Appendix - Financial Responsibility Application and Supporting Forms

EC18OC91.000 EC18OC91.001 EC18OC91.002 EC18OC91.003 EC18OC91.004 DEPARTMENT OF TRANSPORTATION U.S. Coast Guard CG-5358-9 (6-83) Insurance Co. Form No. —————— INSURANCE FORM CG-5358-9 FURNISHED AS EVIDENCE OF FINANCIAL RESPONSIBILITY UNDER SUBSECTION 311(p) OF THE FEDERAL WATER POLLUTION CONTROL ACT, AS AMENDED (Name of Insurer) (hereinafter “Insurer”) hereby certifies that for purposes of complying with the provisions of subsection 311(p) of the Federal Water Pollution Control Act, as amended (hereinafter “Act”), each of the vessel operators specified in the schedules below is insured by it, in respect to each of the vessels respectively specified therein, against oil or hazardous substances removal cost liability to the United States to which such vessel operators could be subjected under section 311 of the Act. The amount of liability to which a vessel operator may be subjected under section 311 of the Act and which is insured herein is:

1. In the case of a vessel which is an “inland oil barge” (as defined in section 311 of the Act) at the time of an incident which causes the United States Government to incur removal costs, $125 per gross ton or $125,000, whichever is greater; or

2. In the case of a vessel which is not an “inland oil barge” (as defined in section 311 of the Act) at the time of an incident which causes the United States Government to incur removal costs, $150 per gross ton (or for a vessel carrying oil or hazardous substances as cargo, $250,000, whichever is greater).

The foregoing amount of insurance coverage provided by the Insurer on behalf of the United States Government in respect to any vessel specified herein is not conditioned or dependent in any way upon any agreement or understanding between an assured operator and the Insurer that any such vessel is or is not an “inland oil barge”, will or will not carry oil or certain hazardous substances, or will or will not operate in certain waters

(Name of Agent ——————— with offices located at ——————— is hereby designated as the Insurer's agent for service of process for the purposes of section 311 of the Act and implementing rules at Part 130 of Title 33, Code of Federal Regulations. If the designated agent cannot be served due to his death, disability, or unavailability, the Commandant, U.S. Coast Guard, becomes the agent for service of process.

The Insurer consents to be sued directly in respect of any claim against any of the operators arising under subsections 311 (f) and (g) of the Act; provided, however, that in any such direct action its liability per vessel in any one incident shall not exceed, in the case of an inland oil barge, $125 per gross ton of the barge or $125,000 whichever is greater. In the case of any other vessel, its liability per vessel in any one incident shall not exceed $150 per gross ton of the vessel (or, for a vessel carrying oil or hazardous substances as cargo, $250,000, whichever is greater). The Insurer shall be entitled to invoke only the rights and defenses permitted by section 311 of the Act to the vessel operator and the rights and defenses permitted by section 311 of the Act to the Insurer if an action were brought against the Insurer by the operator.

The insurance evidenced by this undertaking shall be applicable only in relation to incidents occurring on or after the effective date and before the termination date of this undertaking, and shall be applicable only to incidents giving rise to claims under subsections 311 (f) and (g) of the Act in respect to any of the below-listed vessels.

The effective date of this undertaking shall, for each vessel listed below, be the date the vessel is named in or added to the schedules below. For each vessel, the termination date of this undertaking shall be 30 days after the date of receipt of written notice by the U.S. Coast Guard (USCG) that the Insurer has elected to terminate the insurance evidenced by this undertaking, and has so notified the vessel operator.

However, for any vessel which is carrying oil or hazardous substances in bulk as cargo that has been loaded before the scheduled date of termination, the termination shall not take effect until (1) completion of discharge of such cargo, or (2) until 60 days after the date of receipt by the USCG of written notice that the Insurer has elected to terminate the insurance evidenced by this undertaking, whichever date is earlier.

Termination of this undertaking as to any vessel shall not affect the liability of the Insurer in connection with an incident occurring prior to the date such termination becomes effective.

