1. Documentation Establishing Pay Period Earnings: To the extent it is available, or if Tax Information Documents for 2010 and 2011 are not available, a claimant must provide Pay Period Earnings Documentation for 2010 and the 2011 Benchmark Period. A claimant also must provide documentation to establish any bonuses and/or commissions received during the 2011 Benchmark Period and the Compensation Period, as well as bonuses and/or commissions received during January or February of the 2010 and 2011 for all jobs worked. A Career Changer must also provide such information for 2009. To the extent Pay Period Earnings Documentation is unavailable, the claimant shall so indicate in the sworn Claim Form, and earnings shall be treated as earned evenly throughout each year.
  2. Documentation Of Earnings From Other Sources During the Compensation Period: Claimants must also submit documents sufficient to establish the source(s) and amounts of earnings, if any, from other post-DWH Spill sources of income (and, if a Career Changer, for 2009) including: (1) Spill-Related Payments, and (2) compensation received from and hours worked in each employment position other than the Claiming Job(s). The types of documents sufficient to satisfy this requirement are as follows:

x Forms W-2, paycheck stubs or other employer-provided payroll information; and/or

x Bank records showing income deposits and supporting documentation indicating the source of those deposits; and/or

x Documents from BP/GCCF showing payment and BP/GCCF Claim Number; and/or

x Forms 1099; and/or

x Receipts from check cashing services; and/or

x Other documents provided by an employer setting forth for such other employment position(s) (i) required hours of work, (ii) actual hours worked by claimant, and

(iii) compensation rate.

  1. Documentation Establishing Other Costs/Losses: The claimant may also submit Reimbursable Training Cost Documentation, Reimbursable Search Cost Documentation, and/or documentation regarding Employment-Related Benefits Losses.
  2. Additional Claimant Documentation:

a. Claimant Employability Documentation: Consists of both:

i. A copy of a Social Security card, government-issued identification (for example, a valid driver’s license), temporary worker visa, or green card that was valid as of April 20, 2010 for the claimant, or a print out from a public database providing the same information as would be provided by the original document;

AND

ii. Evidence the claimant was at least 16 years of age as of April 20, 2010.

Acceptable evidence includes a copy of a valid driver’s license, a valid passport, a certified copy of the claimant’s birth certificate, or a print out from a public

29 database providing the same information as would be provided by the original document.

b.
Licensing Documentation: If claimant’s employment requires a government-issued license/permit, a copy of valid 2010 and 2011 licenses, if appropriate, or a print out from a public database providing the same information as would be provided by the original document. Licenses could include, but are not limited to:
i. Taxi/livery licenses.
ii. Real Estate Sales licenses. iii. Other licenses and permits related to income sources.
c.
If the claimant’s employment in the Claiming Job was terminated between April 20, 2010 and December 31, 2010, the claimant shall have the burden of proof to establish the termination was not for cause. The termination shall be deemed not for cause if:

i. The claimant establishes that he or she filed for and received unemployment, including, for example, as evidenced by Form 1099 G.

OR

ii. Claimant provides a letter from the former employer or an Employer Sworn Written Statement confirming termination was not for cause. Any such letter must include contact information for an authorized representative of the employer.

OR

iii. Other documentation acceptable to the Claims Administrator that establishes that the claimant was not terminated for cause.

6. Additional Documentation to Establish Causation Presumptions:

If the claimant is (i) a Career Changer or a Claimant Who Had Less Than Twelve Months of Earnings History But Was Employed On April 20, 2010 who seeks to qualify for a causation presumption as set forth in Sections III.B.1.a, III.B.1.b and III.B.1.c.i, or (iii) a New Entrant to Employment who seeks to qualify for a causation presumption as set forth in Sections III.B.2.a, III.B.2.b and III.B.2.c.i, the claimant must provide documentation 2010 and 2011 (and, if the claimant is a Career Changer, for 2009) to establish that the claimant or the claimant’s employer satisfies (or satisfied) the geographic requirements and/or the definition of an entity or Natural Person included in the Primary Seafood Industry, Secondary Seafood Industry, Tourism,18 or Charter Fishing19 as applicable. To satisfy this requirement, the claimant must demonstrate the employer’s location and the following:

18 The definition of Tourism is set forth in the Tourism Definition, Bates 026632 - 026646. 19 The definition of Charter Fishing is set forth in Definitions Section 38 of the Deepwater Horizon Economic and Property Damages Settlement Agreement.

30

a. That the claimant works or worked for an employer that filed a claim in the MDL
No. 2179 settlement process and was determined by the Claims Administrator to
satisfy one of the above-listed definitions;
OR
b. That the claimant’s Tax Information Documents, Pay Period Earnings
Documentation, or other documentation establishes that the claimant’s employer
satisfies one of the above-listed definitions.

7. The Causation Requirements set forth in Section III.B below may require additional documentation.

B. Causation Requirements

1. Causation for a Career Changer and a Claimant Who Had Less Than Twelve Months of Earnings History But Was Employed On April 20, 2010: In order for a Career Changer or a Claimant Who Had Less Than Twelve Months of Earnings History But Was Employed On April 20, 2010 to establish causation under this Category III, the claimant must satisfy the following:

a. The claimant must have been employed in the Claiming Job on April 20, 2010.

AND

b. During the 2011 Benchmark Period (even if 2011 is not used to calculate Expected Earnings), the claimant was either (i) employed, (ii) temporarily medically incapacitated such that the claimant was unable to work but expected to return to the workforce shortly thereafter, (iii) engaged in activities or in a condition entitling an employee to leave under Section 102 of The Family Medical Leave Act, of 1993, as amended, 29 U.S.C. §§ 2601, 2612, but did not receive compensation,20 (iv) involuntarily unemployed and can appropriately document job search activities, provided that the claimant can demonstrate that any involuntary unemployment was not a function of the claimant’s termination for cause, (v) a full time student,

(vi)
medically incapacitated such that the claimant was unable to work and was expected to be unable to return to the workforce, or (vii) was engaged in full-time volunteer or missionary work or had chosen to leave the workforce to serve as a full-time parent or legal guardian. Documentation satisfying this requirement includes one of the following:
i.
For a claimant employed during 2011, Tax Information Documents, Pay Period Earnings Documentation, or other annual employer-provided payroll

20 If the claimant is (i) a Career Changer or a Claimant Who Had Less Than Twelve Months Of Earnings History But Was Employed On April 20, 2010, and (ii) was on temporary medical leave from his or her employer pursuant to the Family Medical Leave Act, and (iii) received compensation during the time period of 2011 Benchmark Period, the claimant shall be considered to have been employed during the time he or she was receiving compensation.

31

information or other documentary evidence acceptable to the Claims Administrator.

ii. For a temporarily medically-incapacitated Individual, documentation establishing that claimant experienced the temporary disability, such as hospital or medical records or records reflecting receipt of short-term disability or similar benefits.

iii. For an Individual engaged in activities or a condition entitling an employee to leave under Section 102 of The Family Medical Leave Act, of 1993, as amended, 29 U.S.C. §§ 2601, 2612, who did not receive compensation during the 2011 Benchmark Period, documentation establishing the activities or condition, the duration of such activities or condition, any compensation received during such periods, and/or communications with the employer regarding the same.

iv.
For an involuntarily unemployed Individual, contemporaneous documentation evidencing a job search and diligent efforts to secure employment, as well as the documentation set forth in Section III.A.5 demonstrating that the involuntary unemployment was not a function of the claimant’s termination for cause.
v.
For a full-time student, documentation reflecting full-time matriculation or enrollment at a college or university, such as a matriculation certificate, tuition bill and evidence of payment, a transcript, a degree, certificate, or diploma indicating completion of a course of study, or a letter from the college or university registrar verifying the matriculation.

vi. For a medically-incapacitated Individual not expected to return to the workforce, documentation establishing the claimant experienced such disability, such as hospital or medical records or records reflecting receipt of Social Security or other disability benefits.

vii. For an Individual who was engaged in full-time volunteer or missionary work or who had chosen to leave the workforce to serve as a full-time parent or legal guardian, documentation evidencing the reason that the Individual was not engaged in work for monetary compensation.

AND

c.
The claimant must satisfy one of the following:
i.
Presumed Causation: The DWH Spill shall be presumed to be the cause of lost earnings for a Claiming Job during the Compensation Period for the following categories of claimants who submit the required documentation, provided that the claimant can demonstrate that any loss of income or employment related to the Claiming Job was not a function of the claimant’s termination for cause pursuant to the Documentation Requirements set forth in Section III.A.5.c:

32

1) If a claimant is an Individual seeking compensation for an economic loss relating to employment within Zone A,21 the claimant is not required to provide any evidence of causation relating to that Claiming Job.

2) If a claimant is an individual seeking compensation for an economic loss for a job in which he or she was employed by, or exclusively serviced, an entity or Natural Person that satisfies the Primary Seafood Industry definition as set forth in the Seafood Distribution Chain Definitions, the claimant is not required to provide any evidence of causation relating to that Claiming Job.

3) If a claimant is an individual seeking compensation for an economic loss for a job in which he or she was employed by an entity or Natural Person that satisfies the Secondary Seafood Industry definition as set forth in the Seafood Distribution Chain Definitions, and the entity or Natural Person was located in Zones B or C, the claimant is not required to provide any evidence of causation relating to that Claiming Job.

4) If the claimant is an Individual seeking compensation for an economic loss for a job in which he or she was employed by a business located in Zone B that meets the definition of Tourism, the claimant is not required to provide any evidence of causation relating to that Claiming Job.

5) If the claimant is an Individual seeking compensation for an economic loss for a job in which he or she was employed by an entity or Natural Person that satisfies the definition of Charter Fishing, and the Charter Fishing business was located in Zones A, B or C, the claimant is not required to provide any evidence of causation relating to that Claiming Job.

OR

ii. Individual Claimant Without Presumed Causation: If a claimant is not

entitled to a causation presumption as set forth in Section III.B.1.c.i, the claimant can establish causation for a Claiming Job during the Compensation

21

For purposes of this Framework for Individual Economic Loss Claims, the presumption shall be that the location of economic loss for the Claiming Job is the location of the claimant’s employer within the Class Definition geographic area, not the claimant’s residence. Claimants may establish an alternative location of economic loss for the Claiming Job other than their employer’s location by providing evidence that their primary employment activities and responsibilities occur in a location different from their employer’s business address, and that the claimed DWH Spill-related economic loss occurred at such location. For example, the claimant works for a housekeeping company located in Zone C that services households in Zones A, B and C, including vacation condominiums located in Zone A, and the claimant establishes that she works primarily in Zone A.

33

Period only by satisfying the requirements of one of the following subsections:

1) Causation is established if the Claiming Job is with an Eligible Employer. The Claims Administrator shall verify that the employer is an Eligible Employer.

2) Causation for a Claiming Job is established if the claimant provides an Employer Sworn Written Statement attributing the claimant’s loss of income during the Compensation Period to the DWH Spill. The Employer Sworn Written Statement must articulate in detail how the claimant’s losses at the Claiming Job are causally related to the DWH Spill. Such Employer Sworn Written Statement must also include contact information for an authorized representative of the employer.

iii. The Claims Administrator shall evaluate the credibility and reliability of the information provided by the employer and the claimant, including any Sworn Written Statements, and have the right to request supplemental documentation and/or to interview the employer in accordance with the Addendum Regarding Interviews of Claimant Alleging Economic Loss.

2. Causation for a New Entrant to Employment: In order for a New Entrant to Employment to establish causation under this Category III, the claimant must satisfy the following:

a.
The claimant must satisfy the definition of a New Entrant to Employment and shall provide documentation showing residency, or that the claimant took significant affirmative steps to establish residency, within close enough proximity to the anticipated location of employment to travel to the job as frequently as required by the employer, for a period of at least 60 days after April 20, 2010 but before December 31, 2010 (or before April 30, 2011 for claimants whose employer or expected employer satisfied the Primary Seafood Industry definition). Documentation meeting this requirement includes:
i.
A lease or rental agreement; or

ii. A sublease agreement; or

iii. Contemporaneous utility bills.

AND

b. During the 2011 Benchmark Period, the claimant was either (i) employed, (ii) temporarily medically incapacitated such that the claimant was unable to work but expected to return to the workforce shortly thereafter, (iii) engaged in activities or in a condition entitling an employee to leave under Section 102 of The Family Medical Leave Act, of 1993, as amended, 29 U.S.C. §§ 2601, 2612, but did not

34 receive compensation,22 (iv) involuntarily unemployed and can appropriately document job search activities, provided that the claimant can demonstrate that any involuntary unemployment was not a function of the claimant’s termination for cause, (v) a full time student, (vi) medically incapacitated such that the claimant was unable to work and was expected to be unable to return to the workforce, or (vii) was engaged in full-time volunteer or missionary work or had chosen to leave the workforce to serve as a full-time parent or legal guardian. Documentation satisfying this requirement includes one of the following:

i. For a claimant employed during 2011, Tax Information Documents, Pay Period Earnings Documentation, or other annual employer-provided payroll information or other documentary evidence acceptable to the Claims Administrator.

ii. For a temporarily medically-incapacitated Individual, documentation establishing that claimant experienced the temporary disability, such as hospital or medical records or records reflecting receipt of short-term disability or similar benefits.

iii. For an Individual engaged in activities or a condition entitling an employee to leave under Section 102 of The Family Medical Leave Act, of 1993, as amended, 29 U.S.C. §§ 2601, 2612, who did not receive compensation during the 2011 Benchmark Period, documentation establishing the activities or condition, the duration of such activities or condition, any compensation received during such periods, and/or communications with the employer regarding the same.

iv.
For an involuntarily unemployed Individual, contemporaneous documentation evidencing a job search and diligent efforts to secure employment, as well as the documentation set forth in Section III.A.5 demonstrating that the involuntary unemployment was not a function of the claimant’s termination for cause.
v.
For a full-time student, documentation reflecting full-time matriculation or enrollment at a college or university, such as a matriculation certificate, tuition bill and evidence of payment, a transcript, a degree, certificate, or diploma indicating completion of a course of study, or a letter from the college or university registrar verifying the matriculation.

vi. For a medically-incapacitated Individual not expected to return to the workforce, documentation establishing the claimant experienced such disability, such as hospital or medical records or records reflecting receipt of Social Security or other disability benefits.

22 If the claimant is (i) a Career Changer or a Claimant Who Had Less Than Twelve Months Of Earnings History But Was Employed On April 20, 2010, and (ii) was on temporary medical leave from his or her employer pursuant to the Family Medical Leave Act, and (iii) received compensation during the time period of 2011 Benchmark Period, the claimant shall be considered to have been employed during the time he or she was receiving compensation.

35

vii. For an Individual who was engaged in full-time volunteer or missionary work or who had chosen to leave the workforce to serve as a full-time parent or legal guardian, contemporaneous documentation evidencing the reason that the Individual was not engaged in work for monetary compensation.

AND

c.
The claimant must satisfy one of the following:
i.
Presumed Causation: The DWH Spill shall be presumed to be the cause of lost earnings for a Claiming Job during the Compensation Period for New Entrants to Employment who provide documentation showing proof of an offer of employment made and accepted prior to April 20, 2010 for employment to begin between April 21 and December 31, 2010 (or for employment to begin between April 21, 2010 and April 30, 2011 for claimants in the Primary Seafood Industry), provided that the following conditions are also met:

1) The offer documentation evidences expected employment:

a) Within Zone A;23 or,

b) In which the offering employer was an entity or Natural Person that satisfies the Primary Seafood Industry definition as set forth in the Seafood Distribution Chain Definitions; or,

c) In which the offering employer was an entity or Natural Person that satisfies the Secondary Seafood Industry definition as set forth in the Seafood Distribution Chain Definitions, and the entity or Natural Person was located in Zones B or C; or

d) In which the offering employer was a business located in Zone B that meets the definition of Tourism; or

e) In which the offering employer was a business located in Zones A, B or C that satisfies the definition of Charter Fishing.

23

For purposes of this Framework for Individual Economic Loss Claims, the presumption shall be that the location of economic loss for the Claiming Job is the location of the claimant’s employer within the Class Definition geographic area, not the claimant’s residence. Claimants may establish an alternative location of economic loss for the Claiming Job other than their employer’s location by providing evidence that their primary employment activities and responsibilities occur in a location different from their employer’s business address, and that the

claimed DWH Spill-related economic loss occurred at such location. For example, the claimant works for a housekeeping company located in Zone C that services households in Zones A, B and C, including vacation condominiums located in Zone A, and the claimant establishes that she works primarily in Zone A.

36

2) The documentation provided must include information sufficient to establish proposed start and end dates, wage rate and projected hours, and withdrawal of the offer during the period April 21 through December 31, 2010.

OR

ii. Individual Claimant Without Presumed Causation: If the New Entrant to

Employment is not entitled to a causation presumption as set forth in Section III.B.2.c.i, the claimant can establish causation for a Claiming Job during the Compensation Period only by providing an Employer Sworn Written Statement attributing the claimant’s loss of income during the Compensation Period to the DWH Spill. The statement must articulate in detail how the claimant’s losses are causally related to the DWH Spill, and must specifically

(i) attest to the claimant’s accepted employment offer (including start and end dates, wage rate and projected hours), and (ii) verify that the employer’s decision not to employ the claimant, or to employ the claimant in a reduced capacity, was due to or resulting from the DWH Spill. Such letter must also include contact information for an authorized representative of the employer.

iii. The Claims Administrator shall evaluate the credibility and reliability of the information provided by the employer and the claimant, including any Sworn Written Statement(s), and have the right to request supplemental documentation and/or interview the employer in accordance with the Addendum Regarding Interviews of Claimant Alleging Economic Loss.

C. Compensation Calculation

For claimants who were employed in 2011 in the same job or similar job as that performed or offered and withdrawn in the Compensation Period selected by the claimant, the Claims Administrator shall use either Tax Information Documents and/or Pay Period Earnings Documentation, to calculate the Claimant’s Lost Earnings. As set forth in the steps below, Claimant’s Lost Earnings includes any lower amount of earnings in the Compensation Period as compared to the 2011 Benchmark Period, after those 2011 earnings have been decreased by the General Growth Factor, less any Offsetting Earnings. In addition, for claims based on non-salaried, hourly-wage jobs, the claimant’s 2011 earnings shall also be decreased by the Industry Growth Factor.

