREP and other means to allow appropriate planning action and prevent undesired events. Ships should off-load excess and used hazardous material before beginning any MOOTW. Naval forces should carry only the minimum amounts of hazardous material necessary to accomplish the expected mission. Where possible, forces should off-load used or excess hazardous materials before entry into the AO or beginning operations at sea for extended periods. Where the potential for hostile action during the MOOTW is significant, commanders should consider directing participating ships to carry out the Strip Ship Bill (See OPNAVINST 3120.32 series) prior to leaving port. Where that is not possible, ships should accomplish strip ship actions prior to entering the AO, observing environmental requirements for the disposal of materials. Upon completion of any naval operations ashore, forces should arrange for the removal or proper disposal ashore of any hazardous materials introduced during the operation. If anticipating operations ashore for extended periods, forces should arrange for processing of such material either by the host or by Service forces. Before any MOOTW, naval commanders and planning staffs should ensure that contingency plans for oil and hazardous substance spills are current. They should discuss contingencies that might occur during the operation. They must review spill prevention practices to ensure they are current and effective. The naval forces should possess spill control and cleanup material to accomplish the initial response to the most serious spill they can cause during the operation. Commanders and planners should advise assigned units of the notification procedures for a spill and should know from where 3-3 support equipment will come to aid in the prevention of spreading and cleaning up the spilled/released material. Commanders should strive to comply with any unique environmental protection requirements associated with the AO. These include: measures to protect environmentally sensitive areas, such as coral reefs, for which increased discharge restrictions may be imposed; marine sanctuaries in which operations may be limited; areas that a protected marine mammal uses as a breeding ground in which naval operations may adversely affect mating or calving; areas in which a protected or endangered species resides, is known to have habitats, or uses for laying eggs; and areas containing aboriginal artifacts, cultural resources, or famous architecture. For each of these sensitive areas, depending upon the mission or objectives of the naval operation, special operating requirements or environmental ROE may be necessary to ensure environmental protection. 3.3.4 Contingencies. The Navy and Coast Guard have a 1995 memorandum of agreement (MOA), signed by the Secretary of Defense, the Secretary of Transportation, the Chief of Naval Operations and the Commandant of the Coast Guard, on Environmental Defense Operations and Pollution Response Activities. Both Services have shared interests and complementary capabilities for protecting the marine environment through efforts to prevent and mitigate incidents of marine pollution. The term environmental defense relates to any actions against adversaries attempts at environmental exploitation during hostilities that could potentially disrupt defense operations and impact natural resources and national economies. Under the MOA, the Coast Guard participates in the joint operational planning process, including anticipation of environmental exploitation during hostilities and the development of related intelligence to facilitate response and minimize operational interference and environmental damage. The guidance provided in Chapter 2 for peacetime and exercises applies to MOOTW and multinational maritime operations, with the following added guidance: 3.3.4.1 Oil and Hazardous Substance Spills. No force should expose itself to hostile fire in order to clean up an oil or hazardous substance spill, or linger in a threatening area with the potential for combat while cleaning up a spill. 3.3.4.2 Other Environmental Contingencies. Other environmental contingencies may occur during MOOTW. These contingencies may result from the breakdown or malfunction of machinery and equipment ORIGINAL