If during the currency of this undertaking a below-named operator requests that an additional vessel be made subject to this undertaking and if the Insurer should accede to the request and should so notify the USCG, then the vessel shall be included in the schedules below.

If more than one insurer joins in executing this document, that action constitutes joint and several liability on the part of the insurers. The definitions in 33 CFR 130.2 apply to this undertaking.

Effective Date of Coverage for Vessels Originally Named on This Undertaking: Day/month/year. (Name of Insurer) (Mailing Address) (Signature of Official Signing on Behalf of Insurer) (Typed Name and Title of Signer) Insurance Form CG-5358-9 (6/83) No. —————— SCHEDULE OF VESSELS AND ASSURED OPERATORSVesselGross tonsAssured operator Insurance Form CG-5358-9 (6/83) No. —————— SCHEDULE OF VESSELS AND ASSURED OPERATORS ADDED TO ABOVE SCHEDULEVesselGross tonsAssured operatorDate added Insurance Form CG-5358-9 (6/83) No. —————— DEPARTMENT OF TRANSPORTATION U.S. Coast Guard CG-5358-9A (6/83) Master Insurance Form No. —————— MASTER INSURANCE FORM CG-5358-9A FURNISHED AS EVIDENCE OF FINANCIAL RESPONSIBILITY FOR BUILDERS, REPAIRERS, SCRAPPERS, OR SELLERS OF VESSELS UNDER SUBSECTION 311(p) OF THE FEDERAL WATER POLLUTION CONTROL ACT, AS AMENDED (Name of Insurer) (hereinafter “Insurer”) hereby certifies that (Name of Assured) ——————— (hereinafter the “Assured”) is insured by it against oil or hazardous substances removal cost liability to the United States for purposes of complying with the provisions of subsection 311(p) of the Federal Water Pollution Control Act, as amended, (hereinafter “Act”). This undertaking shall be applicable in relation to vessels which the Assured may from time to time hold for purposes of construction, repair, scrapping, or sale. The maximum amount of insurance evidenced by this undertaking is $150 per gross ton of any such vessel or $250,000, whichever is greater, not to exceed $——————— (This amount must not be less than $250,000) per vessel in anyone incident. The foregoing amount of insurance coverage provided by the Insurer on behalf of the United States Government in respect to any of the above-mentioned vessels is not conditioned or dependent in any way upon any agreement or understanding between the Assured and the Insurer that any of the vessels is or is not an “inland oil barge” (as defined in section 311 of the Act), will or will not carry oil or certain hazardous substances, or will or will not operate in certain waters. (Name of Agent) with offices at ———————, is hereby designated as the Insurer's agent for service of process for the purposes of section 311 of the Act and implementing rules at Part 130 of Title 33, Code of Federal Regulations. If the designated agent cannot be served due to his death, disability, or unavailability, the Commandant, U.S. Coast Guard becomes the agent for service of process.

The Insurer consents to be sued directly in respect of any claim against the Assured arising under subsections 311 (f) or (g) of the Act; provided, however, that in any such direct action (1) its liability per vessel in any one incident shall not exceed the amount stipulated in the first paragraph of this undertaking and (2) it shall be entitled to invoke only the rights and defenses permitted by section 311 of the Act to the Assured and the rights and defenses permitted by section 311 of the Act to the Insurer if an action were brought against the Insurer by the Assured.

The insurance evidenced by this undertaking shall be applicable only in relation to incidents giving rise to claims under subsection 311 (f) and (g) of the Act in respect to any of the above-mentioned vessels, occurring on or after the below-specified effective date of this undertaking and before the termination date of this undertaking. The termination date shall be the date 30 days after the date of receipt by the U.S. Coast Guard (USCG) of written notice that the Insurer has elected to terminate the insurance evidenced by this undertaking and has so notified the Assured.