For any Category III claimant not employed in 2011 in the same job or similar job as that performed or offered and withdrawn in the Compensation Period selected by the claimant and satisfying a requirement of Section III.B.1.b or III.B.2.b above, Expected Earnings for each type of Category III claimant shall be based on alternative data, as described in detail in Item 2 of Step 2 below.

The claimant shall receive a lump-sum final payment that includes compensation for Claimant’s Lost Earnings, plus any applicable RTP agreed upon by the parties, plus compensation for properly documented Employment-Related Benefits Losses, Reimbursable Training Costs and

37

Reimbursable Search Costs, if any, less the amounts of any Spill-Related Payments.

Example compensation calculations are set forth in Appendices A through F attached hereto.

Step 1: Claimant Selects Compensation Period

1. Claimant selects a Compensation Period. For a claimant who (i) was terminated for cause in 2010 from the Claiming Job(s), or (ii) otherwise ended employment at the Claiming Job(s) in 2010 for reasons unrelated to the DWH Spill, the Compensation Period may not extend beyond the termination date.

Step 2: Identify 2011 Benchmark Period Earnings to Be Used in Calculating Expected Earnings

The purpose of this Step 2 is to identify earnings to be used in calculating Expected

Earnings.

1. For claimants employed during a 2011 Benchmark Period, the claimant’s earnings used in calculating Expected Earnings shall be the claimant’s earnings from such 2011 period.

a.
Claimants with Tax Information Documents: Earnings during the 2011 Benchmark Period as evidenced by Tax Information Documents shall include earned income from the Claiming Job (or comparable job) and shall be assumed to have been earned evenly throughout 2011 unless the claimant provides Pay Period Earnings Documentation sufficient to establish actual earnings distribution. All bonuses and/or commissions shall be allocated pro rata across the period for which they were awarded, and annual performance bonuses paid in January and February shall be assumed to relate to the prior calendar year, unless the documents establish that the bonus related to a specific period of time.
b.
Claimants with only Pay Period Earnings Documentation: Earnings during the 2011 Benchmark Period as evidenced by Pay Period Earnings Documentation for each Claiming Job shall be determined based upon the nature and extent of the documentation provided.
i.
If the claimant submits Pay Period Earnings Documentation that covers only discrete portions of 2011, the Claims Administrator shall base the 2011 Benchmark Period earnings for that job only on the actual documentation provided (i.e., data shall not be extrapolated to periods for which Pay Period Earnings Documentation was not provided).

38

ii. If the claimant submits Pay Period Earnings Documentation for a job that provides data as to full year earnings but not the allocation of those earnings (i.e., a year-end paystub), then if the claimant also provides additional Pay Period Earnings Documentation deemed by the Claims Administrator to be sufficient for purposes of allocating those earnings across the relevant period, earnings for that job shall be allocated consistent with that Pay Period Earnings Documentation.

iii. If no additional information is provided regarding the allocation of those earnings, the Claims Administrator shall assume a pro rata distribution over the relevant period.

iv. All bonuses and/or commissions shall be allocated pro rata across the period for which the claimant indicates they were awarded, and annual performance bonuses paid in January and February shall be assumed to relate to the prior calendar year, unless the documents establish that the bonus related to a specific period of time.

OR

2. For claimants not employed during the 2011 Benchmark Period, but who satisfied the causation requirement in Section III.B.3, the claimant’s earnings used in calculating Expected Earnings shall be one of the following:

a.
New Entrant To Employment: The claimant’s Expected Earnings during the Compensation Period shall be based on the rescinded or reduced offer of employment or Employer Sworn Written Statement used to establish causation.
b.
Claimant Who Had Less Than Twelve Months Of Earnings History But Was Employed On April 20, 2010: The claimant’s Expected Earnings shall be based on the claimant’s average monthly pre-DWH Spill earnings in the Claiming Job, recognizing that this calculation shall be based on less than twelve months of earnings data and shall be subject to an Industry Growth Factor only, if relevant, as described below.
c.
Career Changer: The claimant’s Expected Earnings shall be based on earnings in the 2009 time period of at least 90 consecutive days corresponding to the time period of at least 90 consecutive days within the same months selected by the claimant as the Compensation Period.

Step 3: Determine Earnings Growth Factor(s)

1. The following Growth Factors may apply for purposes of calculating Expected Earnings:

a.
General Growth Factor is defined in Definitions Section N.2 and is 2.0%.
b.
Industry Growth Factor is defined in Definitions Section N.3. For claimants in non-salaried, hourly wage jobs, the Industry Growth Factor of 1.5% shall be

39 applied.

c. Claimant Specific Growth Factor is defined, and the calculation is explained in Definitions Section N.1. For purposes of this Section III, a Claimant Specific Growth Factor may apply only in the limited circumstance of a Career Changer who does not have earnings during the 2011 Benchmark Period for one of the reasons set forth in Section III.B.3.

Step 4: Calculate Expected Earnings Expected Earnings will be calculated as follows:

1. For claimants covered by Step 2.a, Expected Earnings equal the earnings over the 2011 Benchmark Period, decreased by the applicable Growth Factors (from Step 3).

Expected Earnings = 2011 Benchmark Period Earnings from Step 2 x (1 - applicable Step 3 Growth Factor(s))

2. For claimants covered by Step 2.b, Expected Earnings are calculated according to one of the following:

a.
New Entrant To Employment: The claimant’s Expected Earnings during the Compensation Period shall be based on the rescinded or reduced offer of employment or Employer Sworn Written Statement used to establish causation. No Growth Factors apply.
b.
Claimant Who Had Less Than Twelve Months Of Earnings History But Was Employed On April 20, 2010: The claimant’s Expected Earnings shall be based on the claimant’s average monthly pre-DWH Spill earnings in the Claiming Job, recognizing that this calculation shall be based on less than twelve months of earnings data and shall be increased by the Industry Growth Factor, if relevant. No other Growth Factors shall apply.
c.
Career Changer: The claimant’s Expected Earnings shall be based on earnings in the 2009 time period of at least 90 consecutive days corresponding to the time period of at least 90 consecutive days within the same months selected by the claimant as the Compensation Period, increased by the Claimant Specific Growth Factor or the General Growth Factor, as applicable, and by an Industry Growth Factor, if applicable.

Step 5: Determine Actual Earnings and Any Offsetting Earnings In The Compensation Period

Actual Earnings for all Claiming Jobs and any applicable Offsetting Earnings during the

Compensation Period shall be determined based on Tax Information Documentation or

Pay Period Earnings Documentation provided by the claimant and other documentation

relevant to determining Offsetting Earnings.

To the extent the claimant does not have Pay Period Earnings Documentation for a Claiming Job, Actual Earnings during the Compensation Period shall be estimated for that Claiming Job by dividing the claimant’s total 2010 Claiming Job earnings by 12 and

40

multiplying that amount by the number of months in the Compensation Period. All bonuses and/or commissions shall be allocated pro rata across the periods for which they were awarded, and annual performance bonuses paid in January and February shall be assumed to relate to the prior calendar year, unless the documents establish that the bonus related to a specific period of time.

Offsetting Earnings and Actual Earnings from all Claiming Jobs shall be calculated giving consideration to all Claiming Jobs, provided that:

1. If the claimant has only one Claiming Job, then:

i. If Pay Period Earnings Documentation (or other documentation relevant to calculating Offsetting Earnings) reflects the same or an increased number of hours worked at the Claiming Job in the Compensation Period relative to the Claiming Job (or comparable job) in the Benchmark Period, Actual Earnings shall be limited to earnings from the Claiming Job (or comparable job) over the same total number of hours worked in the Benchmark Period, and no Offsetting Earnings shall apply.

OR

ii. If Pay Period Earnings Documentation (or other documentation) (i) reflects a decrease in hours worked at the Claiming Job during the Compensation Period, and (ii) the claimant’s Pay Period Earnings Documentation reflects additional hours worked at a Non-Claiming Job (whether such Non-Claiming Job was held in the Benchmark Period or is a new position), Offsetting Earnings shall be calculated and factored into the determination of Claimant Lost Earnings.

2. If the claimant has more than one Claiming Job, then:

i. If Pay Period Earnings Documentation (or other documentation relevant to calculating Offsetting Earnings) for all Claiming Jobs reflects the same or an increased number of total hours worked across all Claiming Jobs during the Compensation Period (relative to all Claiming Jobs (or comparable jobs) in the Benchmark Period), aggregate Actual Earnings in the Compensation Period shall be limited to total earnings from all Claiming Jobs (or comparable jobs) over the same number of total hours worked in the Benchmark Period, provided that earnings from hours lost in one Claiming Job shall be replaced by earnings from the same number of hours worked in a different Claiming Job during the Compensation Period. No Offsetting Earnings shall apply.

OR

ii. If Pay Period Earnings Documentation (or other documentation relevant to calculating Offsetting Earnings) for all Claiming Jobs reflects (i) fewer total hours worked across all Claiming Jobs during the Compensation Period (relative to all Claiming Jobs (or comparable jobs) in the Benchmark Period), but (ii)

41

more hours worked in one (or more) Claiming Job(s) in the Compensation Period (relative to the same Claiming Job(s) in the Benchmark Period), aggregate Actual Earnings in the Compensation Period shall include total earnings from all Claiming Jobs (or comparable jobs) in the Compensation Period. If the claimant’s Pay Period Earnings Documentation also reflects additional hours worked at a different (Non-Claiming Job) position (whether such position was held in the Benchmark Period or is a new position), Offsetting Earnings shall be calculated and factored into the determination of Claimant Lost Earnings for the number of hours representing the difference between (a) total hours worked in all Claiming Jobs in the Compensation Period, and (b) total hours worked in all Claiming Jobs in the Benchmark Period.

OR

iii. If Pay Period Earnings Documentation (or other documentation) for all Claiming Jobs (i) reflects a decrease in hours worked at each Claiming Job during the Compensation Period, and (ii) the claimant’s Pay Period Earnings Documentation reflects additional hours worked at a different position (whether such position was held in the Benchmark Period or is a new position), Offsetting Earnings shall be calculated and factored into the determination of Claimant Lost Earnings for the total lost hours.

OR

iv. If the claimant does not have Pay Period Earnings Documentation (or other documentation establishing hours worked) for all Claiming Jobs, then Actual Earnings shall include all earnings from all Claiming Jobs and Offsetting Earnings shall apply.

Step 6: Determine Claimant Lost Earnings

Claimant Lost Earnings shall be calculated as (a) the difference between (i) the claimant’s Expected Earnings during the Compensation Period (Step 4) from all Claiming Jobs and

(ii) the claimant’s Actual Earnings during the Compensation Period, as adjusted, if relevant, (Step 5) from all Claiming Jobs, reduced by (b) any applicable Offsetting Earnings.

Step 7: Calculate Final Claimant Compensation Final claimant compensation shall be Claimant Lost Earnings (Step 6) adjusted as follows:

1. Add any applicable RTP agreed to by the parties, provided that:

- For claimants whose Claimant Lost Earnings result from more than one Claiming Job, the claimant’s applicable RTP shall be calculated based on

(i) the percentage of total Claimant Lost Earnings related to each Claiming Job, multiplied by (ii) the RTP applicable to each Claiming Job, which is determined by the job type (Tourism/Other Industries) and zone (Zone A, B, C or D). For example, a claimant with 50% of their lost earnings from a job

42

Zone A hotel, and 50% of their lost earnings from a job in a Zone C restaurant shall receive an RTP that is calculated as follows:

Applicable RTP = .5*RTPZone A Tourism (hotel) + .5*RTPZone C Tourism (restaurant)

-For claimants unable to work in 2011 because they were (i) a full time student, (ii) medically incapacitated such that the claimant was unable to work and was expected to be unable to return to the workforce, or

(iii) engaged in full-time volunteer or missionary work or had chosen to leave the workforce to serve as a full-time parent or legal guardian (as set forth in Section III.B.3), no RTP shall be applied.

- For an employee terminated for cause in 2010 from a Claiming Job, no RTP shall apply.

2. Add any Reimbursable Training Costs. Reimbursable Training Costs shall be fully reimbursed if the training led directly to earned income in 2010. If not, then Reimbursable Training Costs shall be reimbursed up to $2,000.

For example: A claimant who paid $3,000 after April 20, 2010 to secure a commercial trucking license and who earned income as a commercial trucker in 2010 shall receive $3,000 in reimbursement. If the claimant earned no income from commercial trucking during 2010, the claimant would receive a $2,000 reimbursement.

  1. Add any Reimbursable Search Costs.
  2. Add any applicable Employment-Related Benefits Losses.
  3. Add any One Time, Non-Recurring Event Compensation.
  4. Subtract any Spill-Related Payments.
  5. The formula for Final Claimant Compensation is: Claimant Lost Earnings
+
(Claimant Lost Earnings x applicable RTP (if any))
+
Employment-Related Benefits Losses (if applicable)
+
Reimbursable Training Costs (full if led to earned income in 2010 from area of training, otherwise $2,000) (if applicable)
+
Reimbursable Search Costs (if applicable)
+
One Time, Non-Recurring Event Compensation (if applicable)

- Spill-Related Payments (if applicable)

- VoO Settlement Offset and/or VoO Earned Income Offset (if any)

43

IV. CATEGORY IV: CLAIMANTS WITHOUT EARNINGS DOCUMENTATION WHO SUBMIT CLAIMANT

AND EMPLOYER SWORN WRITTEN STATEMENTS TO ESTABLISH EARNINGS

Any claimant who satisfies all of the following criteria may be eligible for compensation pursuant to

this Category IV:

  1. The claimant’s employer or employment is located in Zones A, B or C.24
  2. The claimant does not have Tax Information Documents or Pay Period Earnings Documentation for the Claiming Job evidencing his or her earnings during the relevant time period. For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the relevant periods shall be (i) April 21, 2009 through April 20, 2010, and (ii) April 21, 2010 through April 30, 2011. For all other claimants, the requisite periods shall be (i) April 21 through December 31, 2009 and (ii) April 21 through December 31, 2010.
  3. The claimant is not a New Entrant to Employment.

Claimants who meet the criteria above may instead establish lost earnings and causation by

submitting, in addition to a sworn Claim Form, (a) a Claimant Sworn Written Statement with

specified contents, (b) one or more Employer Sworn Written Statement(s) providing information

for at least the periods April 21 through December 31, 2009, and April 21 through December 31,

25,26 and, at the claimant’s option, for additional periods as described below, (c) any other

specified documentation. In addition, the Claims Administrator may interview the claimant and/or

the employer consistent with the Addendum Regarding Interviews of Claimant Alleging Economic

Loss and Section IV.B, below.

A. Documentation And Causation Requirements:

A Category IV claimant must provide a sworn Claim Form and all of the documents identified below. The Claims Administrator shall review and assess the documentation provided by the

claimant, including information from the claimant’s employer(s), and any other information

deemed relevant by the Claims Administrator, for purposes of determining whether the

24

For purposes of this Framework for Individual Economic Loss Claims, the presumption shall be that the location of economic loss for the Claiming Job is the location of the claimant’s employer within the Class Definition geographic area, not the claimant’s residence. Claimants may establish an alternative location of economic loss for the Claiming Job other than their employer’s location by providing evidence that their primary employment activities and responsibilities occur in a location different from their employer’s business address, and that the claimed DWH Spill-related economic loss uniquely occurred at such location. For example, the claimant works for a housekeeping company located in Zone C that services households in Zones A, B and C, including vacation condominiums located in Zone A, and the claimant establishes that she works primarily in Zone A.

25

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the claimant should instead provide one or more Employer Sworn Written Statement(s) for the periods

(i) April 21, 2009 through April 20, 2010 and (ii) April 21, 2010 through April 20, 2011.

26

If the information for both required periods can be satisfied with an Employer Sworn Written Statement from one employer, only one Employer Sworn Written Statement is required. If a single employer is not able to provide the necessary information for both required periods set forth above, the claimant must submit at least one Employer Sworn Written Statement for each period.

44

claimant experienced a loss of earnings during April 21 through December 31, 2010,27 and, if so, whether the loss was due to or resulting from the DWH Spill. The Claims Administrator shall rely on his assessment of the credibility and reliability of the information submitted in determining if this causation requirement is satisfied.

1. Claimant Sworn Written Statement: The claimant shall submit a Claimant Sworn Written Statement which sets forth the following information and shall attach any relevant documents in claimant’s possession:

a.
No Tax Returns are available for 2009 and 2010.
b.
No Pay Period Earnings Documentation is available for the Claiming Job(s) for the period April 21 through December 31 of 2009 and 2010.28
c.
The claimant made diligent efforts to obtain Form W-2s for 2009 and 2010 from his or her employer(s) and they are not available.
d.
The claimant’s employment history with each employer, including, for example, the nature of the work performed, number of years worked, whether the employment is steady or seasonal, year-round or intermittent, and the circumstances of the claimant’s departure and/or termination, if applicable. At a minimum, the claimant shall include the following:
i.
The business name, last known address, telephone number and, if available, website of each of claimant’s employers for the period April 21 through December 31 of 2009 and 2010.29
ii.
To be potentially eligible for an RTP, the claimant must also provide the above information for the period April 21 through December 31, 2011.30
e.
The claimant’s actual earned income from all sources in 2009 and 2010, and any other earnings history that the claimant believes is relevant to support the claim, including any support for the claimant’s belief that these actual earned amounts are accurate.
f.
If applicable, the claimant’s BP/GCCF Claim Number, and a listing of any Spill-Related Payments received by the claimant.
g.
An explanation of how the reduction of claimant’s hours of work, termination of the claimant’s employment, and/or withdrawal of an offer of employment

27

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the potential loss period shall be April 21, 2010 through April 20, 2011.

28

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the claimant should instead verify that no Pay Period Earnings Documentation for the Claiming Job is available for the periods (i) April 21, 2009 through April 20, 2010 and (ii) April 21, 2010 through April 20, 2011.