NWP 4-11 (Force Majeure) or the inadvertent or willful disregard or violation of environmental requirements by operating force personnel or units. Other members, the general public, or the media may witness these events, so failure to take prompt and appropriate action may exacerbate the consequences of the incident. Environmental annexes should require naval operating forces, knowing of the violation of established environmental requirements for the MOOTW, to report them to the operational commander for appropriate action as required by U.S. Navy Regulations. The environmental protection annex (refer to appendix A) should address the format and type of report. 3.3.4.3 Public Affairs Plans. Environmental incidents frequently draw media coverage, for which intensity of interest is not always proportionate to the seriousness of the incident. Each contingency plan prepared for an operation should address methods for handling the public affairs aspect of the contingency. In accordance with United States Navy Regulations, article 0832, the commanding officer must report the circumstances of environmental noncompliance with standards to his immediate superior in the chain of command. This will allow that officer to address questions from the media. 3.3.5 Training. The best means of ensuring environmental compliance during MOOTW is to train involved personnel on the environmental requirements for the operation. Time constraints may limit training, but even briefings passed by message will help. In particular, commanders should address unique requirements imposed by the OPLAN or OPORD environmental annex (Annex L). Forces should accomplish some training before the start of the operation and the balance during transit. Commanders at all levels of command should be aware of mission objectives and environmental requirements (or ROE) mitigating actions when some damaging environmental effects are anticipated, as well as potential operational tradeoffs that they may deal with while accomplishing the mission. 3.4 MULTINATIONAL MARITIME OPERATIONS DURING MOOTW 3.4.1 Introduction. U.S. naval forces may be operating as part of a multinational maritime force in pursuit of a common objective. Many MOOTW have been undertaken as multinational maritime operations. For these situations, in absence of multinational doctrine, the force commander will apply his national rules. The doctrine contained herein can provide a basis for environmental protection during multinational maritime operations. ORIGINAL 3-4 Naval force commanders and their planning staffs must be aware of the cultural differences among naval forces of the member nations. These cultural differences may include language, values, religious systems, and economic and social outlooks. Even minor differences, such as the priority given to environmental protection, can have a significant impact on the success of this aspect of an operation. Although national language differences are a concern when coordinating multinational maritime operations, inconsistencies in terminology may be of even greater consequence. Even if the multinational maritime forces adopt common practices, nuances in interpretation may cause confusion in accomplishment of environmental protection. The commander must work to resolve the misunderstanding. No two nations will share exactly the same reasons for entering a coalition or alliance. Similarly, no two nations will share exactly the same concerns or requirements for environmental protection. Besides agreeing on common goals and objectives for an operation, commanders of participating naval forces must reach some understanding on environmental protection measures during the operation. A common ground would normally be the international regulations for the prevention of pollution at sea established by the International Maritime Organization under MARPOL. MARPOL, however, does not address environmental protection ashore. If a multinational maritime operation host nation exists, that nation will normally require participating forces to observe, as a minimum, their environmental practices for operations inside that nations territorial sea. These environmental practices may be more stringent than those of the other participating nations. The host nation may specify requirements more stringent for operations than those they normally practice. The host nation may be reluctant to bear the costs or attention involved in cleaning up following the operation on its soil or in its waters. Naval commanders and planning staffs must consider these factors when planning for the conclusion of operations. When naval commanders are asked to execute a document, or make commitments regarding environmental compliance or cleanup issues, they should consult with their staff judge advocate in order to avoid waiving U.S. sovereign immunity. 3.4.2 Requirements and Performance. For operations that take place on land or in the littoral regions, the main question the commander must answer is, which environmental protection requirements apply? Requirements may not exist or may be ineffective in protecting the environment and, therefore, may not be acceptable as a standard the naval force member nations would accept. Forces of one nation may take certain

NWP 4-11 environmental protection measures while forces of another working alongside may not. In preparing for multinational maritime operations, one method by which national naval forces can understand the environmental protection requirements of others is to train with them. Annually, NATO and Partnership for Peace nations conduct a multinational maritime exercise in the Baltic Sea. Because the Baltic is nearly a closed sea, with little water interchange with other seas, great effort exists among the Baltic nations to reduce pollution from ships. The Baltic Operations exercise (BALTOPS) has allowed ships to apply environmental protection practices as well as to learn how to operate with each other tactically. Multinational maritime operations may demand that planners take special environmental considerations into account during planning and execution. The commander must satisfy three criteria: clarity of definition, attainability, and support. He must choose only requirements that are attainable and clearly define them. Selected requirements must have the support of each nation involved. Commanders must clearly identify guidance that may be different from the normal practices of any of the member nations and obtain agreement from participating nations. Failure to accomplish this may result in failure to develop and implement a successful environmental annex (Annex L) for the operation. 3.4.3 Training for Multinational MOOTW. In multinational maritime operations, doctrine, training, and experience may vary substantially among the naval forces of member nations. The practices of U.S. forces may be more stringent than those observed by other nations, or other nations may observe stricter requirements than those observed by U.S. forces. Training is extremely important for achieving environmental compliance during multinational maritime operations. Once the environmental annex (Annex L) has been issued, forces from participating nations must conduct training on the environmental requirements established for the operation. If possible, evolutions that may have a severe impact on the environment if conducted improperly should be practiced prior to the operation. For example, the multinational maritime force should practice fueling at sea where possible to ensure that ships are prepared to perform this evolution under operational conditions. Contingency plans should be exercised to ensure proper understanding of requirements for environmental incidents with a high potential of occurrence. Actions to assist nations lacking the inherent ability to meet compliance criteria established in the environmental annex should be practiced. This will ensure involved nations understand their responsibilities and are able to carry them out.