However, for any of the above-mentioned vessels which are carrying oil or hazardous substances in bulk as cargo that has been loaded before the scheduled date of termination, the termination shall not take effect (1) until completion of discharge of such cargo, or (2) until 60 days after the date of receipt by the USCG of written notice the Insurer has elected to terminate the insurance evidenced by this undertaking and has so notified the Assured, whichever date is earlier.

Termination of this undertaking shall not affect the liability of the Insurer in connection with an incident occurring before the date termination becomes effective.

If more than one insurer joins in executing this undertaking, that action constitutes joint and several liability on the part of the insurers. The definitions in 33 CFR 130 apply to this undertaking.

Effective Date: (Name of Insurer) (Mailing Address) By: (Signature of Official Signing on Behalf of Insurer) (Typed Name and Title of Signer) Master Insurance Form CG-5358-9A (6/83) No. ——— DEPARTMENT OF TRANSPORTATION U.S. Coast Guard CG-5358-9B (6/83) Surety Co. Bond No. —————— OIL AND HAZARDOUS SUBSTANCES DISCHARGE SURETY BOND FORM CG-5358-9B FURNISHED AS EVIDENCE OF FINANCIAL RESPONSIBILITY UNDER SUBSECTION 311(p) OF THE FEDERAL WATER POLLUTION CONTROL ACT, AS AMENDED

KNOW ALL MEN BY THESE PRESENTS, that We (Name of Vessel Operator) ——————— of (City) ——————— (State and Country) ———————, as Principal (hereinafter called Principal), and (Name of Surety) ———————, a company created and existing under the laws of (State and Country) ———————, and authorized to do business in the United States, as Surety (hereinafter called Surety), are held and firmly bound unto the United States of America for oil or hazardous substances removal cost liability under section 311 of the Federal Water Pollution Control Act, as amended, (hereinafter “Act”) in the penal sum of $——————— (Penal Sum May Not Be Less Than $250,000)

for which payment, well and truly to be made, we bind ourselves and our heirs, executors, administrators, successors, and assigns, jointly and severally, firmly by these presents. The foregoing penal sum is not conditioned or dependent in any way upon any agreement or understanding between the Principal and Surety that any vessel(s) is or is not an “inland oil barge”, will or will not carry oil or certain hazardous substances, or will or will not operate in certain waters.

WHEREAS, the Principal intends to become or is a holder of a Certificate of Financial Responsibility (Water Pollution) under the provisions of Part 130 of Title 33, Code of Federal Regulations, and has elected to file with the U.S. Coast Guard (USCG) such a bond as will insure financial responsibility to meet any liability for removal costs incurred under section 311 of the Act; and

WHEREAS, this bond is written to ensure compliance by the Principal with the requirements of subsection 311(p) of the Act, and shall inure to the benefit of claimants under subsections 311 (f) and (g) of the Act;

NOW, THEREFORE, the condition of this obligation is that if the Principal shall pay or cause to be paid to claimants any sum or sums for which the Principal may be held legally liable under subsections 311 (f) or (g) of the Act, then this obligation, to the extent of such payment, shall be void, otherwise to remain in full force and effect.

The liability of the Surety shall not be discharged by any payment or succession of payments hereunder, unless and until such payment or payments shall amount in the aggregate to the penalty of the bond. In no event shall the Surety's obligation hereunder exceed the amount of the penalty, provided that the Surety furnishes written notice to the USCG forthwith of all suits filed, judgments rendered, and payments made by the Surety under this bond.

Any claim for which the Principal may be liable under subsections 311 (f) or (g) of the Act may be brought against the Surety; Provided, however, that in the event of a direct claim the Surety shall be entitled to invoke only (1) the rights and defenses permitted by section 311 of the Act to the Principal (vessel operator) and (2) the rights and defenses permitted by section 311 of the Act to the Surety if an action were brought against the Surety by the Principal.