29

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the claimant should instead provide the business name and last known address of each of claimant’s employers for the periods (i) April 21, 2009 through April 20, 2010 and (ii) April 21, 2010 through April 20, 2011.

30

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the claimant should instead provide the business name and last known address of each of claimant’s employers for the period April 21, 2011 through April 20, 2012 to be potentially eligible for an RTP.

45

related to the Claiming Job(s) during the period from April 21, 2010 - December 31, 2010 was due to or resulting from the DWH Spill.31

h. A statement and any available documentation establishing that the claimant was present and available to work in Zones A, B or C in close enough proximity to the anticipated location of employment to travel to the job as frequently as required by the employer during the period from April 21, 2010 to December 31, 2010.32

i. To be potentially eligible for an RTP, the claimant must satisfy the above
requirement for the period April 21 through December 31, 2011. 33
ii. Documentation that could demonstrate presence and availability
includes, but is not limited to, the following:
1) A lease or rental agreement; or
2) A sublease agreement; or
3) Contemporaneous utility bills.

2. Claimant Employability Documentation: Consists of both:

a. A copy of a Social Security card, government-issued identification (for example, a valid driver’s license), temporary worker visa, or green card that was valid as of April 20, 2010, or a print out from a public database providing the same information as would be provided by the original document.

AND

b. Evidence that the claimant was at least 16 years of age as of April 20, 2010.

Acceptable evidence includes a valid driver’s license, a valid passport, or a copy of the claimant’s birth certificate, or a print out from a public database providing the same information as would be provided by the original document.

3. Licensing Documentation: If the claimant’s employment in the Claiming Job requires a government-issued license/permit, the claimant shall provide a copy of valid 2009, 2010 and, if applicable, 2011 licenses, or a print out from a public database providing the same information as would be provided by the original document, such as:

31

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the claimant should instead provide an explanation of how the reduction of claimant’s hours of work, termination of the claimant’s employment, and/or withdrawal of an offer of employment for the periods (i) April 21, 2009 through April 20, 2010 and (ii) April 21, 2010 through April 20, 2011 was due to or resulting from the DWH Spill.

32

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the claimant should instead provide information regarding his or her presence and availability for work in Zones A, B or C for the period April 21, 2010 through April 20, 2011.

33

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the claimant should instead provide information regarding his or her presence and availability for work in Zones A, B or C for the period April 21, 2011 through April 20, 2012 to be potentially eligible for an RTP.

46

a.
Taxi/livery licenses.
b.
Real Estate Sales licenses.
c.
Other licenses and permits related to income sources.

4. Employer Sworn Written Statement: The claimant shall submit an Employer Sworn Written Statement from at least one of his or her employers during each of the periods April 21 through December 31 of 2009 and 2010, which sets forth the following information with any relevant documents attached.34 If the information for both required periods can be satisfied with an Employer Sworn Written Statement from one employer, only one Employer Sworn Written Statement is required. If a single employer is not able to provide the necessary information for both required periods, the claimant must submit at least one Employer Sworn Written Statements for each period.

a.
Employer Information
i.
Employer’s business name

ii. Address(es)

iii. Telephone number(s)

iv.
Website(s), if available
v.
A description of the nature of the business

vi. Compensation practices (for example, weekly or bi-weekly pay periods), wage rates, and typical hours worked for employees holding jobs comparable to the Claiming Job.

vii. If the employer is not an Eligible Employer, information sufficient to establish the following: 1) The size and scale of the employer’s business, such as: a) Size of physical plant; b) Best estimate of the number of customers; c) Best estimate of the volume of product produced; d) Best estimate of the number of full-time and part-time employees; e) Financial information; and/or

f) To the extent the business is a seasonal business, this information should be provided to reflect business size during different seasons.

34

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the Employer Sworn Written Statement shall be provided from each of the claimant’s employers for the periods (i) April 21, 2009 through April 20, 2010 and (ii) April 21, 2010 through April 20, 2011.

47

2) Copies of any applicable required licenses possessed by the employer during the period April 21 through December 31 of 2009 and 2010,35 or a print out from a public database providing the same information as would be provided by the original document .

b.
Employee Information
i.
The claimant’s employment history with employer, including, for example, the nature of the work performed, number of years worked, whether the employment is steady or seasonal, year-round or intermittent, and the circumstances of the claimant’s departure and/or termination, if applicable.

ii. The claimant’s wage rate and total compensation for the following periods, if applicable:

1) April 21 through December 31, 2009; 36 2) April 21 through December 31, 2010;37 3) April 21 through December 31, 2011;38 and 4) Any other time period for which the employer is able and elects to

provide the requested information.

If the employer cannot provide precise actual dates and times, it shall be sufficient for the employer to provide more general information satisfying this standard for example, “Claimant was employed for 30 days at a rate of $100 per day for 12 weeks during the months of [June -

August 2009]”.

iii. If the employer (i) employed the claimant and/or (ii) offered the claimant employment during the period from April 21, 2010 - December 31, 2010,39 the employer shall provide the following:

1) How the employer (a) terminated the claimant’s employment,

(b) reduced the claimant’s hours of work, (c) withdrew an offer of employment, (d) did not extend an offer of seasonal (partial year) employment to the claimant, or (e) otherwise reduced employee’s compensation due to or resulting from the DWH Spill with sufficient

35

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the employer should instead provide copies of any applicable required licenses for the periods (i) April 21, 2009 through April 20, 2010 and (ii) April 21, 2010 through April 20, 2011.

36

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the appropriate period is from April 21, 2009 through April 20, 2010.

37

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the appropriate period is from April 21, 2010 through April 20, 2011.

38

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the appropriate period is from April 21, 2011 through April 20, 2012.

39

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the appropriate period is from April 21, 2010 through April 20, 2011.

48

detail to permit the Claims Administrator to calculate the claimant’s lost hours of work and lost earnings from such employment during such period.

2) A specific explanation of how (i) the reduction of claimant’s hours of work identified, or (ii) the withdrawal of, or (iii) the failure to extend, an offer of employment was due to or resulting from the DWH Spill.

The number of affidavits submitted by an employer on behalf of the claimant and any other claimants shall be monitored by the Claims Administrator for reasonableness in light of the employer’s operations. For example, it would be anticipated that a 10-room motel would have approximately five full-time equivalent employees, or that a 50-seat diner-style restaurant would have approximately five full-time equivalent servers.

B. Interviews

  1. The Claims Administrator shall have the right to interview all claimants and related employer(s) in this Category IV claiming lost earnings of $7,500 or more and up to 25% of all other claimants within this Category IV and their supporting employer(s), in accordance with the provisions of the Addendum Regarding Interviews of Claimant Alleging Economic Loss.40
  2. In addition, and notwithstanding the provisions of Section IV.B.1, the Claims Administrator shall have the right to interview any employer who submits an Employer Sworn Written Statement on behalf of more claimants than the Claims Administrator determines is reasonable for the position for which the employer is providing the Employer Sworn Written Statement, in accordance with the provisions of the Addendum Regarding Interviews of Claimant Alleging Economic Loss.

C. Description Of Compensation Calculation

The Claims Administrator shall determine the Final Claimant Compensation amount based on the totality of the information provided by the claimant and his or her employer(s), including the sworn Claim Form, Claimant Sworn Written Statement, Employer Sworn Written Statement(s), interviews (if any), and/or any supplemental information the Claims Administrator may require the claimant to provide to support the claim, and/or any other information the Claims Administrator may determine to be relevant and reliable (collectively, the “Claim File”). The Claims Administrator shall rely on his assessment of the reliability and credibility of the Claim File information and the specifics of any claimed economic loss in determining the claimant’s compensation, if any, to be provided to the claimant.

In addition, nothing in this Framework for Individual Economic Loss Claims shall in any way limit the right and obligation of the Claims Administrator to investigate fully all suspicions of fraudulent conduct by or on behalf of any claimant, including but not limited to conducting any interviews and obtaining any documents the Claims Administrator deems necessary. Any such interviews will not be included in the 25% limit set forth above.

49

Step 1: Calculate Claimant’s Lost Earnings

In determining the claimant’s lost earnings for the Claiming Job, the Claims Administrator

shall consider the following factors:

  1. Prior Employment History: The extent to which the Claim File establishes the claimant’s pre-DWH Spill employment in the Claiming Job, including the type of work performed, wage rate, and amount of time spent working in the Claiming Job.
  2. Post-DWH Spill Anticipated Employment: The extent to which the Claim File establishes the claimant’s post-DWH Spill expected employment in the Claiming Job, including the job description, wage rate, and amount of time claimant was expected to be employed in the Claiming Job during the period from April 21 through December 31, 2010,41 and wages expected to be earned in the Claiming Job.
  3. Post-DWH Spill Actual Employment: The extent to which the Claim File establishes the claimant’s actual post-DWH Spill employment in the Claiming Job, including the job description, wage rate, amount of time claimant actually was employed in the Claiming Job during the period from April 21 through December 31, 2010,42 and actual earnings in the Claiming Job and any other employment during that period.
  4. Lost Earnings And Causation: The extent to which the Claim File establishes (a) a reduction in anticipated employment and earnings in the Claiming Job during the period from April 21 through December 31, 2010,43 and (b) the extent to which any such reduction in anticipated employment and earnings was due to or resulting from the DWH Spill.
  5. Continued Employment in 2011: The extent to which the Claim File establishes that the claimant was employed in the Claiming Job or a similar job in 2011 and lived within 60 miles of his place of employment.

Based on the Claims Administrator’s consideration of the totality of the information above, the Claims Administrator shall determine the claimant’s lost earnings for the period April 21

through December 31, 201044 up to a cap of $20,000.

41

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the Claims Administrator shall consider the extent to which the claimant has established his or her expected post-DWH Spill employment in the Claiming Job for the period April 21, 2010 through April 20, 2011.

42

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the Claims Administrator shall consider the extent to which the claimant has established his or her actual post-DWH Spill employment in the Claiming Job for the period April 21, 2010 through April 20, 2011.

43

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the claimant shall establish the claimant’s lost earnings for the period April 21, 2010 through April 20, 2011.

44

For claimants whose employer(s) is an entity or Natural Person satisfying the Primary Seafood Industry definition, the claimant shall establish the claimant’s expected post-DWH Spill employment for the period April 21, 2010 through April 20, 2011.

50

Step 2: Apply RTP, If Applicable

Only claimants who, in 2011, (1) continued to be employed in a position the same as, or similar to, the Claiming Job, and (2) still lived within 60 miles of their place of employment, shall be eligible for an RTP of 1.

If eligible, the claimant’s lost earnings shall be multiplied by the RTP.

Step 3: Determine Claimant’s Compensation

Deduct any Spill-Related Payments from the sum of Steps 1 and 2 to determine claimant’s compensation amount.

Claimants under this Category IV shall not be eligible to recover Reimbursable Search Costs, Reimbursable Training Costs or Employment-Related Benefits Losses.

The formula for the claimant’s compensation is:

Claimant’s lost earnings (not to exceed $20,000) (from Step 1)

+
(Claimant’s lost earnings (not to exceed $20,000) x RTP (if any)) (from Step 2)
+
One Time, Non-Recurring Event Compensation: if applicable, provided, however, that in no event shall this amount exceed: ($20,000 less Claimant’s lost earnings from Step 1)

- Spill-Related Payments (if applicable) (from Step 3)

- VoO Settlement Offset and/or VoO Earned Income Offset (if any)

51

One Time Loss Addendum

A One Time, Non-Recurring Event shall be defined as an event or sale that (i) would have occurred in the Claiming Job between April 21, 2010 and December 31, 2010, and (ii) had not been included in the Individual’s income from the Claiming Job in 2007, 2008 or 2009, and (iii) was canceled due to or resulting from DWH Spill.

An Individual asserting lost earnings due to cancellation of a One Time, Non-Recurring Event must provide documentation and establish causation as follows:

Documentation and Causation

The claimant shall provide all of the following:

  1. Copy of contract for the One Time, Non-Recurring Event scheduled to occur during the period April 21, 2010 and December 31, 2010, and canceled subsequent to April 21, 2010. The contract must indicate the date, time and details of the event.
  2. Documentation sufficient to establish the lost earnings, income or profit, to the claimant in respect of the One Time, Non-Recurring Event, including but not limited to a Sworn Written Statement by the party responsible for canceling the contract for the One Time, Non-Recurring Event.
  3. Documentation establishing that the lost earnings, income or profit, identified in 2 is (a) for claimants with more than ten sales per year in the Base Year(s), equal to or greater than 10% of the claimant’s earnings in the Base Year(s) from the Claiming Job, or (b) for claimants with fewer than ten sales per year in the Base Year(s), greater than two times the claimant’s average commission on all transactions in the Base Year(s) from the Claiming Job.
  4. Documentation sufficient to establish that (a) the cancellation of the One Time, Non-Recurring Event was due to or resulting from the DWH Spill, including but not limited to a Sworn Written Statement by the party responsible for canceling the contract for the One Time, Non-Recurring Event, and (b) the cancellation was a loss to claimant.
  5. Documentation establishing that the lost earnings, income or profit, are not duplicative of amounts quantified as Claimant Lost Earnings in Step 6 of the Compensation Calculation for Categories I, II or III.
  6. Itemized commission statements for 2007, 2008 and 2009, if applicable.

Compensation for the One Time, Non-Recurring Event

Compensation for the One Time, Non-Recurring Event shall equal the lost earnings for the One Time, Non-Recurring Event, and no RTP shall be applicable to the corresponding loss.

52

EXHIBIT 8B

Case 2:10-md-02179-CJB-SS Document 6430-17 Filed 05/03/12 Page 6 of 27 Case 2:10-md-02179-CJB-SS Document 6430-17 Filed 05/03/12 Page 7 of 27 Case 2:10-md-02179-CJB-SS Document 6430-17 Filed 05/03/12 Page 16 of 27 Case 2:10-md-02179-CJB-SS Document 6430-17 Filed 05/03/12 Page 17 of 27 Case 2:10-md-02179-CJB-SS Document 6430-17 Filed 05/03/12 Page 18 of 27

$16,043 = $15,500 x (1 + 0.02 + 0.015)

[g] = [e] x (1+ [d] + [f])

EXHIBIT 8C

AddendumRegardingCompensationRelatedtoaClaimant’sLossofEmploymentͲRelatedBenefits IncomeasaResultoftheDWHSpill

I. Eligibility:

OnlyEligibleClaimantsshallqualifyforcompensationpursuanttothisAddendum.TobeanEligible Claimant,aclaimantmustsatisfyallofthefollowingEligibilityCriteria:

  1. TheclaimantmustqualifyforcompensationpursuanttoSectionI,SectionIIorSectionIIIofthe FrameworkforIndividualEconomicLossClaims. 
  2. UnlesstheclaimantisaNewEntranttoEmployment,theclaimantmusthavebeencoveredby ahealthinsuranceand/orretirementplanprovidedbytheclaimant’semployerasofApril20, 2010(“PreͲSpillBenefitProvidingEmployer”).



  1. IftheclaimantisaNewEntranttoEmployment,thenasofApril20,2010theclaimantmust havehadandacceptedanofferfromaPreͲSpillBenefitProvidingEmployerwhichincluded healthcareinsurancecoverageand/orretirementbenefitscommencingwithintheperiodMay 1,2010throughDecember31,2011. 
    1. TheclaimantmustdemonstrateEmploymentͲRelatedBenefitLosses”.EmploymentRelated BenefitsLossesshallconsistof(i)HealthInsuranceCoverageLossesand/or(b)Retirement BenefitLosses(bothofwhicharedefinedbelow)dueto:
      1. Theterminationoftheclaimant’semploymentbythePreͲSpillBenefitProviding Employer;or
      2. Otherterminationofclaimant’sbenefits(e.g.,achangeinemployee’seligibility);or
      3. Areductioninclaimant’scompensationrelatedtotheDWHSpill;or
      4. ForNewEntrantstoEmployment,thatthehealthcareinsuranceand/orretirement benefitsbecameunavailableasaresultoftheofferbeingwithdrawnoramendedasa resultoftheDWHSpill.

HealthInsuranceCoverageLossesandRetirementBenefitLossesshallbedefinedas

follows:

a. HealthInsuranceCoverageLosses:Theclaimant’spostͲDWHSpilllossofincomerelated tothelossofcoverageunderahealthinsuranceplanfromaPreͲSpillBenefitProviding EmployerinwhichtheclaimantwasenrolledasofApril20,2010(orwhichwaspartof thebenefitspackageaNewEntranttoEmploymentwouldhavereceivedfromhisor herPreͲSpillBenefitProvidingEmployer),includinganymedical,prescriptiondrug, dentaland/orvisioninsuranceplancoverages(“PreͲSpillInsurancePlanCoverages”);1

AND/OR

 Forpurposesofthisaddendum,eachindividualhealthinsurancepolicycoverage(i.e.,medical,prescriptiondrug, dental,and/orvision)willbeevaluatedseparately. 1

b. RetirementBenefitLosses:Theclaimant’spostͲDWHSpilllossofincomerelatedtothe lossoforreductioninretirementorpensionbenefitsprovidedbyhisorherPreͲSpill BenefitProvidingEmployer,includingemployerpensionpayments,and/orother employercontributionsrelatedtoaclaimant’s401(k)or403(b)account,profitsharing planorothertypeofretirementaccount(“PreͲSpillRetirementBenefits”).



II. SupplementalDocumentation

EachEligibleClaimantmustprovidethedocumentationsetforthbelow(inadditiontoother documentationrequiredtoestablishtheirindividualeconomiclossclaim).