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CHAPTER 4

Environmental Protection During War

4.1 INTRODUCTION Warfare, by its nature, is destructive to humans and their physical habitat. Environmental damage is a natural consequence of combat operations and any attempts to limit such damage could unwisely degrade the force available to the naval commander. Naval doctrine codifies what the Navy believes and practices as the most effective way to operate, providing the commander with the preferred ways of waging war, while identifying alternative courses of action. It contains preferred options for selection by the commander while he/she carries out assigned missions. Victory in war is the primary function of the nations armed forces, and nothing should stand in the way of accomplishing that objective. Although concern about environmental damage during war may, at first, seem illogical or irrational to the naval commander whose job demands victory, it should be a considered factor in planning. Certain factors restrict the commanders application of force. He or she must conform to the laws of armed conflict, those written and unwritten conventions and customs that protect people from unnecessary suffering and facilitate the restoration of peace. For example, the Law of Targeting (as discussed in NWP 1-14M, The Commanders Handbook on the Law of Naval Operations) constrains operational commanders. According to Navy doctrine, planning is central to success during wartime operations. Forces must understand plans of action and their alternatives, and should rehearse them if they are to be valuable at the onset of crisis. Naval planning provides the common, logical framework within which naval commanders can analyze their mission, evaluate the situation, decide the best course of action, do it, and monitor the results. Environmental protection within the constraints of battlespace dominance and victory in operations is an alternative that commanders need to consider during the planning process. 4.2 ENVIRONMENTAL REQUIREMENTS Commanders should consider the environmental damage resulting from an attack on a legitimate military objective as one factor during targeting analysis. Causing environmental damage during an attack on a legitimate target is not unlawful. However, the commander has an affirmative obligation to avoid unnecessary damage to the environment to the extent practical, consistent with mission accomplishment. 4.2.1 Environmental Effects. During war, the environmental effects of military actions should be considered in two areas: within and outside the theater(s) of war. The National Command Authority or the geographical combatant commander defines the theater(s) of war. The area encompassed within the theater(s) will depend upon the enemys ability to mount an attack on friendly naval or other military forces. 4.2.1.1 Within the Theater(s) of War. Military actions that affect the environment within the theater(s) of war comprise two broad categories: collateral damage and wanton, unnecessary damage. 1. Collateral damage results from military actions to achieve strategic, operational, or tactical objectives during armed conflict. The ultimate objective of each naval commander is to achieve victory over the enemy, at minimal cost, through the application of overwhelming combat power. Naval operations require maneuvering of surface, subsurface, air, and amphibious forces. To achieve victory, forces must exert overwhelming firepower on the enemy. Each of these efforts will exact a toll on the environment, and the effects of protracted warfare on the environment are inherently destructive.

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NWP 4-11 a. At-sea operations or amphibious warfare can inflict extensive damage on sensitive ecosystems. Battling enemy surface ships or submarines may adversely affect marine mammal or other endangered species populations. Amphibious operations during war may be deleterious to critical wildlife habitats in littoral areas, on reefs, and ashore. Bombardment of enemy targets such as fuel depots, munitions stockpiles, or storage areas may result in the release of oil and other hazardous substances or pollutants to the environment, contaminating air, water, and the land. Unintentional collateral damage to other facilities such as sewage or wastewater treatment plants may result in additional pollution. b. The principles of war, listed in Naval Doctrine Publication 1, Naval Warfare, are the basis for Navy Doctrine. Their application requires naval force commanders to achieve quick and decisive victory. Environmental considerations must not obstruct the application of these principles of war, increase the cost of victory to friendly forces, extend or prolong conflict, or result in an increased probability of an unfavorable outcome. Moreover, limiting attacks to avoid ecologically sensitive habitats or imposing prohibitions on targets for environmental reasons could provide an enemy the ability to anticipate attack, protect his forces, and prolong the war. c. During combat operations, mission accomplishment is key. Quick, decisive victory may be the best means to minimize deleterious environmental effects. Some unavoidable environmental effects will occur, but these effects should be coincident to achieving victory in battle and proportional to the advantage gained. Commanders must not exercise combat power with predictable patterns of behavior because of environmental protection considerations. 2. Wanton, unnecessary damage to the environment results from actions that inflict damage unjustified by military necessity. These actions violate the laws of armed conflict that require belligerents to use methods and means of warfare with due regard to the protection and preservation of the natural environment. Article 51 of the Geneva Convention forbids any destruction of real property (i.e., natural resources) unless necessary for the conduct of military operations. Naval commanders must not ORIGINAL 4-2 employ force that is excessive, unnecessary, and only peripherally related to achieving strategic and tactical military objectives. Therefore, commanders should duly consider the environmental damage that may result from an attack on a legitimate military objective as one of many factors during targeting analysis. 4.2.1.2 Outside the Theater(s) of War. The environmental effects of naval operations outside the theater(s) of war will be similar to those experienced during peacetime or MOOTW. The increased operational tempo will heighten the potential for adverse environmental effects. Outside the theater(s) of war, naval commanders should endeavor to comply with national and international environmental laws and regulations designed to minimize the effects of operations on the environment. During wartime, environmental protection requirements imposed upon naval forces change since both domestic and international laws designed to protect the environment are peacetime rules and were never meant to replace the Law of War. (For example, an environmental assessment or environmental impact statement may not be required for rehearsing out-of-theater for an amphibious operation that will eventually take place within the theater of war.) Higher national authority will issue to commanders any changes in peacetime environmental requirements outside the theater of war. 4.2.2 Special Considerations. Nothing within this doctrine prevents a commander from taking necessary action to protect assigned units and personnel at the expense of environmental compliance while countering enemy action either inside or outside the theater of war. 4.3 ENVIRONMENTAL PLANNING The following environmental doctrine should be considered during wartime planning: 4.3.1 Within the Theater(s) of War 1. Commanders will take action to avoid unnecessary damage to the environment to the extent practical, consistent with mission accomplishment. 2. Where military requirements permit, commanders will employ methods or means of warfare with due regard to the protection and preservation of the natural environment. 3. Commanders will prohibit wanton destruction of the natural environment not required by mission accomplishment.