This bond is effective the ——— day of —————, 19——, 12:01 a.m., standard time at the address of the Surety as stated herein and shall continue in force until terminated as hereinafter provided. The Principal or the Surety may at any time terminate this bond by written notice sent by certified mail to the other party with a copy (plainly indicating that the original notice was sent by certified mail) to the USCG at its office in Washington, D.C. The termination becomes effective thirty (30) days after actual receipt by the USCG or written notice; provided, however, that with respect to any of the Principal's vessels carrying oil or hazardous substances in bulk as cargo that has been loaded before the time the termination would otherwise have become effective, the termination shall not become effective (1) until completion of discharge of such cargo, or (2) until 60 days after the date of receipt by the USCG of written notice of termination of the bond by the above-named Principal or the Surety under the conditions set forth above, whichever date is earlier. The Surety shall not be liable hereunder in connection with an incident occurring after the termination of this bond as herein provided, but termination shall not affect the liability of the Surety in connection with an incident occurring before the date the termination becomes effective.

The Surety designates (Name of Agent) ——————— with offices at ———————, as the Surety's agent for service of process for the purposes of section 311 of the Act and implementing rules at Part 130 of Title 33, Code of Federal Regulations. If the designated agent cannot be served due to his death, disability, or unavailability; the Commandant, U.S. Coast Guard, becomes the agent for service of process.

If more than one surety company joins in executing this bond, that action constitutes joint and several liability on the part of the sureties. The definitions in 33 CFR 130.2 apply to this bond.

In witness whereof, the above-named Principal and Surety have executed this instrument on the ——— day of —————, 19——.

(Please type name of signer under each signature. In the case of partnership, each partner must sign.) Principal Individual Principal or Partner (Business Address) Individual Principal or Partner (Business Address) Individual Principal or Partner (Business Address) Corporate Principal Business Address By Title (Affix Corporate Seal) CG-5358-9B (6/83) Surety Co. Bond No. —————— Surety Corporate Surety Business address By Title (Affix Corporate Seal) CG-5358-9B (6/83) Surety Co. Bond No. —————— DEPARTMENT OF TRANSPORTATION U.S. Coast Guard CG-5358-9C (6/83) Guaranty No. —————— GUARANTY FORM CG-5358-9C IN RESPECT OF LIABILITY FOR DISCHARGE OF OIL AND HAZARDOUS SUBSTANCES

1. WHEREAS (Name of Vessel Operator) ——————— (hereinafter the “Operator”) is the Operator of the Vessel(s) specified in the annexed schedules (hereinafter “Vessel” or “Vessels”), and whereas the Operator desires to establish its financial responsibility in accordance with subsection 311(p) of the Federal Water Pollution Control Act, as amended, (hereinafter the “Act”), The undersigned Guarantor hereby guarantees, subject to the provisions of clause 4 hereof, to discharge the Operator's legal liability to the United States in respect to a claim for oil or hazardous substances removal costs under subsections 311 (f) and (g) of the Act, in the event that such legal liability has not been discharged by the Operator within 21 days after the claimant has obtained a final judgment (after appeal, if any) against the Operator from a United States Federal or State Court of competent jurisdiction, or has become entitled to payment of a specified sum by virtue of a compromise settlement agreement made with the Operator, with the approval of the Guarantor. Upon payment of the agreed sum, the Operator is to be fully, irrevocably and unconditionally discharged from all further liability to the claimant with respect to the claim. The Operator's legal liability under section 311 of the Act, which is covered by this Guaranty, is:

a. In the case of a Vessel which is an “inland oil barge” (as defined in section 311 of the Act) at the time of an incident which causes the United States Government to incur removal costs, $125 per gross ton or $125,000, whichever is greater; or b. In the case of a Vessel which is not an “inland oil barge” (as defined in section 311 of the Act) at the time of an incident which causes the United States Government to incur removal costs, $150 per gross ton (or for a Vessel carrying oil or hazardous substances as cargo, $250,000, whichever is greater). The foregoing amount of coverage provided by the Guarantor on behalf of the United States Government in respect to any of the Vessels is not conditioned or dependent in any way upon any agreement or understanding between the Operator and the Guarantor that any of the Vessels is or is not an “inland oil barge,” will or will not carry oil or certain hazardous substances, or will or will not operate in certain waters.