A. HealthInsuranceCoverageLosses

AnEligibleClaimantseekingcompensationforHealthInsuranceCoverageLossesmustprovide thefollowingdocumentation:

1. ForallclaimantsotherthanNewEntrantstoEmployment,documentationestablishingthat theEligibleClaimantparticipatedinoneormorePreͲSpillInsurancePlanCoverage(s) providedbythePreͲSpillBenefitͲProvidingEmployerasofApril20,2010,andcertain relevantinformationregardingthePreͲSpillInsurancePlanCoverage(s),includingthe following:

a.
DocumentationestablishingwhethertheEligibleClaimantwasenrolledinan individualorfamilyplancoverageforeachofthePreͲSpillInsurancePlan Coverages.
b.
Documentationevidencingperiodic(annual,monthly,etc.)premiumcoststothe claimant,ifany,ineffectatthetimeoftheDWHSpillforeachPreͲSpillInsurance PlanCoverage.
c.
Documentationestablishingtheterminationandeffectiveterminationdate(s)of anyofEligibleClaimant’sPreͲSpillInsurancePlanCoveragesasaresultofeither(i) thepostͲSpillterminationoftheEligibleClaimant’semploymentbythePreͲSpill BenefitͲProvidingEmployer,or(ii)apostͲSpillchangeintheEligibleClaimant’s employmentstatuswiththePreͲSpillBenefitͲProvidingEmployerleadingto terminationoftheEligibleClaimant’scoverage.
d.
Ifavailable,andiftheEligibleClaimantsochooses,aSwornWrittenStatement fromanauthorizedrepresentativeofthePreͲSpillBenefitProvidingEmployer indicatingtheamountofperiodicpremiums(payperiod,monthly,annual,etc.)that wouldhavebeenpaidfortheEligibleClaimant’sPreͲSpillInsurancePlan Coverage(s)bythePreͲSpillBenefitProvidingEmployerabsenttheDWHSpill.

Documentationmayinclude,forexample,anApril2010paystubevidencingpremium

deductionsforqualifyingPreͲSpillInsurancePlanCoverages,insurancecards,andother

relevantemployerprovideddocumentation,etc.

2. ForNewEntrantstoEmployment,documentationestablishingthefollowing:

a.
ThattheEligibleClaimant’sofferincludedPreͲSpillInsurancePlanCoverage(s).
b.
ThatasofApril20,2010,theNewEntranttoEmploymentplannedtoparticipatein oneormoreofthosePreͲSpillInsurancePlanCoverage(s),including(i)specific identificationofallrelevantPreͲSpillInsurancePlanCoverage(s),(ii)whetherthe EligibleClaimantintendedtoenrollasanindividualorfamily,and(iii)thedateon whichthecoveragewouldhavebegun,asrelevant.
c.
Theamountofperiodic(annual,monthly,etc.)premiumcostsforwhichthe claimantwouldhavebeenresponsible,ifany,foreachPreͲSpillInsurancePlan Coverage.
d.
IftheNewEntranttoEmployment’sofferwasamendedratherthanwithdrawn, thattheinabilitytoparticipateinthePreͲSpillInsurancePlanCoverage(s)wasdue totheDWHSpill,includingthespecificbasis.
e.
TheNewEntranttoEmploymentshallprovideaSwornWrittenStatementfroman authorizedrepresentativeofthePreͲSpillBenefitProvidingEmployerindicatingthe amountofperiodicpremiums(payperiod,monthly,annual,etc.)thatwouldhave beenpaidfortheEligibleClaimant’sPreͲSpillInsurancePlanCoverage(s)bythe PreͲSpillBenefitProvidingEmployerabsenttheDWHSpillifthefollowingapply:
i.
IftheNewEntranttoEmployment’sofferwaswithdrawn,oriftheNew EntranttoEmployment’sofferwasonlyamended,butheorshewasno longereligibleforPreͲSpillInsurancePlanCoverage;and

ii. IftheNewEntranttoEmploymentdidnotobtainReplacementHealth InsuranceCoverageoraNewEmployerInsurancePlan(asdefinedherein) priortoDecember31,2011.

Documentationmayinclude,forexample,theEligibleClaimant’srelevantofferletter, insuranceplaninformationreceivedfromthePreͲSpillBenefitͲProvidingEmployer,and/or aSwornWrittenStatementfromanauthorizedrepresentativeofthefromthePreͲSpill BenefitͲProvidingEmployerwithrelevantinformationregardingthePreͲSpillInsurance PlanCoverage(s),suchaspremiuminformation,theclaimant’seligibility,etc.,asapplicable.

3. If,aftertheterminationofanyPreͲSpillInsurancePlanCoverage,theEligibleClaimant obtainedhealthinsurancecoveragethroughCOBRA,theEligibleClaimantshallprovideall ofthefollowing:

a.
DocumentsevidencingtheperiodforwhichtheEligibleClaimantwascoveredby COBRA,includingthefirstandlasteffectivedatesofcoverage.
b.
DocumentsevidencingtheCOBRApremiums(andtheperiodtowhicheach premiumrelates)throughtheearlierof(i)theterminationofCOBRA,or (ii)December31,2011.
c.
Documentsevidencingtheclaimant’spaymentofanyCOBRApremiumsforwhich

theEligibleClaimantseeksreimbursement. 

4. If,aftertheterminationofanyPreͲSpillInsurancePlanCoverage,theEligibleClaimant

obtainedandpaidforreplacementhealthinsuranceotherthaninconnectionwithCOBRA, 3

newemploymentoranalternativehealthcareinsuranceplanforwhichtheclaimantwas eligible(asdiscussedbelow)(“ReplacementHealthInsuranceCoverage”),theEligible Claimantshallprovideallofthefollowing:

a.
DocumentsevidencingtheperiodforwhichtheEligibleClaimantprocuredany ReplacementHealthInsuranceCoverage,includingthefirstandlasteffectivedates ofcoverage,providedthatevidenceofcoveragebeyondDecember31,2011need notbeprovided.
b.
Documentsevidencingthepremiumamounts(andtheperiodtowhicheach premiumrelates),aswellasclaimant’spaymentofthosepremiums,foreachpolicy providingReplacementHealthInsuranceCoveragethroughtheearlierof(i)the terminationofthepolicyprovidingReplacementHealthInsuranceCoverage,or (ii)December31,2011.



5. If,aftertheterminationofanyPreͲSpillInsurancePlanCoverages,theEligibleClaimant wasofferedbutdidnotaccepthealthinsurancecoveragepursuanttoCOBRAorapolicy providingReplacementHealthInsuranceCoverage,theEligibleClaimantshallprovide contemporaneousdocumentsevidencingthetermsofanyofferofCOBRAcoverage, includingthecorrespondingpremium.IftheEligibleClaimantwasnoteligibleforCOBRA becausethePreͲSpillBenefitͲProvidingEmployernolongerprovidedhealthinsurancetoits existingemployees,orbecauseitwasnotrequiredbylawtoprovidesuchcoverage,the claimantshouldcertifyinwritingthatnoCOBRAcoveragewasoffered.



6. IftheEligibleClaimantobtainedorwascoveredbyhealthinsurancefromaneworformer employer,orbyanalternativehealthcareinsuranceplanforwhichtheclaimantwaseligible (through,forexample,aspouse,domesticpartner,parent,legalguardian,veteran’sorother plan,asapplicable)aftertheterminationofthePreͲSpillInsurancePlans,butpriorto December31,2011(“PostͲSpillEmployerInsurancePlanCoverage”),theEligibleClaimant shallprovidedocumentssettingforththetypeandeffectivedate(s)ofanyPostͲSpill EmployerInsurancePlanCoverages.



B. RetirementBenefitLosses

AnEligibleClaimantseekingcompensationforRetirementBenefitLossesmustprovidethe followingdocumentation:

1. DocumentationestablishingthattheEligibleClaimantwasenrolled,eligibleforand receivingvestedPreͲSpillRetirementBenefitsfromthePreͲSpillBenefitͲProviding EmployerasofApril20,2010.DocumentationevidencingPreͲSpillRetirementBenefits couldinclude,forexample,apaystubincludingmatchingcontributions,investment statement,orotherthirdpartydocumentevidencingtheemployer’scontributionstoor paymentofPreͲSpillRetirementBenefitsonbehalfoftheEligibleClaimant,andthevesting schedule.

 4

2. DocumentationestablishingthattheEligibleClaimant’sPreͲSpillRetirementBenefitswere terminatedafterApril20,2010asaresultofeither(i)thepostͲSpillterminationofthe EligibleClaimant’semploymentbythePreͲSpillBenefitͲProvidingEmployer,or(ii)apostͲ SpillchangeintheEligibleClaimant’semploymentstatuswiththePreͲSpillBenefitͲ ProvidingEmployer.



3. DocumentationevidencingtheamountofvestedPreͲSpillRetirementBenefitscontributed onbehalfoftheEligibleClaimantbythePreͲSpillBenefitͲProvidingEmployerbetweenMay 1,2009andthedocumentedterminationdateofthePreͲSpillRetirementBenefits.Tothe extenttheEligibleClaimanthadbeenemployedwiththePreͲSpillBenefitͲProviding Employerforlessthantwelvemonths,heorsheshouldprovidetherequestedinformation fromhisorherstartdatewiththePreͲSpillBenefitͲProvidingEmployerthroughthedate PreͲSpillRetirementBenefitsceased.



4. IftheEligibleClaimant’sPreͲSpillRetirementBenefitswereterminated,theclaimantshall providedocumentationevidencingtheterminationoftheEligibleClaimant’sPreͲSpill RetirementBenefits,includingtheeffectivedateoftermination.



5. IftheEligibleClaimantexperiencedapostͲDWHSpillreductioninPreͲSpillRetirement

Benefits,theclaimantshallprovidethefollowing: 

a.
DocumentsregardinganyretirementbenefitsprovidedbythePreͲSpillBenefitͲ ProvidingEmployeraftertheDWHSpill(“ActualPostͲSpillRetirementBenefits”); and
b.
Ifapplicable,anydocumentsevidencingachangeinthetermsbywhichthePreͲSpill BenefitͲProvidingEmployerprovidedthePreͲSpillRetirementBenefits(e.g.,such asaneliminationofemployermatching)orachangeinvestingscheduleterms unrelatedtotheDWHSpill(“UnrelatedPlanChange”).Itwillbeassumedthatany planchangeisunrelatedtotheDWHSpillforpurposesofthisaddendum,unlessthe claimantprovidesdocumentationestablishingthattheplanchangewasduetoor resultingfromtheDWHSpill(“SpillͲRelatedPlanChange”).Documentationcould include,forexample,contemporaneousnotificationreceivedfrom,oraSworn WrittenStatementprovidedbyanauthorizedrepresentativeof,thePreͲSpill BenefitProvidingEmployer.



7. ForNewEntrantstoEmployment,documentationestablishingallofthefollowing:

a.
ThattheEligibleClaimant’sofferincludedPreͲSpillRetirementBenefits.
b.
ThatasofApril20,2010,theNewEntranttoEmploymentplannedtoparticipatein theofferedPreͲSpillRetirementBenefits.
c.
TheamountofPreͲSpillRetirementBenefitsforwhichtheEligibleClaimantwould havebeeneligible,thevestingscheduleforsuchbenefits,and,iftheamountor

vestingofPreͲSpillRetirementBenefitswascontingentupontheEligibleClaimant’s contributions,theplannedcontributionsoftheEligibleClaimant.

d. IftheNewEntranttoEmployment’sofferwasamendedratherthanwithdrawn,the EligibleClaimant’sandhisorherPreͲSpillBenefitProvidingEmployer’sactualpostͲ DWHSpillcontributionstothePreͲSpillRetirementPlan.

Documentationmayinclude,forexample,theEligibleClaimant’srelevantofferletter, retirementplaninformationreceivedfromthePreͲSpillBenefitͲProvidingEmployer,and/or aSwornWrittenStatementfromanauthorizedrepresentativeofthePreͲSpillBenefitͲ ProvidingEmployerwithrelevantinformationregardingthePreͲSpillRetirementBenefits, suchascontributiontermsandconditions,theclaimant’seligibility,etc.

6. IftheEligibleClaimantobtainedretirementbenefitsfromanewemployerafterthe terminationofthePreͲSpillRetirementBenefits,butpriortoDecember31,2011(“New EmployerRetirementBenefits”),theclaimantshallprovidedocumentssettingforththe effectivedate(s)ofanyNewEmployerRetirementBenefits.



III. CompensationforHealthInsuranceCoverageLosses

EligibleClaimantswhoassertHealthInsuranceCoverageLossesshallbeeligibleforcompensation pursuanttooneofthefollowingmethodologies,ifapplicable:

1. CompensationBasedonCOBRAorReplacementHealthInsuranceCoveragePremiums2:The EligibleClaimantmaybereimbursedbasedonpremium(s)paidforCOBRA,orthepremium(s) paidforpoliciesprovidingReplacementHealthInsuranceCoverageinwhichtheEligible ClaimantenrolledaftertheterminationofacorrespondingPreͲSpillInsurancePlanCoverage. Thetotallossofincomewillequal(i)thedailyrateforsuchCOBRAorReplacementHealth InsuranceCoverage,lessthedailyratefortheEligibleClaimant’sportionofthepremiumonthe PreͲSpillInsurancePlanCoverages,multipliedby(ii)thetotalnumberofdaysintheperiodfor whichtheEligibleClaimantqualifiesforHealthInsuranceCoverageLosses,providedthatifthe resultin(i)isnegative,nocompensationwillbepaidtotheEligibleClaimant.HealthInsurance CoverageLosseswillbecalculatedovertheperiodextendingfrom:



a.
TheterminationofthePreͲSpillInsurancePlanCoverageor,forNewEntrantsto Employment,thedateonwhichthePreͲSpillInsurancePlanCoveragewouldhave begunabsenttheDWHSpill,until
b.
Theearlierof(i)theEligibleClaimant’senrollmentinaNewEmployerInsurancePlan, or(ii)December31,2011. 

OR 

 EligibleClaimantswhoqualifyforcompensationpursuanttoOption1mayalternativelybecompensatedonthe basisofOption2(iftheappropriateinformationisprovided). 6

2. CompensationBasedonDocumentationRegardingPremiumsPaidbythePreͲSpillBenefit ProvidingEmployer3:IftheEligibleClaimantprovidesaSwornWrittenStatementfroman authorizedrepresentativeofthePreͲSpillBenefitProvidingEmployer,theEligibleClaimant maybereimbursedbasedonthepremium(s)paidforthePreͲSpillInsurancePlanCoverage(s) bythePreͲSpillBenefitProvidingEmployer.Thetotallossofincomewillequal(i)thedailyrate fundedbythePreͲSpillBenefitProvidingEmployermultipliedby(ii)thetotalnumberofdaysin theperiodforwhichtheEligibleClaimantqualifiesforHealthInsuranceCoverageLosses. HealthInsuranceCoverageLosseswillbecalculatedovertheperiodextendingfrom:



a.
TheterminationofthePreͲSpillInsurancePlanCoverageor,forNewEntrantsto Employment,thedateonwhichthePreͲSpillInsurancePlanCoveragewouldhave begunabsenttheDWHSpill,until
b.
Theearlierof(i)theEligibleClaimant’senrollmentinaNewEmployerInsurancePlan,

or(ii)December31,2011.  OR 

3. CompensationBasedonEstimatedPremiumsPaidbythePreͲSpillBenefitProviding Employer4:AnEligibleClaimantwhodidnotreplacecoveragethroughCOBRAorReplacement HealthInsuranceCoverage,theEligibleClaimant’sHealthInsuranceCoverageLosseswillbe calculatedasfollows:



a. Step1:EstablishthePreͲSpillEmployerPremium

i. ForallEligibleClaimantswhowerenotNewEntrantstoEmployment:

  1. IdentifytheparticipatingpremiumspaidbytheEligibleClaimantas evidencedbypayrolldeductionsfortherelevantPreͲSpillInsurance PlanCoverageinApril2010,orotherrelevantdocumentation evidencingtheEligibleClaimant’spremiumsrelatedtothePreͲSpill InsurancePlanCoverage(s).
  2. IftheEligibleClaimantparticipatedinanindividualplan,dividethe premiumby0.2,andifthepremiumrelatedtoafamilyplan,dividethe premiumby0.45tocalculatethe“GrossPremium”associatedwiththe PreͲSpillInsurancePlanCoverage,inclusiveofboththeportionfunded bytheclaimantandtheportionfundedbytheemployer.



3

EligibleClaimantswhoqualifyforcompensationpursuanttoOption2mayalternativelybecompensatedonthe basisofOption1(iftheappropriateinformationisprovided).

4

Option3willonlybeusedincircumstanceswheretheEligibleClaimantisunabletoprovidetheinformation necessarytoperformthecalculationssetforthinOptions1or2.

5

Thesefactorsrepresenttheapproximateportionofhealthcareinsurancepremiumsfundedbyemployeesbased ondatafromtheBureauofLaborStatisticsEmployeeBenefitsSurvey. 7

3. MultiplytheGrossPremiumby0.8forclaimantswithindividualplans and0.6forclaimantswithfamilyplans6toestimatetheportionofthe premiumfundedbytheemployer(“PreͲSpillEmployerPremium”).

ii. ForallNewEntrantstoEmployment:

1. ThePreͲSpillEmployerPremiumwillbethepremiumthatwouldhave beenfundedbythePreͲSpillBenefitProvidingEmployerfortheNew EntranttoEmployment’sPreͲSpillInsurancePlanCoverageabsentthe DWHSpillaccordingtotheSwornWrittenStatementfromthePreͲSpill BenefitProvidingEmployer.

b.
Step2:CalculatetheDailyPreͲSpillEmployer:DividethePreͲSpillEmployerPremium bythenumberofdayscoveredbythepremiumtocalculateaDailyEmployer Premium”.
c.
Step3:CalculateHealthInsuranceCoverageLosses:

i. ForallEligibleClaimantswhowerenotNewEntrantstoEmployment:

1. MultiplytheDailyEmployerPremiumbythenumberofdaysbetween theeffectiveterminationdateoftherelevantPreͲSpillInsurancePlan Coverageandtheearlierof(i)theeffectivedateofanycorresponding PostͲSpillEmployerInsurancePlanCoverage,ifapplicable7,or(ii) December31,2011.

ii. ForallNewEntrantstoEmployment:

1. MultiplytheDailyEmployerPremiumbythenumberofdaysbetween thedayonwhichthePreͲSpillInsurancePlanCoveragewouldhave takeneffectabsenttheDWHSpill,andtheearlierof(i)theeffective dateofanycorrespondingPostͲSpillEmployerInsurancePlan Coverage,ifapplicable,or(ii)December31,2011.