NWP 4-11 4. Commanders will consider the environmental damage that will result from an attack on a legitimate military objective as a factor during targeting analysis. 5. Commanders should limit the amounts of hazardous material carried by ships and other naval forces into the theater(s) of war to that needed to sustain operations. Commanders should enforce strip ship action by all units. For the purposes of the Strip Ship Bill, used or excess hazardous material is non-vital hazardous (or extremely hazardous) material. Since most hazardous material used by naval forces is flammable, units should dispose of (by environmentally correct means, where possible) any hazardous material with no further use. This will improve naval ship and force survivability if there is combat damage. 6. Ships should take the following action in the theater(s) of war: a. Using installed equipment, units should process shipboard solid waste primarily for operational security (OPSEC) purposes. Plastic waste has a significant amount of latent energy associated with it and may increase the damage resulting from fire. It may also emit toxic fumes should it burn resulting in increased danger to ship and crew. Ships should not retain these wastes aboard. Ships must make plastic wastes sinkable prior to disposal overboard for OPSEC purposes. Ships should dispose of solid wastes resulting from battle damage overboard. b. Ships should minimize the amounts of liquid waste retained on board while in the theater(s) of war for the safety and health of the crew and for the safety and survivability of the ship. Ships will not normally follow discharge area restrictions within the theater(s) of war. However, if operationally possible, they should not make discharges into known environmentally sensitive areas. 7. Naval forces ashore shall take action to minimize the impact of generated wastes on the conduct of operations while protecting the health of the forces. 4.3.2 Outside the Theater(s) of War. Commanders will comply with effective environmental laws, regulations, and standards outside the theater(s) of war. If changes to environmental requirements occur as a result of the war, higher national authority will inform the Navy. Depending upon the changes, commanders must determine and communicate the requirements and determine the impact on operations. Nothing within this doctrine prevents a commander from taking necessary action to protect assigned units and personnel at the expense of environmental compliance while countering enemy action outside the theater(s) of war.