2. The Guarantor's liability per Vessel in any one incident shall not exceed, in the case of an inland oil barge, $125 per gross ton of such barge or $125,000, whichever is greater, and in the case of any other Vessel, $150 per gross ton of such Vessel (or, for a Vessel carrying oil or hazardous substances as cargo, $250,000, whichever is greater), provided that the Guarantor furnishes written notice to the U.S. Coast Guard (USCG) forthwith of all suits filed, judgments rendered, and payments made by the Guarantor under this Guaranty.

3. The Guarantor's liability under this Guaranty shall attach only in relation to incidents giving rise under subsections 311 (f) and (g) of the Act to causes of action against the Operator in respect of any of the Vessels for removal of oil or hazardous substances, within the meaning of section 311 of the Act, occurring on or after the effective date of this Guaranty, which, as to each of the Vessels, shall be the date the Vessel is named in Schedule A or added to Schedule B below, and before the termination date of this Guaranty, which, as to each of the Vessels, shall be the date 30 days after the date of receipt by the USCG of written notice that the Guarantor has elected to terminate this Guaranty, with respect to any of the Vessels, and has so notified the Operator; provided, however, that with respect to any Vessel carrying oil or hazardous substances in bulk as cargo that has been loaded before the scheduled date of termination, the termination shall not become effective (1) until completion of discharge of such cargo, or (2) until 60 days after the date of receipt by the USCG of written notice of termination, whichever date is earlier. Termination of this Guaranty as to any of the Vessels shall not affect the liability of the Guarantor in connection with an incident occurring before the date termination becomes effective.

4. Any claim against the Operator arising under subsections 311 (f) or (g) of the Act may be brought directly against the Guarantor; provided, however, that in the event of a direct claim the Guarantor shall be entitled to invoke only (1) the rights and defenses permitted by section 311 of the Act to the vessel operator and (2) the rights and defenses permitted by section 311 of the Act to the Guarantor if the action were brought against the Guarantor by the operator.

5. If, during the currency of this Guaranty, the Operator requests that a vessel operated by the Operator, and not specified in the annexed Schedules A and B, should become subject to this Guaranty, and if the Guarantor accedes to the request and so notifies the USCG in writing, then the vessel becomes one of the Vessels included in Schedule B and subject to this Guaranty.

6. The Guarantor hereby designates (Name of Agent) ——————— with offices at ———————, as the Guarantor's agent in the United States for service of process for purposes of section 311 of the Act and implementing rules at Part 130 of Title 33, Code of Federal Regulations. If the designated agent cannot be served due to his death, disability or unavailability, the Commandant, U.S. Coast Guard, becomes the agent for service of process.

7. If more than one guarantor joins in executing this Guaranty, that action constitutes joint and several liability on the part of the guarantors.

8. The definitions in 33 CFR 130 apply to this Guaranty.

Effective Date: (Month/Day/Year and Place of Execution)———————. (Type Name of Guarantor) (Type Address of Guarantor) By: (Signature)——————— (Type Name and Title of Person Signing Above) CG-5358-9C (6/83) Guaranty No. —————— SCHEDULE A—VESSELS INITIALLY LISTEDVesselsGross tonsOperator CG-5358-9C (6/83) Guaranty No. —————— SCHEDULE B—VESSELS ADDED IN ACCORDANCE WITH CLAUSE 5VesselsGross tonsOperatorDate added CG-5358-9C (6/83) Guaranty No. —————— DEPARTMENT OF TRANSPORTATION U.S. Coast Guard CG-5358-9D (6/83) Master Guaranty No.——— MASTER GUARANTY FORM CG-5358-9D IN RESPECT OF LIABILITY FOR DISCHARGE OF OIL AND HAZARDOUS SUBSTANCES (BUILDERS, REPAIRERS, SCRAPPERS, OR SELLERS OF VESSELS)