NoRTPwillbeappliedtoanycalculatedHealthInsuranceCoverageLosses.



IV.CompensationforRetirementBenefitLosses

EligibleClaimantswhoclaimRetirementBenefitLossesshallbecompensatedinanamountequal

tothePreͲSpillRetirementBenefitscontributedonbehalfoforpaidtotheEligibleClaimantbythe

PreͲSpillBenefitͲProvidingEmployerforaperiodextendingfrom:

a. TheterminationoforreductiontothePreͲSpillRetirementBenefitsor,forNew EntrantstoEmployment,thedateonwhichthePreͲSpillRetirementBenefitswould havebegunabsenttheDWHSpill,to



6

Thesefactorsrepresenttheapproximateportionofhealthcareinsurancepremiumsfundedbyemployeesbased ondatafromtheBureauofLaborStatisticsEmployeeBenefitsSurvey.

7

Forexample,iftheEligibleClaimantreceivedcoveragefromPostͲSpillEmployerInsurancePlanCoverageasof thedateoftheterminationoftheEligibleClaimant’sPreͲSpillInsurancePlanCoverage,theclaimantwillnothave sufferedacompensablelossandwillthereforenotreceivecompensation.

b. Theearlierof(i)theeffectivedateofanyNewEmployerRetirementBenefits,or(ii) December31,2011.

TheEligibleClaimant’sRetirementBenefitLossesshallbedeterminedasfollows:

1. Step1:EstablishDailyRetirementBenefitsRate(s)

a.
IftheEligibleClaimant’sPreͲSpillRetirementBenefitswereeliminatedasdescribed above,calculatethePreͲSpillDailyRetirementBenefitsRatebydividing(i)by(ii),as describedbelow:
i. ThetotalvestedportionofthePreͲSpillRetirementBenefitscontributedon behalfoftheEligibleClaimantbythePreͲSpillBenefitͲProvidingEmployer betweenthelaterofMay1,2009orthecommencementdateoftheEligible Claimant’semploymentwiththePreͲSpillBenefitͲProvidingEmployer,andthe documenteddateonwhichthePreͲSpillRetirementBenefitswerereducedor terminated,by
ii. Thetotalnumberofdaysinthatperiod.
b.
IftheEligibleClaimant’sPreͲSpillRetirementBenefitswerereduced,then:
i. IftherewasnopostͲDWHSpillPlanChange,thePreͲSpillRetirementBenefits Ratecalculatedin(a)abovewillapplyforallrelevantperiods;or ii. IftherewasapostͲDWHSpillPlanChange,then:
  1. ThePreͲSpillDailyRetirementBenefitsRatecalculatedasin(a)above willapplyfortherelevantperiodpriortothePlanChange,and
  2. FortherelevantperiodafterthePlanChange,the“RevisedDaily RetirementBenefitsRate”willbetheexpecteddailyratebasedonthe PreͲSpillBenefitProvidingEmployer’srevisedcontributionterms relativetotheEligibleClaimant’spreͲDWHSpillearnings.
c.
IftheEligibleClaimantwasaNewEntranttoEmployment,theNewEntrant RetirementBenefitsRate”willbecalculatedasthePreͲSpillBenefitProviding Employer’sexpectedaveragedailycontributiononbehalfoftheEligibleClaimantbased ondocumentsprovidedbytheEligibleClaimant.



2. Step2:CalculateExpectedPostͲSpillRetirementBenefits

a.
IftheEligibleClaimant’sPreͲSpillRetirementBenefitswereeliminatedasdescribed above,theEligibleClaimant’semployerͲfundedretirementbenefitsexpectedinthe absenceoftheDWHSpill(“ExpectedPostͲSpillRetirementBenefits”)arecalculatedby multiplyingthePreͲSpillDailyRetirementBenefitsRatecalculatedin(1)bythetotal numberofdaysbetween:
i. TheterminationoftheEligibleClaimant’sPreͲSpillRetirementBenefits,and
ii. Theearlierof(i)theeffectivedateofanyNewEmployerRetirementBenefits, or(ii)December31,2011.
b.
IftheEligibleClaimant’sPreͲSpillRetirementBenefitswerereducedratherthan eliminated,then:
i. IftherewasnopostͲDWHSpillPlanChange,theEligibleClaimant’sExpected PostͲSpillRetirementBenefitsshallcalculatedasin(a)above. ii. IftherewasapostͲDWHSpillPlanChange,theEligibleClaimant’sExpected PostͲSpillRetirementBenefitsshallbecalculatedasthesumofthefollowing:
  1. ThePreͲSpillDailyRetirementBenefitsRateshallbemultipliedbythe numberofdaysbetween(i)theEligibleClaimant’spostͲDWHSpill reductioninPreͲSpillRetirementBenefits,and(ii)thedocumented changeinthetermsofthePreͲSpillBenefitProvidingEmployer’s retirementcontributions;and
    1. TheRevisedDailyRetirementBenefitsRateshallbemultipliedbythe numberofdaysbetween:
      1. TheeffectivedateofthePreͲSpillBenefitProvidingEmployer’s postͲDWHSpillPlanChange;and
      2. Theearlierof(i)theeffectivedateofanyNewEmployer RetirementBenefits,or(ii)December31,2011.
c.
IftheEligibleClaimantwasaNewEntranttoEmployment,theEligibleClaimant’s ExpectedPostͲSpillRetirementBenefitsarecalculatedbymultiplyingtheNewEntrant RetirementBenefitsRatecalculatedinsubpart(c)ofStep1abovebythetotalnumber ofdaysbetween:

i. ThedateonwhichtheEligibleClaimant’svestedPreͲSpillRetirementBenefits wouldhavebegunabsenttheDWHSpill,orthedateonwhichthereduced benefitsactuallybegan,and

ii. Theearlierof(i)theeffectivedateofanyNewEmployerRetirementBenefits,

or(ii)December31,2011. 

3. Step3:CalculateEligibleClaimant’sRetirementBenefitLosses

a.
IftheEligibleClaimant’sPreͲSpillRetirementBenefitswereterminatedasaresultof theDWHSpill,theEligibleClaimant’sRetirementBenefitLossesshallbeequaltothe ExpectedPostͲSpillRetirementBenefits;or
b.
IftheEligibleClaimant’sPreͲSpillRetirementBenefitswerereducedasaresultofthe DWHSpill,theEligibleClaimant’sRetirementBenefitLossesshallbeequaltothe differencebetweenExpectedPostͲSpillRetirementBenefitsandtheEligibleClaimant’s ActualPostͲSpillRetirementBenefitsforthesameperiod.
c.
IftheEligibleClaimantwasaNewEntranttoEmployment,theEligibleClaimant’s RetirementBenefitLossesshallbeequaltotheExpectedPostͲSpillRetirement Benefitscalculatedinsubpart(c)ofStep2.

NoRTPwillbeappliedtoanycalculatedRetirementBenefitLosses.



EXHIBIT 8D

Addendum to Individual Framework

I. Individual Periodic Vendors (“IPV”)1

A. Eligibility

An IPV is a Natural Person claiming economic loss during a period in May through December 2010 who satisfies all of the following criteria:

  1. Regularly sold at retail during 2009 and 2010 any of the legal food, souvenir, art, tourist-related or water-related goods or services listed in Attachment A or substantially equivalent items (“Covered Sales”) to CONSUMERS in Zones A, B or C during May through December 2009 and/or May through December 2010.
  2. Made such Covered Sales, primarily to non-local CONSUMERS,2 except that water-related Covered Sales, need not be primarily made to non-local CONSUMERS.
  3. Did not maintain a permanent business location in a building at which the claimant made Covered Sales.
  4. Held any licenses required by law.
  5. Was not employed by an employer in connection with such Covered Sales.
  6. Does not have Tax Information Documents sufficient to support a claim under the Business Compensation Framework for this claimed loss.

B. Causation

1. Causation shall be presumed for claimed losses associated with lost Covered Sales in Zones A and B. If the claimant alleges lost Covered Sales in Zone C, the claimant must provide either:

a. Documents establishing a decline of 5% or more in net earnings from the claimant’s Covered Sales in Zone C during the claimant-selected period of 3 consecutive months or more during May through December 2010 (“Compensation Period”), compared to the same 3 or more consecutive month period in 2009; OR

1

This section is not intended to compensate losses associated with vendors who do not qualify for compensation pursuant to Sections I – V and whose claimed losses relate to income from Festivals (as defined herein). Festival-related losses are addressed in a separate section of this document. Claimants may, however, file separate claims for compensation associated with Festival-related losses and IPV-related losses, as applicable.

2

CONSUMER shall have the meaning in the Economic and Property Damages Settlement Agreement. A CONSUMER shall be considered a “non-local CONSUMER” if they reside more than 60 miles from the location at which claimant made the Covered Sale.

b. A statement from an Adjacent Business as defined in Section I(C)4(e) below, that the Adjacent Business experienced a decline in sales to non-local CONSUMERS during May through December 2010 compared to May through December 2009 due to or resulting from the DWH Spill.

C. Documentation Requirements

An IPV under this Section must provide the documents indicated below:

1. Records Regarding Covered Sales

a.
Documents regarding the IPV’s Covered Sales in Zones A, B or C to CONSUMERS, including non-local CONSUMERS, from May through December 2009 and May through December 2010. The information must be sufficient for the Claims Administrator to determine that the IPV was in the business of regularly making such Covered Sales prior to April 20, 2010, and includes all information regarding the IPV’s revenues from Covered Sales from May through December 2009 and May through December 2010, as well as corresponding expenses. Such documentation could include, but is not limited to, the following:
i. Sales logs, sales tax receipts, cash receipts registers, credit card registers, bank statements or other contemporaneous records; and/or
ii. Receipts from third-party vendors or other sources related to the purchase of materials or equipment related to the Covered Sales; and/or iii. Documents establishing any wages paid to employees or amounts paid to other individuals who assisted in making the Covered Sales, or any other expenses incurred in connection with the Covered Sales.
b.
Photographs and other documentation (including but not limited to news articles, sales flyers or advertisements) reflecting (i) the goods or services sold in Covered Sales by the IPV, (ii) the location(s) at which the IPV sold the goods or services (including any documents providing information regarding an Adjacent Business), (iii) the prices charged for Covered Sales of goods or services, and/or other product information, and (iv) any biographical or other background information on the IPV selling the goods or services. The IPV shall also provide the date(s) of any photographs and the locations depicted. If the exact date is not available, the IPV may provide the month, or range of months, and year.
c.
Documents establishing the IPV’s total earned income from Covered Sales (net of all variable expenses) for May through December 2009 and May through December 2010.
d.
Any available documents showing that the IPV made Covered Sales to non-local CONSUMERS in each period, with supporting information and/or documentation sufficient to permit the Claims Administrator to reasonably conclude that the IPV made sales to non-local CONSUMERS in each period.
i. For IPVs selling in Zones A and B, sales to non-local CONSUMERS shall be presumed. ii. For Covered Sales in Zone C, the IPV may provide IPV’s receipts reflecting purchasers’ addresses, and/or documentation establishing that the Covered Sales were made on an interstate highway or other highway in Zone C or in an area generally visited by Tourist such as a museum, zoo, or historic site.
e.
Documents identifying by name, address and telephone number any employee in connection with the Covered Sales of claimant during 2009 or 2010.

2. Licensing Documentation: If a government-issued license/permit was required to make any Covered Sales, IPV shall provide a copy of valid 2009 and 2010 licenses,3 or evidence such existed, such as:

3. IPV Employability Documentation4: The IPV must provide both:

To the extent a state or municipality or other governmental agency agrees to provide the Claims Administrator with access to any official database sufficient for the Claims Administrator to confirm the claimant possessed a valid 2009 and 2010 license, the Claims Administrator need not require from the claimant a copy of the valid license. Rather, the Claims Administrator is authorized to accept from the claimant the license number as sufficient to satisfy this subpart, and the Claims Administrator will use the database to confirm claimant’s license is valid.

a. A copy of a Social Security card, government issued identification, temporary worker visa, or green card that was valid as of April 20, 2010 or verification of existence of at least one such document from a public database providing the same information as would be provided from the original document;

AND

b. Evidence that the IPV was at least 16 years of age as of April 20, 2010. Acceptable evidence includes a copy of a valid driver’s license, a valid passport, or the IPV’s birth certificate, other government issued identification indicating date of birth, or verification of existence of at least one such document from a public database providing the same information as would be provided from the original document.

4. IPV Sworn Written Statement: The IPV must submit a Sworn Written Statement that sets forth all of the following:

a.
Verification that the IPV does not have available, and is not able to provide, Tax Information Documents sufficient to support a claim as a business under the Business Compensation Framework for the claimant Covered Sales.
b.
A description of the Covered Sales made by the IPV, including a description of the relevant goods or services sold by the IPV.
c.
A statement that (i) the IPV possessed and has attached copies of all required licenses as set forth in section IC.2., or (ii) the reason no such license(s) were required.
d.
A statement that all available documentation regarding revenue and expenses related to Covered Sales during the periods (i) May through December 2009 and (ii) May through December 2010 that the IPV possesses or has access to has been provided in support of the claim.
e.
The name, address, telephone number and a brief description of at least one business satisfying the Tourism definition and located on a parcel of property with a boundary within 100 yards of any location at which the IPV made or arranged for Covered Sales (“Adjacent Business”), and a Sworn Written Statement from an owner or employee of such business

To the extent the state or federal government agrees to provide the Claims Administrator with access to any official database sufficient for the Claims Administrator to confirm that a claimant possessed valid documentation of the type required in subparts 3(a) and 3(b). The Claims Administrator may not require from the claimant a copy of the requested document. Rather, the Claims Administrator is authorized to accept from the claimant the relevant government issued number as sufficient to satisfy this subpart 3, and the Claims Administrator shall utilize the database to confirm the claimant’s government issued numbered is valid.

in support of the claim. If no such Adjacent Business exists, the IPV shall so state.

f.
To the extent the IPV is not able to provide documents demonstrating the revenue associated with Covered Sales, the IPV should estimate the Covered Sales revenues in each of Zone A, B or C for both May through December 2009 and May through December 2010, and explain the basis for the estimates provided (e.g., “Sold __ bags of peanuts at ___ per unit”). To the extent documentation exists in support of the earned income estimate (or components thereof), copies of such documentation must be provided.
g.
To the extent the IPV is not able to provide documents demonstrating the expenses associated with the Covered Sales, the IPV should provide
(i) a description of any materials purchased by the IPV in connection with making the Covered Sales, including the name and address of the provider of the materials, and the estimated costs of such materials in total and/or for each good or service sold in Covered Sales, (ii) an estimate of any wages paid to employees or amounts paid to other individuals who assisted in making the Covered Sales and an identification of the period to which such payments relate, and (iii) a description and estimate of any other expenses incurred in connection with the Covered Sales.
h.
A description of any cash or in-kind payments made by the IPV in 2009, 2010 and/or 2011 to an Adjacent Business in consideration of such Adjacent Business permitting or facilitating IPV’s Covered Sales.
i.
An explanation sufficient to permit the Claims Administrator to determine that any reduction of IPV’s net earnings from Covered Sales from May through December 2010 compared to prior periods was due to or resulting from the DWH Spill.

5. Adjacent Business Sworn Written Statement:

The IPV must procure and submit a Sworn Written Statement from an owner or employee of an Adjacent Business(es) (“Adjacent Business Affiant”), setting forth the following:

a.
The name, address, telephone number of the Adjacent Business Affiant and relationship to the Adjacent Business; and
b.
The business name, address(es), telephone number(s), and website(s) of the Adjacent Business, and a description of the nature of the business; and
c.
A description of any cash or other payments made by the IPV in 2009, 2010 and/or 2011 to the Adjacent Business in consideration of such Adjacent Business permitting or facilitating the IPV’s sales; and
d.
A statement setting forth the dates and other information regarding the IPV’s Covered Sales witnessed by the Adjacent Business Affiant – e.g., “I observed IPV selling _____ [TYPE OF GOODS OR SERVICES] at [LOCATION] during approximately [DAYS OR WEEKS] during [PRE-SPILL PERIOD] and I observed the IPV selling _____ [TYPE OF GOODS OR SERVICES at [LOCATION] during approximately [DAYS OR WEEKS] during [the Compensation Period].” If the IPV made Covered Sales in multiple locations during the pre-DWH Spill period, and wishes to rely upon all of those sales, the IPV should submit an Adjacent Business Sworn Written Statement with respect to each such location; and
e.
For an IPV alleging losses in Zone C who does not submit documentation establishing a decline of 5% or more in net earnings from Covered Sales in Zone C during the Compensation Period, compared to the same 3 or more consecutive month period in 2009, then the Adjacent Business Affiant must set forth the following additional information:

5

i. A statement from the Adjacent Business Affiant that the Adjacent Business experienced a decline in sales to non-local CONSUMERS during the same three or more consecutive months in May through December 2010 compared to the same three or more consecutive months in May through December 2009;

ii. A description of the amount and time period of such decline, the Adjacent Business Affiant’s basis for such statements; and

iii. An explanation of how the decline was due to or resulting from the DWH Spill.

D. Compensation Calculation

Consistent with the Causation provisions of Section B.1., the Claims Administrator shall evaluate the sufficiency and reliability of information provided by IPV and the supporting Adjacent Business Affiant(s), including the sworn claim form, Sworn Written statements, interviews (if any) and/or any supplemental information the Claims Administrator may require, to determine whether (i) the IPV engaged in Covered Sales to non-local CONSUMERS and such non-local Covered Sales declined in the Compensation Period and/or (ii) the IPV experienced any other decline in Covered Sales due to or resulting from the DWH Spill. Compensation may be awarded where the Claims Administrator determines that causation has been established based upon the above-described information as well as sufficient documentation for the Claims Administrator to determine that the Covered Sales identified by the claimant occurred during the periods indicated (“Sufficient Documentation”). Examples of such Sufficient Documentation include:

  1. A summary spreadsheet with accompanying supporting schedules reflecting the total revenues and total expenses associated with Covered Sales; or
  2. Documents from persons or entities unrelated to the claimant that reflect the total revenues and total expenses associated with Covered Sales.