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CHAPTER 5

Planning and Writing the Environmental Considerations Annex

5.1 INTRODUCTION Having studied the situation, mission, limitations, forces, and constraints, the naval force commander and his staff must communicate the design for operational execution via the OPLAN or OPORD. Under the JOPES, Annex L is the proper annex to an OPLAN or OPORD for environmental considerations. This is where the commander writes his plans to avoid damage to the environment. Chapter 5 describes how to complete the environmental considerations annex, based on the sample annex in the JOPES and using the information presented in Chapters 1 thru 4 of NWP 4-11. Appendix A is a sample environmental considerations annex presented as a skeletal or template document, with comments. For format, planners are referred to Joint Pub 5-03.2 (Joint Operation Planning and Execution System Volume II, Planning Formats and Guidance). If a commander has unique environmental problems in the assigned AO, he may include additional appendices to the annex to address these problems. For example, Commander, Second Fleet has an added appendix on operating in areas in which the Northern Right Whale is present. 5.2 THE ENVIRONMENTAL CONSIDERATIONS ANNEX The Environmental Considerations Annex of an OPLAN or OPORD should contain the following sections, as appropriate. 5.2.1 References. Identify pertinent documents that will affect conduct of the operation from an environmental standpoint. As a minimum, reference NWP 4-11, Environmental Protection, OPNAVINST 5090.1 series and/or Marine Corps Order 5090.2. It should also reference appropriate base Commanding General directives, REC instructions, SOPA instructions, SOFAs, or EISs with accompanying ROD. 5.2.2 Situation. For peacetime operations, describe any areas in which more stringent environmental protection criteria will be imposed upon operating forces and the reason for these criteria. For MOOTW, define the AO in this section. For wartime, this section should address any environmental considerations. 1. General. Define any unique environmentally-related terms used within this annex. 2. Purpose. Provide a statement of the purpose of the annex and the relationship between environmental considerations and the supported OPLAN or OPORD. 3. Assumptions. State the assumptions from the supported OPLAN or OPORD affecting environmental planning and compliance. a. For peacetime operations, state that assigned forces will operate per the environmental requirements of (the identified references). Any condition that would preclude compliance with the environmental requirements of these references will be immediately reported to the force commander for resolution prior to taking action resulting in noncompliance. Any noncompliant action taken for emergency reasons (i.e., damage to equipment adversely affecting the safety and health of personnel) shall be reported to the force commander immediately upon identification. b. For MOOTW, state that assigned forces will carry out the assigned mission while operating per the environmental requirements of (the assigned references).

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NWP 4-11 4. Limiting Factors. Outline limitations that are because of lack of foreign access, time, OPSEC, host-nation rules or sensitivities, public affairs (foreign or domestic), legal considerations, and resources. a. In peacetime, outline any operational limitation imposed on the naval force in order to achieve environmental compliance during the operation. In developing this section, the planner should consider the potential effects of accomplishing the operation and the environment potentially affected within the operation area as discussed in Section 2.3.1 of NWP 4-11. It should also identify environmental limitations because of local regulations, the ROD from an EIS, lack of foreign access, host-nation rules or sensitivities (SOFAs), public affairs (either foreign or domestic), legal considerations, and considerations when performing multinational maritime operations. b. For MOOTW, outline any operational limitations that may be imposed on the naval force in order to carry out the mission while complying with applicable environmental requirements and minimizing the environmental effects. When developing this section, the planner should consider the potential effects assigned forces may have on the environment within the operational area and the unique environment existing within the operational area that may be affected as discussed in Section 2.3.1 of NWP 4-11. It should also outline operational limitations that are because of a lack of foreign access, time, OPSEC, host-nation rules or sensitivities (SOFAs), public affairs (foreign or domestic), legal considerations, and resources. c. To adequately address limitations, subdivide this section into appropriate subsections as follows: (1) Maritime Operations. Outline operational limitations resulting from environmental protection placed on forces afloat during the operation. (2) Amphibious Operations. Since the operations may use assorted amphibious delivery techniques, outline any operational limitations resulting from environmental protection placed on the operational forces during this effort. ORIGINAL 5-2 (3) Shore Operations. Outline the operational limitations resulting from environmental protection placed on naval forces operating ashore. This would include Marines, special operations, and naval construction forces. (4) Air Operations. Outline the operational limitations resulting from environmental protection placed on air operations. 5.2.3 Mission. In peacetime, this section will provide a clear and concise statement of operational efforts in the OPORD necessary to support environmental compliance. During war and MOOTW, this section provides a clear and concise statement of environmental activities necessary to support the OPLAN or OPORD. 5.2.4 Execution 1. Concept of Operations. Summarize the commanders concept of environmental issues and actions required to support the OPLAN or OPORD. Identify issues and actions that should be addressed during all five phases of the operation: prehostilities, lodgment, decisive combat and stabilization, follow-through, and posthostilities. In peacetime, summarize the commanders concept of environmental issues and of actions required to achieve environmental compliance during the operation. If a multiphase operation, it should address issues and actions during all phases. During MOOTW, summarize the commanders concept of environmental compliance issues and actions required to support the OPLAN or OPORD. If combat is expected during the operation, this section should identify environmental issues and actions that require addressing during prehostilities, lodgment, decisive combat and stabilization, followthrough, and post-hostilities. If the operation is not combat-related, the issues and actions should continue to address all operational phases. a. Compliance Requirements. State regulatory, legal, and host-nation compliance requirements based on whether an operation is a combatant operation (in which many requirements may not be applicable) or a noncombatant operation other than war. (1) During peacetime, identify unique requirements in this section, such as State, local, or host nation SOFA requirements,