1. WHEREAS (Name of Vessel Operator) ——————— (hereinafter the “Operator”) is, or from time to time may become, the Operator of a vessel or vessels held for purposes of construction, repair, scrapping, or sale (hereinafter “Vessel” or “Vessels”), and whereas the Operator desires to establish its financial responsibility in accordance with subsection 311(p) of the Federal Water Pollution Control Act, as amended, (hereinafter the “Act”), the undersigned Guarantor hereby guarantees, subject to the provisions of clause 4 hereof, to discharge the Operator's legal liability to the United States in respect to a claim for oil or hazardous substances removal costs under subsections 311 (f) and (g) of the Act, in the event that such legal liability has not been discharged by the Operator within 21 days after the claimant has obtained a final judgment (after appeal, if any) against the Operator from a United States Federal or State Court of competent jurisdiction, or has become entitled to payment of a specified sum by virtue of a compromise settlement agreement made with the Operator, with the approval of the Guarantor, whereby, upon payment of the agreed sum, the Operator is to be fully, irrevocably and unconditionally discharged from all further liability to the claimant with respect to the claim. The amount of coverage provided by this Guaranty on behalf of the United States is the amount of the Operator's legal liability under section 311 of the Act. This amount is not conditioned or dependent in any way upon any agreement or understanding between the Operator and the Guarantor that any of the Vessels is or is not an “inland oil barge” (as defined in section 311 of the Act), will or will not carry oil or certain hazardous substances, or will or will not operate in certain waters.

2. The Guarantor's maximum liability per Vessel in any one incident is $150 per gross ton of the Vessel or $250,000, whichever is greater, but shall in no event exceed ———————, (This amount must not be less than $250,000) provided that the Guarantor furnishes written notice to the U.S. Coast Guard (USCG) forthwith of all suits filed, judgments rendered, and payments made by the Guarantor under this Guaranty.

3. The Guarantor's liability under this Guaranty shall attach only in relation to incidents giving rise under subsections 311 (f) and (g) of the Act to causes of action against the Operator in respect of any of the Vessels for removal of oil or hazardous substances, within the meaning of section 311 of the Act, occurring on or after the effective date of this Guaranty and before the termination date of this Guaranty, which shall be the date 30 days after the date of receipt by the USCG of written notice the Guarantor has elected to terminate this Guaranty and has so notified the Operator; provided, however, that with respect to any Vessel which is carrying oil or hazardous substances in bulk as cargo that has been loaded before to the scheduled date of termination, the termination shall not become effective (1) until completion of discharge of such cargo, or (2) until 60 days after the date of receipt by the USCG of written notice of termination, whichever date is earlier. Termination of this Guaranty as to the Vessels shall not affect the liability of the Guarantor in connection with an incident occurring before the date termination becomes effective.

4. Any claim against the Operator arising under subsection 311 (f) or (g) of the Act may be brought directly against the Guarantor; provided, however, that in the event of a direct claim the Guarantor shall be entitled to invoke only (1) the rights and defenses permitted by section 311 of the Act to the Vessel Operator and (2) the rights and defenses permitted by section 311 of the Act to the Guarantor if the action were brought against the Guarantor by the Operator.

5. The Guarantor hereby designates (Names of Agent) ———————, with offices at ———————, as the Guarantor's agent in the United States for service of process for purposes of section 311 of the Act and implementing rules at Part 130 of Title 33, Code of Federal Regulations. If the designated agent cannot be served due to his death, disability, or unavailability, the Commandant, U.S. Coast Guard, becomes the agent for service of process.

6. If more than one guarantor joins in executing this Guaranty, that action constitutes joint and several liability on the part of the guarantors.

7. The definitions in 33 CFR 130 apply to this Guaranty.

Effective Date: (Month/Day/Year and Place of Execution)———————. (Type Name of Guarantor) (Type Address of Guarantor) (Signature) (Type Name and Title of Person Signing Above) CG-5358-9D (6/83) Guaranty No. ————