6

The IPV Earnings from Covered Sales shall be calculated as the difference between a) the IPV’s total revenues less corresponding total expenses related to Covered Sales for any claimant selected Compensation Period of three or more consecutive months between May 1 and December 31, 2010, and b) the same months in 2009.

The IPV’s Lost Earnings shall be calculated as the IPV Earnings from Covered Sales for the Base Period minus the IPV Earnings from Covered Sales for the Compensation Period.

The IPV’s Compensation Amount shall be equal to the lesser of the IPV’s Lost Earnings or $12,000. An RTP of 1 shall be applicable.

If the Claims Administrator has reason to question the reliability of the information provided or if the Claims Administrator feels that the information supplied is insufficient for a determination of the IPV’s loss to be made under this Section I, then the Claims Administrator may request an interview of the IPV and/or the Adjacent Business Affiant(s) consistent with the Interview Procedures set forth in the Addendum Regarding Interviews of Claimants Alleging Individual Economic Loss.5

The Claims Administrator shall determine the Final Compensation Amount based on the information provided by the IPV and the supporting Adjacent Business Affiant(s), including the sworn claim form, affidavits, interviews, any supplemental information the Claims Administrator may require the IPV to provide to support the claim, and/or any other information the Claims Administrator may determine to be relevant and reliable. The Claims Administrator may rely on his credibility and reliability determinations in determining the Final Compensation amount, if any, to be provided to the IPV.

II. FESTIVAL VENDORS6

A. Eligibility

A “Canceled Festival” is a Festival that occurred at any time from May through December 2009 and was originally scheduled to occur at any time between May through December 2010, but was canceled after April 20, 2010 as a result of the DWH Spill.

5

Nothing in this Individual Economic Loss Framework shall in any way limit the right and obligation of the Claims Administrator to investigate fully all suspicions of fraudulent conduct by or on behalf of any claimant, including but not limited to conducting any interviews and obtaining any documents the Claims Administrator deems necessary.

6

For purposes of this document, IPVs and Festival Vendors are considered to be separate claimants, but nothing precludes a claimant from making a claim both as a IPV and as a Festival Vendor.

6

The Parties shall seek a Court Order authorizing them to obtain from relevant state and local authorities information regarding examples of Festivals that may be presented at the Fairness Hearing.

A “Festival” includes organized street festivals, tournaments or major sporting events, outdoor art exhibitions, carnivals or other similar events of the type set forth in Attachment B held in Zone A, B or C at any time during May through December 2009 and/or May through December 2010.

Festival Sales” are legal sales of items defined as Covered Sales made at retail at Festivals.

A “Replacement Festival” includes any organized street festival, tournament or major sporting event, outdoor art exhibition, carnival or other similar event of the type set forth in Attachment B, regardless of where that event was held, in which the claimant participated between May and December 2010 in lieu of a Canceled Festival.

Replacement Festival Sales” are legal sales of items defined as Covered Sales made at retail at Replacement Festivals.

A claimant must be an eligible Festival Vendor to qualify for compensation pursuant to this Section II. A “Festival Vendor” (also referred to herein as “claimant”) is a Natural Person claiming economic loss for a period in May through December 2010 who satisfied all of the following criteria below:

  1. Regularly made Festival Sales prior to April 20, 2010; and
  2. Held any and all licenses and/or permits required by law; and
  3. Was not employed by an employer in connection with such sales; and
  4. Does not have Tax Information Documents sufficient to support a claim under the Business Compensation Framework; and
  5. Claims a loss of revenue and earnings related to a Festival in which the Festival Vendor participated or would have participated absent the DWH Spill.

B. Causation

  1. Causation shall be presumed for claimed losses associated with Festival Sales in Zones A and B.
  2. If the claimant alleges lost eligible Festival Sales in Zone C, the claimant must provide all of the following:
a.
A Festival Vendor Sworn Written Statement that includes the information required in Section I(C)5(g); and
b.
Certain relevant documentation specified herein; and
c.
A Festival Coordinator Sworn Written Statement by a Festival Coordinator of each Festival at which the Festival Vendor planned to, or did, make Festival Sales. The terms Festival Coordinator Sworn

Written Statement and Festival Coordinator are defined in Sections II(C)5 below.

C. Documentation Requirements

A Festival Vendor under this Section must provide the documents indicated below:

1. Records Regarding Festival Sales

a.
Documents regarding the Festival Vendor’s Festival Sales, from both May through December 2009 and May through December 2010, and for any Replacement Festival Sales from May through December 2010. The information must be sufficient for the Claims Administrator to determine that the Festival Vendor was in the business of regularly making Festival Sales prior to April 20, 2010, and includes all information regarding the Festival Vendor’s revenues and expenses from Festival Sales from May through December 2009 and May through December 2010, and for Replacement Festival Sales from May through December 2010. Such documentation could include, but is not limited to, the following:
i. Sales logs, sales tax receipts, cash receipts registers, credit card registers, bank statements or other contemporaneous records; and/or
ii. Receipts from vendors or other sources related to product costs, material purchases, and/or equipment purchases related to the Festival Sales and Replacement Festival Sales; and/or iii. Documents establishing any wages paid to employees or amounts paid to other individuals who assisted in making the Festival Sales or Replacement Festival Sales, or any other expenses incurred in connection with the Festival Sales or Replacement Festival Sales.
b.
Documents evidencing participation in any and all Festivals during the period May through December 2009 and May through December 2010, and all Replacement Festivals from May through December 2010, including but not limited to (i) records of payment made by Festival Vendor to participate in each Festival or Replacement Festival, if applicable, and (ii) entry or registration forms, or other documents showing all booth or stall assignments, if applicable.
c.
If applicable, documents evidencing Festival Vendor’s intended participation in a Canceled Festival, including but not limited to (i) records of payment made by Festival Vendor to participate in each Festival and returned due to the Canceled Festival being canceled, and

(ii) entry or registration forms, or other documents showing all booth or stall assignments, and (iii) any documents notifying the Festival Vendor that the Canceled Festival was canceled. The Festival Vendor shall also

9

identify any Replacement Festival in which the Festival Vendor participated and the corresponding Canceled Festival. If the Festival Vendor did not participate in any Replacement Festivals, the Festival Vendor should so state.

d. Documents identifying by name, address and telephone number any employee in connection with the Festival Sales or Replacement Festival Sales of claimant during 2009 or 2010.

2. Licensing Documentation7: If a government-issued license/permit was required to make any Festival Sales or Replacement Festival Sales, Festival Vendor shall provide a copy of valid 2009 and 2010 licenses, such as:

3. Festival Vendor’s Employability Documentation8: The Festival Vendor must provide both:

a. A copy of a Social Security card, government issued identification or card, temporary worker visa, or green card that was valid as of April 20, 2010 or a verification of existence of at least one such document from a public database providing the same information as would be provided from the original document;

7

To the extent a state or municipality or other governmental agency agrees to provide the Claims Administrator with access to any official database sufficient for the Claims Administrator to confirm the claimant possessed a valid 2009 and 2010 license, the Claims Administrator need not require from the claimant a copy of the valid license. Rather, the Claims Administrator is authorized to accept from the claimant the license number as sufficient to satisfy this subpart, and the Claims Administrator will use the database to confirm claimant’s license is valid.

8

To the extent the state or federal government agrees to provide the Claims Administrator with access to any official database sufficient for the Claims Administrator to confirm that a claimant possessed valid documentation of the type required in subparts 3(a) and 3(b). The Claims Administrator may not require from the claimant a copy of the requested document. Rather, the Claims Administrator is authorized to accept from the claimant the relevant government issued number as sufficient to satisfy this subpart 3, and the Claims Administrator shall utilize the database to confirm the claimant’s government issued numbered is valid.

AND

b. Evidence that the Festival Vendor was at least 16 years of age as of April 20, 2010. Acceptable evidence includes a copy of a valid driver’s license, a valid passport, or a copy of the Festival Vendor’s birth certificate or verification of existence of at least one such document from a public database providing the same information as would be provided from the original document.

4. Festival Vendor Sworn Written Statement: The Festival Vendor must submit a

Festival Vendor Sworn Written Statement setting forth all of the items below:

a. Verification that the Festival Vendor does not have available, and is not
able to provide, Tax Information Documents sufficient to support a
claim as a business under the Business Compensation Framework.
b. A description of the Festival Sales and Replacement Festival Sales,
made by the Festival Vendor, including a description of the relevant
goods or services sold by the Festival Vendor.
c. A statement that (i) the Festival Vendor possessed and has attached
copies of all required licenses and/or permits as set forth in Section
II(C)2, or (ii) that no such license(s) were required.
d. A statement that all available receipts or records of Festival Sales
and/or Replacement Festival Sales from (i) May through December
2009 and (ii) May through December 2010 that Festival Vendor
possesses or has access to have been provided in support of the claim.
e. A list of each Festival and Replacement Festival in which the Festival
Vendor participated as a vendor in 2009 and 2010, and each Canceled
Festival. The Festival Vendor must also provide the following in writing,
as well as the supporting documentation identified above:
i. the name, date(s) and location(s) of each Festival, or
Replacement Festival, and, for Canceled Festivals, the name
and originally planned date(s) and location(s);
ii. the name, address, business telephone number, and a brief
description of any sponsor or organizer of each Festival,
Canceled Festival and Replacement Festival;
iii. a description of all fees paid in connection with participation or
exhibition in each Festival, Canceled Festival or Replacement
Festival; and
iv. for each Festival or Replacement Festival, a statement that
provides all booth or stall assignments, records of payment
made by Festival Vendor to participate in each Festival or
11

Replacement Festival, and sales tax receipts obtained by the Festival Vendor in connection with their participation.

f.
To the extent the Festival Vendor is unable to provide documents demonstrating the revenue associated with Festival Sales and/or Replacement Festival Sales, the Festival Vendor should estimate the revenue from Festival Sales for both May through December 2009 and May through December 2010 and for Replacement Festival Sales from May through December 2010, and explain the basis for the estimates provided (e.g., “Sold __ bags of peanuts at ___ per unit”). To the extent documentation exists in support of the earned income estimate (or components thereof), provide copies of such documentation.
g.
To the extent the Festival Vendor is not able to provide documents demonstrating all expenses associated with the Festival Sales or Replacement Festival Sales, the Festival Vendor should provide a description of any materials purchased by Festival Vendor in connection with making the Festival Sales or Replacement Festival Sales, including the name and address of the provider of the materials, the actual or estimated costs of such materials in total and/or for each good or service item sold.
h.
An explanation sufficient to permit the Claims Administrator to determine that any reduction of Festival Vendor Earnings from Festival Sales or Replacement Festival Sales in May through December 2010 compared to Festival Vendor Earnings from the same Festivals (and any Festivals canceled in 2010 due to the DWH Spill) was due to or resulting from the DWH Spill, where “Festival Vendor Earnings” shall be calculated as the Festival Vendor’s total revenues less total expenses associated with Festival Sales.

5. Festival Coordinator Sworn Written Statement(s): A Sworn Written Statement from an individual representing the entity or committee responsible for organizing the Festival (“Festival Coordinator”) for each Festival, Canceled Festival or Replacement Festival for which loss is claimed setting forth all of the following:9

a.
The name, address, telephone number of the Festival Coordinator affiant.
b.
The name, date and location of each Festival or Replacement Festival for which the affiant served as a Festival Coordinator and in which the Festival Vendor applied to participate, and the name, address and

If the Festival Coordinator is willing to provide at one time information identified in subparts 5(c), 5(d) and 5(e) for all Festival Vendors at one time, then a single Festival Coordinator Sworn Written Statement shall be sufficient for all claims by Festival Vendors. Alternatively, the Festival Coordinator may prefer to provide separate Festival Coordinator Sworn Written Statements for each Festival Vendor containing the information required in subparts 5(c), 5(d) and 5(e), and this shall likewise be acceptable.

business telephone number of any sponsor or organizer of each such Festival, Canceled Festival or Replacement Festival.

c.
Identification of each Festival or Replacement Festival in which the Festival Vendor (i) submitted an application, and (ii) paid a deposit or fee, and (iii) either (a) participated, or (b) did not participate because it was a Canceled Festival. If the Festival Coordinator is providing information regarding a Canceled Festival that was canceled after April 20, 2010, and therefore (i) no application was submitted by the Festival Vendor, and/or (ii) no deposit or fee was paid by the Festival Vendor for the Canceled Festival, the Festival Coordinator need only provide the requested information regarding the Festival Vendor’s participation in the same Festival in prior periods, as well as any information available to the Festival Coordinator regarding the Festival Vendor’s expected participation in the Canceled Festival.
d.
Copies of any application, or record of deposit or fee or notice of cancellation identified in (c) above.
e.
Any applicable permit required to hold any Festival or Replacement Festival, and, if available, any Canceled Festival, in which the Festival Vendor applied to participate.
f.
Attendance data (or an estimate) for each Festival in which the Festival Vendor participated and, if the same Festival was held in a prior year, attendance data (or an estimate) for the nearest prior year or period prior to the DWH Spill.
g.
Only if the Festival is located in Zone C, the Festival Coordinator must also set forth that the Festival was a Canceled Festival or experienced a decline in attendance, compared to either the prior year or projected attendance, due to or resulting from the DWH Spill. The Festival Coordinator must include (i) a statement describing the reasons for the cancellation or the amount of decline, and the affiant’s basis for such statements, and (ii) a statement that the Festival Coordinator affiant believes that the cancellation of a Canceled Festival, or the decline in attendance at a Festival during the period May 1 through December 31, 2010 was due to or resulting from the DWH Spill.

6. Sponsor Sworn Written Statement: If no Festival Coordinator affiant is available, submit a Sworn Written Statement from another person other than a relative who has personal knowledge of the Festival Vendor’s participation in a Festival or non-participation in a Canceled Festival (including but not limited to a customer, fellow Festival Vendor, or operator of a business located within 100 feet of the Festival Vendor’s sales location at the Festival), providing details regarding the Festival or Canceled Festival and the Festival Vendor’s relationship to such Sponsor that shall set forth all of the following:

a.
Name, address, phone and e-mail of the Sponsor.
b.
Basis for the personal knowledge.
c.
Description of the Festival or Canceled Festival.
d.
Information regarding the Festival Vendor’s participation in the Festival (including date(s), location(s) and the description of the Festival Sales, if applicable).
e.
Information regarding Canceled Festival in which the Festival Vendor was scheduled and registered to participate (including date(s), location(s) and the description of the Festival Sales, if applicable) but did not participate because it was a Canceled Festival, and how the cancellation was due to or resulting from the DWH Spill.

7. The Claims Administrator shall evaluate the sufficiency and reliability of information provided by Festival Vendor and the supporting Festival Coordinator affiant(s), including the sworn claim form, the Festival Vendor Sworn Written Statement, the Festival Coordinator Sworn Written Statement(s), the Sponsor Sworn Written Statement(s) and/or any supplemental information the Claims Administrator may require, to determine whether (i) Festival Vendor engaged in Festival Sales and (ii) such sales declined in the period May through December 2010.

D. Compensation Calculation

Where the Claims Administrator determines that causation has been established based upon (i) the Zone, or (ii) the Festival Vendor Sworn Written Statement and either (a) Festival Coordinator Sworn Written Statement(s) or (b) Sponsor Sworn Written Statement(s), as well as other documentation, a Festival Vendor relying on this Section II may receive compensation as follows:

1. Festival Vendors with Documentation Establishing Loss of Earnings from Festivals

a. Step 1: Specify Festivals or Canceled Festivals for which claimant incurred economic loss related to the DWH Spill.

The Festival Vendor will be eligible for compensation for losses associated with each Eligible Festival. An “Eligible Festival” shall be defined as a Festival or Canceled Festival that satisfies all of the following criteria:

i. The Festival Vendor must demonstrate losses associated with the Festival.

ii. The Festival must have taken place (or for a Canceled Festival, must have been originally scheduled to take place) between May 1, 2010 and December 31, 2010.

14

iii. Claimant must have participated in the Festival in 2010, or, for Canceled Festivals, the claimant must provide documents establishing the cancellation, and that the claimant participated in same Festival in 2009.

iv. Documentation (including Festival Coordinator Sworn Written Statement(s)) must be sufficient to establish loss.

b.
Step 2: Determine Festival Vendor Earnings in May through December 2009 from Eligible Festivals identified in Step 1.
c.
Step 3: Determine Festival Vendor Earnings from Eligible Festival(s) or Replacement Festival(s) in May through December 2010.
d.
Step 4: Calculate Festival Vendor Lost Earnings

Festival Vendor Lost Earnings will be calculated as the difference between Festival Vendor Earnings from Eligible Festival(s) from May through December 2009 (determined in Step 2) less Festival Vendor Earnings from Eligible Festival(s) or Replacement Festival(s) from May through December 2010 (determined in Step 3).

Total Festival Vendor Lost Earnings may not exceed $12,000. An RTP of an amount agreed upon by the arties not to exceed 1 shall be applicable.

2. Festival Vendor Without Sufficient Documentation Of Earnings From Festival Sales Who Relies On Festival Coordinator Sworn Statements.

For a Festival Vendor without documentation sufficient to demonstrate and calculate Festival Vendor Earnings from Eligible Festival(s), and who relies on a Sworn Written Statement(s) by a Festival Coordinator, such Festival Vendor will be compensated up to $10,000, based upon the Claims Administrator’s assessment of the credibility and reliability of the information provided by the Festival Vendor in support of the claim (including financial performance, completeness and accuracy of documentation, interview results, and any other relevant information). No RTP shall be applicable.

If the Claims Administrator has reason to question the reliability of the information provided or if the Claims Administrator feels that the information supplied in insufficient for a determination of the Festival Vendor’s loss under this Section II. Then the Claims Administrator may request an interview of the Festival Vendor and/or the Festival Coordinator, consistent with the Interview Procedures set forth in the Addendum Regarding Interviews of Claimants Alleging Economic Loss.