NWP 4-11 or those imposed by NEPA or E.O. 12114 documentation or other legal mandate. (2) During MOOTW, indicate environmental compliance considerations forces should take into account while carrying out the assigned mission. b. Phased Compliance. Describe in general terms the different environmental concerns in the supported OPLAN or OPORD during different phases of the operations. c. Mission Support. Identify those environmental planning factors that will support successful execution of the OPLAN or OPORD in all phases of the operation and that will protect the health and safety of U.S. forces, multinational forces, and non-combatants (during war and MOOTW). As a minimum, address certification of local water sources by medical field units ashore, solid and liquid waste management, hazardous material management, protection of endangered species and their habitats, protection of marine mammals, and archeological and cultural resource preservation. Divide this section into the following subsections: (1) Maritime Operations. Outline mission support forces afloat environmental planning factors during an operation. (2) Amphibious Operations. Since operations may use assorted amphibious delivery techniques, this subsection outlines mission support environmental planning factors for operational forces during this effort. (3) Shore Operations. This subsection outlines the environmental planning factors to support naval forces operating ashore. This includes Marines, special operations, and naval construction forces. (4) Air Operations. This subsection outlines the mission support environmental planning factors necessary to conduct air operations. d. Contingencies. Identify the actions and reporting requirements for environmental contingencies including oil and hazardous substance spills and environmental noncompliance by assigned forces. 2. Tasks. Identify responsibilities of sub-unified, joint, national, and component commanders for environmental support. 3. Coordinating Instructions. Outline key coordination that must be accomplished, particularly during joint or multinational maritime operations. 5.2.5 Administration and Logistics 1. Logistics. Address any necessary guidance for administering the environmental compliance and protection efforts by the naval force commander. a. Maritime Operations. Outline guidance for administering environmental compliance and protection for forces afloat. b. Amphibious Operations. Outline guidance for administering environmental compliance and protection to the many forces involved in amphibious operations. c. Shore Operations. Outline the guidance for administering environmental compliance and protection for naval forces operating ashore. These forces include Marines, special operations, and naval construction. d. Air Operations. Outline the guidance for administering environmental compliance and protection for air operations. 2. Reports. Specify the reports required for inability to achieve environmental compliance because of malfunction of equipment or other reasons and for environmental contingencies. Particular emphasis shall be placed on reports to seniors in the chain of command. For multinational maritime operations, reporting guidance should address both national and naval force reporting.

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APPENDIX A

Sample Environmental Considerations Annex

ANNEX L TO OPERATION OR EXERCISE NAME, OPORDER 97-1 (U) ENVIRONMENTAL CONSIDERATIONS (U) (U) REFERENCES: a. NWP 4-11 b. OPNAVINST 5090.1(series) Environmental and Natural Resources Program Manual (as appropriate) c. MCO P5090.2 Environmental Compliance and Procedures Manual c. (as appropriate) d. (Other pertinent instructions and guidance (see Section 5.2.1).) 1. (U) Situation. a. ( ) General. Define any unique environmentally-related terms that would be used in this annex. This will make the annex clear to forces using it. b. ( ) Purpose. Provide a statement of the purpose of this annex, the relationship between environmental considerations, and the supported OPLAN or OPORD. c. ( ) Assumptions. State the assumptions from the supported OPLAN or OPORD affecting environmental planning and compliance. For peacetime operations, state that assigned forces will operate per the environmental requirements of (the identified references). Any condition that would preclude compliance with the environmental requirements of these references will be immediately reported to the force commander for resolution prior to taking action resulting in noncompliance. Any noncompliant action taken for emergency reasons (i.e., damage to equipment adversely affecting the safety and health of personnel) shall be reported to the force commander immediately upon identification. For MOOTW, state that assigned forces will carry out the assigned mission while operating per the environmental requirements of (the assigned references).