The Claims Administrator shall determine the Final Compensation Amount based on the information provided by the Festival Vendor and the supporting Festival Coordinator affiant(s), including the sworn claim form, the Festival Vendor Sworn Written Statement, the Festival Coordinator Sworn Written Statement(s), the Sponsor Sworn Written Statement(s), interviews and/or any supplemental information the Claims Administrator may require the Festival

15

Vendor to provide to support the claim. The Claims Administrator may rely on his credibility and reliability determinations in determining the Final Compensation Amount, if any, to be provided to the Festival Vendor.

Attachment A

COVERED SALES

  1. Peanuts (boiled or roasted) or popcorn
  2. Hot dogs
  3. Ice Cream
  4. Snow Cones
  5. Tattoos
  6. Snakes
  7. Beads
  8. Fresh fish or shellfish
  9. Jams, jellies and preserves, and other canned fruit and vegetables
  10. Fruit
  11. Small wood carvings such as wood clocks, statues or wall hangings
  12. Shell jewelry
  13. Street artists, caricaturists, or facepainters
  14. Street performers, mimes and magicians
  15. Sellers of clothing specifically promoting the city, beaches or other tourism activities (sports teams, fishing, etc.)
  16. Hair-weaving and braiding (not including cutting and hairdressing)
  17. Shallow Water Divers in portions of the Gulf contained in the Class Definition
  18. Boat Repair Divers in portions of the Gulf contained in the Class Definition
  19. Swamp Boat and Air Boat Operators in portions of the Gulf contained in the Class Definition
  20. Parasail, scuba and snorkel teachers/operators in portions of the Gulf contained in the Class Definition

Expressly excluded from this Framework are Deepwater Divers and any individuals working on an Oil Rig.

Attachment B INCLUDED IN FESTIVALS

  1. Street festivals or fairs (excluding neighborhood block parties or garage sales or flea markets)
  2. Outdoor art exhibitions (same exclusions)
  3. Fishing tournaments
  4. Golf tournaments
  5. Boating tournaments
  6. Rodeos
  7. 4-H competitions
  8. Major college or professional sports events (not including regular season games, local club or K-12 school events)
  9. Carnivals

EXHIBIT 8E

Addendum Regarding Interviews Of Claimants Alleging Individual Economic Loss And Other Individuals Providing Sworn Statements In Support Of Such A Claim

The Parties agree to the following proposed Addendum, which applies where it is referenced in the Framework for Individual Economic Loss Claims, subject to the understanding that it is contingent on the concurrence of the selected Claims Administrator1 that the terms, conditions and deadlines set forth in the addendum are realistic and achievable.

If, after reviewing the Claim Form, and other information submitted by or on behalf of the claimant (collectively, the “Claim Submission”), the Claims Administrator believes there is a reasonable basis to question the credibility and reliability of information in the Claim Submission, the Claims Administrator may interview the claimant and/or any other individual providing a sworn statement in support of the claimant’s claim, in order to resolve any such question regarding reliability. Such interviews may, at the Claims Administrator’s option, be conducted in-person, by telephone or electronically (e.g., via Skype).

  1. Deadline To Conduct Interviews. The Claims Administrator shall use their best efforts to conduct any interview of a claimant, and/or any other individual providing a sworn statement in support of the claimant’s claim, within 45 (forty-five) days of the Claims Administrator’s acknowledgment of a complete Claim Submission, provided that such 45-day limit cannot start to run until after the announced opening of the Class Action Settlement Facility. 2 At the Claimant’s option, the interview period can be extended further; any such extension request by the claimant and agreed-upon extension shall be documented by the Claims Administrator. If at any time the Claims Facility receives and/or has pending a number of claims within Category IV of the Individual Compensation Framework such that the above deadline cannot be met despite the Claims Administrator’s good faith compliance with all of the other provisions of this Addendum , the Claims Administrator will promptly so advise Lead Class Counsel and BP Counsel so that the parties can seek resolution of the issue through the Claims Administration Panel.
  2. Timing And Location Of Interviews. The Claims Administrator shall use their best efforts to arrange to conduct interviews at a time and location convenient to the claimant and/or other interviewee. The claimant may provide the Claims Administrator with reasonable advance notice of convenient times and locations and the Claims Administrator shall seek in good faith to honor such scheduling and location requests.
  3. Interviewing Staff. The Claims Administrator shall use their best efforts to recruit and train a claims staff that is of diverse races, ethnicities, and genders matching the communities served by the Claims Facility and its offices, and who have the cultural background, training and language skills required to interview claimants or other individuals in their native languages, including but not limited to Vietnamese, Khmer, and Native American languages and cultures. To the extent claimants, or other individuals providing a sworn statement in support of claims,

1 As explained in Economic and Property Damages Settlement Agreement §§ 3.3.3 and 3.3.6, the Claims Administrator is responsible for overseeing the Claims Administration Vendors who process claims.

2 The Claims Administrator will determine the opening date of the Claims Facility.

2

and they or their representatives request that any interview be conducted by an individual of the same ethnic background, the Claims Administrator shall endeavor in good faith to comply with that request. If and to the extent the Claims Administrator concludes compliance with this provision are causing significant delay in claims processing, they shall bring the issue to the attention of Lead Class Counsel and BP Counsel so that the parties can seek resolution of the issue through the Claims Administration Panel.

  1. Limitations on interviews. To the extent provisions of the Individual Compensation Framework impose limitations on the number of interviews that may be conducted of claimants in certain categories, or individuals supporting their claims, for purposes of resolving questions of reliability, the Claims Administrator shall comply with such limitations.
  2. The Claims Administrator shall maintain records documenting their compliance with the requirements of this Addendum.
  3. Nothing in this paragraph or in the Individual Compensation Framework is intended, nor shall it be construed, to limit in any way the right and obligation of the Claims Administrator and/or Claims Administrator to investigate fully all suspicions of fraudulent conduct by or on behalf of any claimant, including but not limited to conducting any interviews and obtaining any documents the Claims Administrator deems necessary.

EXHIBIT 9

Framework For Subsistence Claims

A. Eligibility

  1. Only claimants who satisfy the “Subsistence Claimant” definition shall be eligible for compensation pursuant to this Framework for Subsistence Claims.
  2. Subsistence Claimant” shall be defined as follows: (i) a Natural Person who satisfies the Class Definition, (ii) who fishes or hunts to harvest, catch, barter, consume or trade Gulf of Mexico natural resources (including Seafood and Game1), in a traditional or customary manner, to sustain his or her basic personal or family dietary, economic security, shelter, tool, or clothing needs2, and (iii)who relied upon subsistence resources that were diminished or restricted in the geographic region used by the claimant due to or resulting from the DWH Spill.
  3. The Subsistence Claimant definition includes claimants who satisfy the definitions of a Commercial Fisherman and Seafood Crew, provided such claimants satisfy the other elements of the Subsistence Claimant definition and provide the documentation listed below.3
  4. The Subsistence Claimant definition does not include Recreational Fishermen or Recreational Hunters. “Recreational Fishermen” shall be defined as Natural Persons who fish for pleasure or sport. “Recreational Hunters” shall be defined as Natural Persons who hunt for pleasure or sport. The Subsistence Claimant definition does include claimants who hold a Recreational Fishing license, provided such claimants satisfy the other elements of the Subsistence Claimant definition and provide the documentation listed below.

B. Compensation

  1. Identify the time period of loss of subsistence use consistent with the closure or impairment of geographic areas relied upon by the Claimant between April 20, 2010 and December 31, 2011.
  2. Identify the quantity of lost natural resources, including Seafood and Game. This will include quantity of natural resources given to members of Claimant’s extended family unit for their personal consumption or for the purposes of barter. In making the determination, the Claims Administrator must evaluate any lost

1

Game” is defined as nutria, mink, otters, raccoons, muskrats, alligators, and other wetlands and coastal wildlife.

2

This definition is derived from various statutory and regulatory sources (e.g., ANILCA, Coast Guard) revised to reflect the socio-economic realities of the Gulf Coast ethnic, traditional, and customary subsistence communities and individuals.

3

The definitions of Seafood, Commercial Fisherman and Seafood Crew from the Seafood Distribution Chain Definitions document shall apply herein.

earnings claim also submitted by the claimant for compensation under the

Seafood Program to ensure that any in-kind Seafood compensation received by

the claimant is appropriately allocated between the claimant’s lost earnings and

subsistence claims. For example, Seafood sold by the claimant, rather than used

for barter should be allocated toward lost earnings which shall be compensated

through the Seafood Program.

a.
Quantity of lost natural resources will be determined based on information provided by the claimant in intake forms and interviews with the Claims Administrator.
b.
Quantity of lost natural resources will be calculated in, or converted to, measures of consumable retail product by the Claims Administrator.
c.
Quantities of lost natural resources shall not exceed reasonable consumption rates as determined by the Claims Administrator.
  1. Calculate the Total Value of Loss of Subsistence Use of Natural Resources by multiplying the quantity in pounds by average post-spill retail price or, if unavailable, an estimated retail price based on a reasonable proxy. Average post-spill retail prices, and any proxies there for, will be determined the Parties based on, where available, data on retail prices for Gulf of Mexico natural resources, and be subject to approval by the Claims Administration Panel. The Parties shall provide a chart of the approved, mutually agreed-upon prices to the Claims Administrator for use in calculation of Subsistence claims.
  2. Claimant will receive a Risk Transfer Premium (“RTP”) of 2.25, in order to compensate for factors including value of Subsistence use, including damage to subsistence family and community customs and culture.
  3. Claimant’s compensation pursuant to this Framework For Subsistence Claims shall be equal to the sum of (i) the Claimant’s Total Value of Lost Natural Resources calculated in B(3) plus (ii) the Claimant’s Total Value of Lost Natural Resources multiplied by 2.25.

C. Documentation Requirements

The Claimant must provide sufficient information for the Claims Administrator to determine (1) that the claimant satisfies the Subsistence Claimant definition and, (2) the quantity of Gulf of Mexico natural resources from within the Class Definition geographic area lost by the Subsistence Claimant during the time period April 20, 2010 to December 31, 2011. The required documents shall include:

1. The Gulf of Mexico location(s) within the Class Definition geographic area where claimant fished or hunted or utilized Gulf of Mexico natural resources immediately prior to the oil spill.

2

a. Type of documentation: (1) Identification on map and narrative description on claims form; (2) narrative description on claims form of equipment used to fish or hunt; and (3) affidavit verifying location of claimant’s fishing or hunting grounds.

2. The location where the claimant fished or hunted or utilized Gulf of Mexico natural resources between April 20, 2010 and December 31, 2011.

a. Type of documentation: Information provided by claimant on claims form.

3. Length of time that fishing or hunting areas were closed or impaired as a result of the spill.

a. Type of documentation: Information provided by claimant on claims form, to be confirmed by claims facility by reference to closure maps and other relevant reports.

4. Prior to spill, claimant relied upon the fishing or hunting area at issue for subsistence purposes as defined above.

a. Type of documentation: (1) Claimant to specify on claims form number of people in the extended family unit who rely on natural resources caught by the Subsistence Claimant, the specific species and amounts of natural resources relied upon, the percentage of subsistence source that natural resources from closed or impaired areas provided prior to the spill, and (2) a supporting affidavit.4 Following an interview with the claimant, members of the claims administration staff may, at their discretion, require an additional affidavit from a third party or other appropriate supporting information.

5. Copy of state and/or federal commercial or recreational fishing and/or hunting license. Deckhands or others that are not required to possess a fishing license are excused from this requirement.

D. Court-Appointed Distribution Agents Audit Process

BP, the PSC and the Claims Administrator shall jointly propose a Court-Appointed Distribution Agent (“CADA”). Upon approval, the CADA shall work under the direction and supervision of the Claims Administrator. The CADA shall establish a dedicated team to assist Subsistence claimants in completing the claim form and collecting supporting documentation, and will also confirm the eligibility status of the claimants. The CADA will conduct subsistence interviews with claimants and apply the

4 The Parties shall collaborate on a form affidavit for Subsistance Claimants, which shall be subject to approval by the Claims Administrator Panel.

3

compensation formula. The CADA team shall establish a physical presence and a reasonable operating schedule to allow claimants to be interviewed in their geographical area including at Landing Dock locations.

E. Field Visits

There is no pre-set cap on payment amounts for Subsistence claims. However, the CADA will not pay Subsistence claims with a base amount greater than $10,000 per extended family unit without conducting a field visit and investigation as to the accuracy of the claim prior to the payment.

F. RTP

An RTP of 2.25 shall be applied to the base compensation amount.

4

EXHIBIT 10

SEAFOOD COMPENSATION PROGRAM

TABLE OF CONTENTS Page

GENERAL FRAMEWORK AND OVERVIEW OF SEAFOOD COMPENSATION 3
PROGRAM DISTRIBUTION SHRIMP COMPENSATION PLAN 4
Expedited Compensation Method 8
Reduced Expedited Method 13
New Entrant Compensation Method 15
Historical Revenue Method 18
Vessel Lease Compensation Allocation 24
OYSTER COMPENSATION PLAN 25
Oyster Leaseholder Interest Compensation 28
Oyster Leaseholder Lost Income Compensation 29
Oyster Harvester Lost Income Compensation 30
Vessel Lease Compensation Allocation 40
FINFISH COMPENSATION PLAN 41
Historical Revenue Method 44
Compensation for IFQ Quota Holders 49
Vessel Lease Compensation Allocation 50
BLUE CRAB/OTHER SEAFOOD COMPENSATION PLAN 52
Historical Revenue Method 56
Vessel Lease Compensation Allocation 63
SEAFOOD CREW COMPENSATION PLAN 65
Category I Crew Compensation 68
Category II Crew Compensation 70
Category III Crew Compensation 78
SEAFOOD SPILL-PAYMENT REDUCTION PROCEDURES 85

SEAFOOD COMPENSATION PROGRAM OVERVIEW

The Seafood Compensation Program shall cover and compensate Commercial Fishermen, Seafood Boat Captains, all other Seafood Crew, Oyster Leaseholders, and Seafood Vessel Owners for economic loss claims relating to Seafood.1 All economic loss claims by Commercial Fishermen, Seafood Boat Captains, all other Seafood Crew, Oyster Leaseholders, and Seafood Vessel Owners relating to Seafood will be part of and must be brought under the Seafood Compensation Program.2

The Seafood Compensation Program is divided into the following compensation categories and claim types:

TABLE 1

CATEGORY COMPENSABLE CLAIMS
Shrimp Vessel Owner/Commercial Fisherman
Vessel Lessee claims
Boat Captain claims
Oyster Leaseholder Interest claims
Leaseholder Lost Income claims
Vessel Owner/Oyster Harvester Vessel Lessee claims
Boat Captain claims
Finfish Vessel Owner/Commercial Fisherman Vessel Lessee claims
Boat Captain claims Individual Fishing Quota holder claims
Blue Crab/Other Seafood Vessel Owner/Commercial Fisherman Vessel Lessee claims (including crab trap damage)
Boat Captain claims

1

The terms Commercial Fisherman, Seafood Boat Captains, Seafood Crew, Oyster Leaseholders and Seafood Vessel Owners as defined in the “Seafood Distribution Chain Definitions” (Exhibit 3 to the Deepwater Horizon Economic and Property Damages Settlement Agreement) shall apply in this Seafood Compensation Program.

2

To the extent terms herein are defined in the Deepwater Horizon Economic And Property Damages Settlement Agreement, those definitions shall apply in the Seafood Compensation Program. Nevertheless, any term specifically defined within the Seafood Compensation Program, shall be interpreted as set forth in this Seafood Compensation Program, notwithstanding any contrary definition in the Deepwater Horizon Economic And Property Damages Settlement Agreement.

CATEGORY

COMPENSABLE CLAIMS

Seafood Crew (excluding Boat Captains) for

Crew claimants with standard all Seafood industries

documentation

  • Crew claimants with documentation supplied by employer
  • Crew claimants with documentation supplied by non-employers

For each category and compensable claim type, a Claimant will have to establish that the Claimant is a Class Member and meets the separate eligibility requirements defined below. In addition, Claimants are subject to the requirements of the Deepwater Horizon Economic And Property Damages Settlement Agreement and any applicable Court order, except as otherwise modified or provided by the Seafood Compensation Program.

Claimants are able to file a single Seafood Compensation Program Sworn Claim Form seeking compensation for multiple compensable claims. A Claimant filing a claim under the different plan in the Seafood Compensation Program, may be required to use different historical information for the Benchmark Period and must review the definition of Benchmark Period in each plan. For example, the Claimant may use a different Benchmark Period for the Claimant’s claim under the Shrimp Compensation Plan and the Claimant’s claim under the Oyster Compensation Plan. The following provides a non-exhaustive list of examples in which a single claimant might be eligible to receive compensation for multiple compensable claims:

  • A shrimp Vessel Owner/Commercial Fisherman Vessel Lessee who is also a shrimp Boat Captain may be eligible to receive compensation both as a shrimp Vessel Owner/Commercial Fisherman Vessel Lessee and shrimp Boat Captain.
  • An oyster leaseholder may be eligible to receive compensation for both Leaseholder Interest and Leaseholder Lost Income claims. If the oyster leaseholder claimant is also a Vessel Owner/Commercial Fisherman Vessel Lessee and a Boat Captain, that claimant may be eligible to receive compensation as both an oyster Vessel Owner/Commercial Fisherman Vessel Lessee and an oyster Boat Captain.
  • A claimant who is a Boat Captain for vessel(s) in both the blue crab industry and shrimp industry may be eligible to receive compensation under applicable blue crab and shrimp categories.

Seafood Compensation Program Sworn Claim Forms may be submitted at any time after entry of the Preliminary Approval Order, but no later than thirty (30) days from the date of entry of the Final Order and Judgment of the District Court ruling upon final approval of the Settlement (Bar Date). Claims will be processed and paid as expeditiously as possible by the Claims Administrator.

It is expressly acknowledged that the fact that a Claimant has made a claim and/or received compensation under the Seafood Compensation Program, does not preclude that claimant from making an independent claim and/or receiving compensation under the Deepwater Horizon Economic And Property Damages Settlement Agreement.