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NWP 4-11 d. ( ) Limiting Factors. Outline limitations that are due to lack of foreign access, time, operational security (OPSEC), host-nation rules or sensitivities, public affairs (foreign or domestic), legal considerations, and resources. In peacetime, outline any operational limitation imposed on the naval force to achieve environmental compliance during the operation. In developing this section, the planner should consider the potential effects of accomplishing the operation and the environment potentially affected within the operation area as discussed in Section 2.3.1 of NWP 4-11. It should also identify environmental limitations due to local regulations, the ROD from an EIS, lack of foreign access, host-nation rules or sensitivities (SOFAs), public affairs (either foreign or domestic), legal considerations, and considerations when performing multinational maritime operations. For MOOTW, outline any operational limitations that may be imposed on the naval force in order to carry out the mission while complying with applicable environmental requirements. When developing this section, the planner should consider the potential effects of accomplishing the operation and the environment assigned forces may have on the environment within the operational area and the unique environment existing within the operational area that may be affected as discussed in Section 2.3.1 of NWP 4-11. It should also outline operational limitations that are due to lack of foreign access, time, OPSEC, host-nation rules or sensitivities (SOFAs), public affairs (foreign or domestic), legal considerations, and resources. (1) (U) Maritime Operations (as appropriate). Outline operational limitations resulting from environmental protection placed on forces afloat during the operation. (2) (U) Amphibious Operations (as appropriate). Since operations may use assorted amphibious delivery techniques, outline any operational limitations resulting from environmental protection placed on the operational forces. (3) (U) Shore Operations (as appropriate). Outline the operational limitations resulting from environmental protection placed on naval forces operating ashore. This includes Marines, special operations, and naval construction forces. (4) (U) Air Operations (as appropriate). Outline the operational limitations resulting from environmental protection placed on air operations. 2. ( ) Mission. In peacetime, provide a clear and concise statement of operational efforts in the OPORD necessary to support environmental compliance. During war and MOOTW, provide a clear and concise statement of environmental activities necessary to support the OPLAN or OPORD.

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A-2

WP 4-11 3. ( ) Execution. a. ( ) Concept of Operations. Summarize the commanders concept of environmental issues and actions required to support the OPLAN or OPORD. Identify issues and actions that should be addressed during all five phases of the operation: prehostilities, lodgment, decisive combat and stabilization, follow-through, and post-hostilities. In peacetime, summarize the commanders concept of environmental issues and of actions required to achieve environmental compliance during the operation. If a multiphase operation, it should address issues and actions during all phases. During MOOTW, summarize the commanders concept of environmental protection issues and actions required to support the OPORD. If combat is expected during the operation, it should identify environmental issues and actions that require addressing during: pre-hostilities, lodgment, decisive combat and stabilization, follow-through, and post-hostilities. If the operation is not combat-related, the issues and actions should continue to address all operational phases. (1) ( ) Compliance Requirements. State regulatory, legal, and host-nation compliance requirements based on whether an operation is a combatant operation (in which many requirements may not be applicable) or a non-combatant operation other than war. During peacetime, identify unique requirements, such as State, local, host-nation SOFA requirements or those imposed by NEPA or E.O. 12114 documentation or other legal mandates. During MOOTW, indicate environmental compliance requirements forces should consider while carrying out the assigned mission. (2) ( ) Phased Compliance. Describe in general terms the different environmental concerns in the supported OPLAN or OPORD during different phases of the operations. (3) ( ) Mission Support. Identify those environmental planning factors that will support successful execution of the OPORD in all phases of the operation and that will protect the health and safety of U.S., multinational forces, and non-combatants (during MOOTW or wartime). As a minimum, address certification of local water sources by medical field units ashore, solid and liquid waste management, hazardous material management, protection of endangered species and their habitats, protection of ___________, and archeological and cultural resource preservation. This section should be divided into the subsections for Maritime Operations, Amphibious Operations, Shore Operations, and Air Operations, as appropriate. (4) ( ) Contingencies. Identify the actions and reporting requirements for environmental contingencies including oil and hazardous substance spills and environmental noncompliance by assigned forces.

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NWP 4-11 b. ( ) Tasks. Identify responsibilities of sub-unified, joint, national, and component commanders for environmental support. c. ( ) Coordinating Instructions. Outline key coordination that must be accomplished, particularly during joint or multinational maritime operations. 4. ( ) Administration and Logistics. a. ( ) Logistics. Address any necessary guidance for administering the environmental compliance and protection efforts by the naval force commander. This guidance should be provided in the subsections identified above (i.e., Maritime Operations, Amphibious Operations, Shore Operations, Air Operations), as appropriate. b. ( ) Reports. Specify the reports required for inability to achieve environmental compliance due to malfunction of equipment or other reasons, and for environmental contingencies. Particular emphasis shall be placed on reports to seniors in the chain of command. For multinational maritime operations, reporting guidance should address both national and naval force reporting.