Compensation received by an eligible Claimant under the Seafood Compensation Program will be reduced by the amount of prior Seafood Spill-Related Payments as described in the Seafood Spill Related Payment Reduction Procedures in this document.3 No other reductions to the compensation amount under the Seafood Compensation Program will be taken, including compensation received for work in the VoO Program or compensation for VoO Damages under the Settlement.

The Seafood Compensation Program shall cover and compensate the economic loss claims for Commercial Fishermen, Seafood Crew, Oyster Leaseholders, and Seafood Vessel Owners. It does not cover subsistence claims.

General Framework and Overview of Seafood Compensation Program Distribution

The Seafood Compensation Program is estimated to result in prompt claims payments totaling more than $1.9 billion representing approximately 83% of the $2.3 billion Seafood Compensation Program Amount. After applying the terms of the Deepwater Horizon Economic And Property Damages Settlement Agreement (including determining the Seafood Compensation Program Amount) and paying the eligible Seafood Compensation Program claims, the Claims Administrator shall determine the amount of funds, if any, constituting the remaining Seafood Compensation Program Amount. In the event there are Seafood Compensation Program Amount funds remaining, such funds will be distributed to claimants that received compensation from the Seafood Compensation Program. The balance will be distributed to each Claimant in proportion to the Claimant’s gross compensation expressed as a share of the gross compensation paid by the Claims Administrator to all claimants under the Seafood Compensation Program.4 Gross compensation reflects compensation paid by the Claims Administrator prior to deduction for Seafood Spill-Related Payments. If, however, the Court-Appointed Neutral determines that a distribution other than purely proportional would be more appropriate in light of the information available at the time of the second distribution, he may recommend to the Court that the second distribution be reallocated in an alternative fashion. Any such reallocation will be subject to court approval.

3

Seafood Spill-Related Payments are defined as compensation paid to a claimant through the OPA Process, by BP, the GCCF, or through the Transition Facility for economic loss claims relating to Seafood.

4

All claimants who receive compensation under the Seafood Compensation Program are entitled to a share of the distribution of the balance whether or not their individual claims have been characterized as “lump sum” or a similar term, and whether or not they are members of Categories II and III of the Seafood Crew Compensation Plan (each of which provides for an Aggregate Compensation Amount, which shall not apply as a limitation to a Claimant’s entitlement to a share of the balance to be distributed).

SHRIMP COMPENSATION PLAN

Generally Applicable Provisions of the Shrimp Compensation Plan:

  1. Eligible Claimants shall be comprised of Class Members (i) who do not fall within the exclusions to the Economic Loss and Property Class Definition, (ii) who are Vessel Owners, Commercial Fishermen who lease Seafood Vessels (Commercial Fisherman Vessel Lessee), and/or Seafood Boat Captains that derive earnings from commercial shrimping and (iii) who meet the additional criteria listed in this Shrimp Compensation Plan.
  2. It is understood that in some instances, the Vessel Owner is also the Commercial Fisherman; however, it may be the case that the Vessel Owner leased the vessel to a Commercial Fisherman. In those instances where the vessel was leased during the time period of April 20, 2010 to December 31, 2010, the Vessel Owner and Commercial Fisherman Vessel Lessee must file the vessel claim jointly in order to receive compensation prior to the Bar Date, and they shall share any Vessel Owner/Commercial Fisherman Vessel Lessee compensation provided for in this Shrimp Compensation Plan. If at the time of the Bar Date either the Vessel Owner or the Commercial Fisherman Vessel Lessee has not filed a claim, the one that has filed the claim shall receive the full Vessel Owner/Commercial Fisherman Vessel Lessee compensation for the vessel. The allocation of compensation between Vessel Owner and Commercial Fisherman Vessel Lessee shall be determined as provided in Section V. If the vessel was not leased to a Commercial Fisherman Vessel Lessee during the time period of April 20, 2010 to December 31, 2010, the Vessel Owner is entitled to the full Vessel Owner/Commercial Fisherman Vessel Lessee compensation for the vessel.
  3. It is understood that in some instances, the Vessel Owner and/or the Commercial Fisherman Vessel Lessee is also the Boat Captain. In those instances where the Vessel Owner and/or the Commercial Fisherman Vessel Lessee were also the Boat Captain, they shall be eligible to receive the Boat Captain compensation portion for the vessel under the Shrimp Compensation Plan as set forth below. If the Vessel Owner and/or Commercial Fisherman Vessel Lessee employed a Boat Captain on the vessel and did not serve as a Boat Captain on that vessel, the hired Boat Captain is eligible for the Boat Captain compensation, not the Vessel Owner or Commercial Fisherman Vessel Lessee.
  4. To establish eligibility to participate in the Shrimp Compensation Plan, a Vessel Owner Claimant must provide for each vessel(s) for which the Claimant is seeking compensation:

A. Proof of ownership of the vessel during the time period of April 20, 2010 to December 31, 2010.

B. Proof that as of April 20, 2010 there was a government license (even if it had expired before that date) that authorized that vessel to commercially fish for shrimp in the Specified Gulf Waters for the 2009 season or the 2010 season. However, a Vessel Owner who did not have such a license for the vessel can participate in the Shrimp Compensation Plan for that vessel if the Claimant can establish the criteria for the New Entrant Compensation Method as described in Section III below.

C. The vessel name and any applicable federal and/or state vessel registration numbers.

D. Proof that either:

  1. the vessel was home ported in the Gulf Coast Areas at any time from April 20, 2010 to April 16, 2012; or,
  2. the vessel landed shrimp in the Gulf Coast Areas at any time from April 20, 2009 to April 16, 2012.

E. A sworn statement attesting as to whether or not the vessel was leased during the time period April 20, 2010 to December 31, 2010. If the vessel was leased during this time period, the Vessel Owner must provide a copy of the lease agreement.

F. A sworn statement attesting as to whether or not the Vessel Owner was the Boat Captain for that vessel during January 1, 2007 through December 31, 2009. If the Vessel Owner was not the sole Boat Captain for that vessel for some portion of January 1, 2007 through December 31, 2009, to the extent possible, the Claimant shall identify all other Boat Captains employed on the vessel and the time periods for which the Boat Captains were employed.

5. To establish eligibility to participate in the Shrimp Compensation Plan, a Commercial Fisherman Vessel Lessee must provide for each vessel for which the claimant seeks compensation:

A. Proof that during the period of April 20, 2010 through December 30, 2010 the Claimant leased the vessel to be used for commercial shrimping.

B. Proof that as of April 20, 2010 there was a government license (even if it had expired before that date) that authorized that vessel to commercially fish for shrimp in the Specified Gulf Waters for the 2009 season or the 2010 season. However, a Commercial Fisherman Vessel Lessee who did not have such a license for the vessel can participate in the Shrimp Compensation Plan for that vessel if the Claimant can establish the criteria for the New Entrant Compensation Method as described in Section III below.

C. The vessel name and any applicable federal and/or state vessel registration identification numbers.

D. Proof that either:

  1. the vessel was home ported in the Gulf Coast Areas at any time from April 20, 2010 to April 16, 2012; or,
  2. the vessel landed shrimp in the Gulf Coast Areas at any time from April 20, 2009 to April 16, 2012.

E. A sworn statement, attesting that the Commercial Fisherman Vessel Lessee leased the vessel during the time period of April 20, 2010 to December 31, 2010. The Commercial Fisherman Vessel Lessee must also provide a copy of the lease agreement for the vessel.

F. A sworn statement attesting as to whether or not the Commercial Fisherman Vessel Lessee was the Boat Captain for that vessel during January 1, 2007 through December 31, 2009. If the Commercial Fisherman Vessel Lessee was not the sole Boat Captain for that vessel for some portion of January 1, 2007 through December 31, 2009, to the extent possible, the Claimant shall identify all other Boat Captains employed on the vessel and the time periods for which the Boat Captains were employed.

    1. To establish eligibility to participate in the Shrimp Compensation Plan a Boat Captain must provide:
    2. A. Proof that as of April 20, 2010 the Boat Captain held a governmental license (even if it had expired before that date) authorizing the Claimant to operate as a Boat Captain and/or to commercially fish for shrimp in the Specified Gulf Waters for the 2009 season or the 2010 season.
    3. B. Proof that either the Boat Captain worked:
      1. on one or more commercial shrimping vessels home ported in the Gulf Coast Areas at any time from April 20, 2010 to April 16, 2012; or,
      2. on one or more commercial shrimping vessels that landed shrimp in the Gulf Coast Areas at any time from April 20, 2009 to April 16, 2012.
  1. A Vessel Owner/Commercial Fisherman Vessel Lessee who does not have either a 2009 or 2010 fishing license or proof of shrimp landings in 2009, 2010 or 2011 can participate in the Shrimp Compensation Program if that Vessel Owner can establish the criteria for the New Entrant Compensation Method as defined in Section III below. Additionally, a Boat Captain who had not previously worked as a Boat Captain for a commercial shrimping vessel in the Gulf Coast Areas and who prior to April 20, 2010 had a written job offer for employment as a Boat Captain on a vessel home ported in the Gulf Coast Areas for the 2010 shrimping season may be able to establish the criteria for the New Entrant Compensation Method as defined in Section III below.
  2. A Sworn Statement attesting whether or not the Claimant received any Seafood Spill-Related Payments. If the Claimant received Seafood Spill-Related Payments, the Claimant shall provide documents5 sufficient to establish the timing, amount and source

When documents are requested in the Seafood Compensation Program, Claimant may provide either legible copies or originals of the documents.

of Seafood Spill-Related Payments, including documents providing the claimant’s BP/GCCF/Transition Facility Claim Number, if applicable, and any corresponding payments.

Shrimp Compensation Plan Definitions:

Benchmark Period6 is selected by the Claimant and can be (i) 2009, (ii) 2008 and 2009, or (iii) 2007, 2008 and 2009. If the Claimant elects to use years 2008 and 2009 or 2007, 2008, and 2009, the annual revenue amounts shall be averaged. In the event the Claims Administrator determines that the Claimant (individual or vessel) did not participate at the same level of effort in shrimp harvesting due to circumstances beyond the Claimant’s control (such as illness, disability or major mechanical failure), the Claims Administrator may at his discretion allow the Claimant to exclude one or more years of the Benchmark Period.

A Vessel Owner or Commercial Fisherman Vessel Lessee must submit separate Vessel Owner/Commercial Fisherman Vessel Lessee claims for each vessel they owned or leased and may select different Benchmark Periods for different vessels.

A Boat Captain’s claim reflects the Claimant’s activities on all vessels, and the Boat Captain must select a single Benchmark Period for the Claimant’s claim.

A Vessel Owner or Commercial Fisherman Vessel Lessee who also submits a Boat Captain claim may select different Benchmark Periods for the Claimant’s Vessel Owner/Commercial Fisherman Vessel Lessee claim and the Claimant’s Boat Captain claim.

Compensation Plan Methods:

There are four methods for a Vessel Owner/Commercial Fisherman Vessel Lessee and/or Boat Captain to be compensated under the Shrimp Compensation Plan. The options are:

  • Expedited Compensation Method
  • Reduced Expedited Compensation Method
  • New Entrant Compensation Method
  • Historical Revenue Method

A Vessel Owner or Commercial Fisherman Vessel Lessee may select different Compensation Plan Methods for different vessels. There is no qualifying revenue level required for the Historical Revenue Method. The qualifying vessel revenue for the Expedited Compensation Method and Reduced Expedited Compensation Method is summarized in the second column of Table 2 and the compensation amount is summarized in the third column. The eligibility, documentation and details of each method are described more fully in Sections I and II below.

For the Seafood Compensation Program, the Benchmark Period is defined independently for each Seafood Compensation Program Plan and is set forth within the specific Plan. Definitions of Benchmark Period in any other frameworks in the Deepwater Horizon Economic And Property Damages Settlement Agreement do not apply in the Seafood Compensation Program.

A Boat Captain must select a single Compensation Method for his claim. There is no qualifying revenue for the Historical Revenue Method. The qualifying vessel revenue for the Expedited Compensation Method and Reduced Expedited Compensation Method must be made based on revenue for a single vessel size and type category (but not necessarily for a single vessel). The qualifying revenue for the Expedited Compensation Method and Reduced Expedited Compensation Method is summarized in the second column of Table 2 and the compensation amount is summarized in the third and fourth columns. The eligibility, documentation and details of each method are described more fully in Sections I and II below.

TABLE 2

Qualifying Vessel Revenue and Compensation for Expedited and Reduced Expedited Methods

Vessel
Owner/Commercial
Qualifying Fisherman Vessel
Vessel Lessee Boat Captain
Vessel Size Revenue Compensation Compensation
Expedited Method:
< 30 feet $32,500 $104,063 $92,813
30 - 44 feet $40,000 $135,281 $107,250
45 - 74 feet (Ice) $90,000 $270,563 $160,875
45 - 74 feet (Freezer) $275,000 $478,688 $284,625
75+ feet (Ice) $225,000 $416,250 $206,250
75+ feet (Freezer) $400,000 $582,750 $288,750
Reduced Expedited Method:
< 30 feet N/A N/A N/A
30 - 44 feet $25,000 $62,438 $49,500
45 - 74 feet (Ice) $50,000 $145,688 $86,625
45 - 74 feet (Freezer) $200,000 $333,000 $198,000
75+ feet (Ice) $150,000 $291,375 $144,375
75+ feet (Freezer) $290,000 $457,875 $226,875

I. Expedited Compensation Method

A. Eligibility Requirements

1. Vessel Owner/Commercial Fisherman Vessel Lessee

In order to qualify for compensation under the Expedited Compensation Method, the Vessel Owner/Commercial Fisherman Vessel Lessee must provide for each vessel:

a.
A copy of the 2009 or 2010 governmental issued vessel registration for each of Claimant’s vessel(s) establishing the home port of the vessel was within the states of Louisiana, Mississippi and Alabama or a Florida registered vessel with its home port in the counties of Escambia, Santa Rosa, Okaloosa, Walton, Holmes, Washington, Bay, Jackson, Calhoun, Gulf, Liberty, Franklin, Gadsden, Leon, Wakulla in the State of Florida; and,
b.
Proof of revenue from commercial shrimping equal to or greater than the Qualifying Revenue in Table 3 based on vessel size and type for the Benchmark Period.

2. Boat Captains

In order to qualify for compensation under the Expedited Compensation Method, the Boat Captain must provide for each vessel:

a. Proof that during the Benchmark Period:

i. the Claimant was a Boat Captain on a commercial shrimping vessel with the home port of the vessel that was within the states of Louisiana, Mississippi and Alabama or a Florida registered vessel with its home port in the counties of Escambia, Santa Rosa, Okaloosa, Walton, Holmes, Washington, Bay, Jackson, Calhoun, Gulf, Liberty, Franklin, Gadsden, Leon, Wakulla in the State of Florida; and,

ii. the vessel had revenue from commercial shrimping equal to or greater than the Qualifying Revenue in Table 3 based on vessel size and type for the Benchmark Period. A Boat Captain may combine vessel revenue from multiple vessels of the same size and type for the Benchmark Period; and,

iii. the Claimant was the Boat Captain of the vessel during the time period for which the vessel generated the revenue on which the Claimant relies to establish the Qualifying Revenue for the Benchmark Period reported in Table 3.

TABLE 3

VESSEL SIZE QUALIFYING VESSEL REVENUE
<30 feet $32,500
30-44 feet $40,000
45-74 feet Ice $90,000
45-74 feet Freezer $275,000
75+ feet Ice $225,000
75+ feet Freezer $400,000

B. Documentation Required

1. Vessel Owners/Commercial Fisherman Vessel Lessees

Vessel Owners/Commercial Fisherman Vessel Lessees seeking compensation under the Expedited Compensation Method must provide documents sufficient to prove eligibility pursuant to the applicable paragraphs of the “Generally Applicable Provisions of the Shrimp Compensation Plan” and the requirements in Section I.A.1, and to determine compensation pursuant to Section I.C below, including the following:

a. Trip Tickets or their equivalents such as dealer forms, which show the volume of shrimp harvested and the sales price as shown on the trip tickets or their equivalents for the Benchmark Period. The total volume multiplied by the price will be the applicable gross revenue.

– OR –

b. Federal or state tax and financial information as follows:

i. If Claimant is an entity, federal or state tax returns and sufficient documentation to identify those components of gross revenue derived from commercial shrimp harvesting by vessel for the Benchmark Period for each vessel for which the Claimant submits a Vessel Owner/Commercial Fisherman Vessel Lessee claim.

ii. If Claimant is an individual, federal form 1040 including Schedules C, E and F or state tax forms with supporting documents, as well as sufficient documentation to identify those components of earnings derived from commercial shrimp harvesting by vessel for the Benchmark Period.

iii. In addition, the Claimant must provide sufficient documentation for the Claims Administrator to be able to identify (i) Claimant’s revenue from shrimping as compared to other sources, (ii) Claimant’s revenue from landings in the Gulf Coast Areas. If necessary, the Claims Administrator may require supplemental information from the Claimant in order to make these determinations.

c.
Also, the Claimant must provide documentation sufficient to establish the vessel size and type for each vessel for which the Claimant seeks compensation.
d.
In addition, if available, it is requested that the Claimant also provide the following documents, to assist the Claims Administrator:

i. Vessel log book

ii. Share sheets

iii. Sales or other production reports maintained in the normal course of business.

2. Boat Captains

Boat Captains seeking compensation under the Expedited Compensation Method must provide documents sufficient to prove eligibility pursuant to the applicable paragraphs of the “Generally Applicable Provisions of the Shrimp Compensation Plan” and the eligibility requirements in Section I.A.2, and to determine compensation pursuant to Section I.C below, including the following:

a. Trip Tickets or their equivalents for each vessel, which show the volume of shrimp harvested and the sales price as shown on the trip tickets or their equivalents for the Benchmark Period. The total volume multiplied by the price will be the applicable gross revenue.

– OR –

b.
Federal tax returns, including Schedules C, E and F, W-2s, and 1099s or state