/S/ Rear Admiral Commander, CTG XX.X Appendices: 1 Environmental Assessments 2 Environmental Assessment Exemptions 3 Oil and Hazardous Substance Spill Contingency Plan 4 Environmental Noncompliance Contingency Plan

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NWP 4-11

Page No. A Administration and logistics . . . . . . . . . . . . 5-3 Assessments, environmental. . . . . . . . . . . . 2-4 C Categorical exclusions . . . . . . . . . . . . . . . 2-3 Contingencies: Military operations other than war . . . . . . . 3-3 Peacetime . . . . . . . . . . . . . . . . . . . . 2-6 E

INDEX
M Military operations other than war. . . . . . Environmental protection during . . . . . Multinational maritime operations during Mission . . . . . . . . . . . . . . . . . . . Multinational maritime operations: Contingency planning for peacetime . . . During military operations other than war N . . . . . . . .

Page No.

. . . .

1-5 3-1 3-4 5-2

. . . 2-7 . . . 3-4

Enforcement . . . . . . . . . . . . . . . . . . . . 1-4 Environment . . . . . . . . . . . . . . . . . . . . 1-1 Environmental: Compliance . . . . . . . . . . . . . . . . . . . 3-2 Environmental effects . . . . . . . . . . . 2-1, 4-1 Laws and regulations . . . . . . . . . . . . . . 1-3 Protection . . . . . . . . . . . . . . . . . . . . 1-1 Requirements: Military operations other than war . . . . 3-1 Peacetime . . . . . . . . . . . . . . . . . 2-1 War . . . . . . . . . . . . . . . . . . . . 4-1 Execution . . . . . . . . . . . . . . . . . . . . . 5-2 Exercise considerations . . . . . . . . . . . . . . 2-5 F Force Majeure and the doctrine of necessity . . . 3-2 Foreign national environmental requirements . . . 1-3 H Hazardous: Materials . . . . . . . . . . . . . . . . . . . . 1-6 Substance spills . . . . . . . . . . . . . . . . . 2-7 Health aspects of environmental protection . . . . 1-6 I Impact statements, environmental . . . . . . . . . 2-5 International environmental agreements, treaties, and regulations . . . . . . . . . . . . . . . . . 1-3 L Laws and regulations, environmental . . . . . . . 1-3 Logistics, administration and . . . . . . . . . . . 5-3

National Environmental Policy Act . . . . . . . . 2-3 Nature of document and related guidance . . . . . 1-2 Navy environmental ethic . . . . . . . . . . . . . 1-1 O Oil spills . . . . . . . . . . . . . . Operational: Effects of naval environmental requirements . . . . . . . Threats to the environment . . . OPNAV/HQMC guidance . . . . Other : Health and safety considerations Naval warfare publications . . . Outside theaters of war: Environmental effects. . . . . . Environmental planning . . . . Overseas environmental planning . P Peacetime: Environmental protection during . . . Operations . . . . . . . . . . . . . . Planning and writing the environmental considerations annex . . . . . . Planning, environmental: Military operations other than war . . Peacetime . . . . . . . . . . . . . . . War . . . . . . . . . . . . . . . . . Preparations for: Military operations other than war . . Peacetime operations . . . . . . . . . Public affairs plans. . . . . . . . . . . . Publication composition . . . . . . . . Purpose of NWP 4-11 . . . . . . . . . . . . . . . 2-1 . . . . . 1-5 . . . . . 5-1 . . . . . 3-1 . . . . . 2-2 . . . . . 4-2 . . . . . . . . . . . . . . . . . . . . . . . . . 3-3 2-2 3-4 1-2 1-2 . . . . . . . . 2-6 . . . . . . . . 2-2 . . . . . . . . 1-5 . . . . . . . . 1-2 . . . . . . . . 1-7 . . . . . . . . 1-2 . . . . . . . . 4-2 . . . . . . . . 4-3 . . . . . . . . 2-5

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NWP 4-11 Page No. R References . . . . . . . . . . . . . . . . . . . . . 5-1 Requirements and performance of multinational military operations other than war . . . . 3-4 S Safety aspects of environmental protection . . . . 1-6 Sample environmental considerations annex . . . A-1 Situation . . . . . . . . . . . . . . . . . . . . . . 5-1 Special considerations . . . . . . . . . . . . . . . 4-2 T Training: Multinational military operations other than war . . . . . . . . . . . . . . . . . 3-5 Page No. Military operations other than war . . . . . . . 3-4 Peacetime . . . . . . . . . . . . . . . . . . . . 2-8 U United States federal and state environmental requirements . . . . . . . . . . . . . . . 1-3 W War, environmental protection during. Wartime operations . . . . . . . . . . Within theaters of war: Environmental effects. . . . . . . . Environmental planning . . . . . . . . . . . . 4-1 . . . . . . 1-6 . . . . . . 4-1 . . . . . . 4-2

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LEP-1 (Reverse Blank)

ORIGINAL

NWP 4-11