United States
                     Environmental Protection
                     Agency
Office of
Solid Waste and
Emergency Response
Publication 9360.8-06FS
        February 1993
                     Facility  Response Plans
 Office of Emergency and Remedial Response
 Emergency Response Division        5202G
                          Quick Reference Fact Sheet
      In 1990, Congress passed the Oil Pollution Act (OPA) in part to expand the scope of public and private
planning and response activities associated with discharges of oil.  The OPA amends §311 of the Clean Water Act
(CWA) to augment Federal response authority, increase penalties for unauthorized spills, expand the organizational
structure of the Federal response framework, and provide a greater emphasis on preparedness and response activities.
CWA §311 requires the preparation of plans to  respond to a worst-case discharge of oil, and sets forth specific
requirements for development of such plans.  These response plan requirements apply to an owner/ operator of any
onshore facility  that,  because of its location, could reasonably  be expected  to cause  substantial harm to the
environment by a discharge of oil into navigable waters,1 adjoining shorelines, or the exclusive economic zone (i.e.,
"substantial harm facilities").  Section 311 of the CWA requires  that owner/operators of such "substantial harm
facilities" must submit their response plans by February 18,1993, or stop handling, storing, or transporting oil. CWA
§311 also provides that a subset of "substantial harm facilities" (i.e., facilities that could reasonably be expected to
cause significant and substantial harm to the environment by discharging oil, or "significant and substantial harm
facilities") must have their plans approved by the  Federal government.

      The President has delegated the authority to  regulate non-transportation-related onshore facilities to the
Administrator of EPA. EPA is implementing the  CWA §311 response plan requirements in a proposed revision to
the Oil Pollution Prevention regulation (40 CFR Part 112). The purpose of this fact sheet is to provide general
information on how EPA intends to implement the CWA §311 requirements. Specifically, the fact sheet addresses
who must prepare plans, which plans must be approved, and what a facility response plan should contain.
      WHO MUST PREPARE PLANS?
  ("SUBSTANTIAL HARM FACILITIES")

      Under CWA §311, only certain facilities are
required to  prepare and submit response plans, i.e.,
those facilities that could cause substantial harm to
the environment.  EPA  has proposed two ways in
which a facility may be identified as posing substantial
harm: (1) through a self-selection process; or (2) by
determination of the Regional Administrator (RA).

      For the self-selection process, §112.20(f)(i) of
the  proposed  rule  lists  specific criteria  to help
owner/operators evaluate whether  their facilities pose
  substantial harm (see Highlight i). The proposed rule
  also  provides  more  detailed information to help
  owner/operators interpret these criteria to determine
  whether  their facility should  be  regarded  as a
  "substantial harm facility." For example, Appendix C
  of the proposed  rule provides formulas to help
  evaluate whether a facility is located at a distance that
  could cause injury to an environmentally sensitive area
  or shut down operations  at a public drinking-water
  intake. (NOTE:  Facility owner/operators may also
  use  an   alternative  formula  provided   that they
  document such use, as appropriate.)  Appendix D of
  the  proposed   rule   provides  information   on
  environmentally sensitive areas.
       i
        Navigable waters are defined in CWA §502(7) and at 40 CFR 110.1 as waters of the United States, including the territorial
   seas. This definition includes, among other things, lakes, rivers, streams (including intermittent streams), mudflats, and wetlands.

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                  Highlight 1
         SELF-SELECTION CRITERIA

      Under the proposed rule, a facility would fall
 under the "substantial harm" category if it meets at
 least one of the following criteria:

   •  The facility has a total storage capacity greater
     than or equal to 42,000 gallons and performs over-
     water oil transfers to or from vessels; OR

   •  The facility has a total storage capacity greater
     than or equal to one million gallons, and meets any
     one of the following conditions:

     -  Does not have adequate secondary containment
        for each aboveground storage area;

     --  Is located such that a  discharge could cause
        "injury" to an environmentally sensitive area;

     -  Is located such that a  discharge would shut
        down a public drinking-water intake; or

     -  Has had,  in the past 5 years, a reportable spill
        greater than or equal  to 10,000 gallons.
      The  owner/operator  of any facility currently
regulated by the existing Oil Pollution  Prevention
regulation may consult the  proposed rule for details
on the self-selection screening process.   If the self-
selection process does indicate that a facility poses a
threat of "substantial harm" to the environment, the
owner/operator would be required prepare and submit
a facility response plan to the appropriate EPA RA.
CWA   §311  requires   that  owner/operators   of
"substantial harm facilities" must submit their response
plans by February 18,1993, or stop handling, storing,
or transporting oil.

      Under the proposal,  the RA also would have
the authority to  determine that a facility may cause
substantial  harm, regardless of the results of the self-
selection screening process.  As set forth in §112.20(b)
of the proposed  rule, the RA's determination would
be based on factors similar to the criteria used in the
self-selection screening process, as well as other site-
specific characteristics and environmental factors.
     IN ADDITION TO THE SELF-SELECTION
     PROCESS, THE RA MAY DETERMINE
           THAT A FACILITY POSES
            SUBSTANTIAL HARM.
      Under  the  proposal, if an  owner/operator
determines that the facility does not have the potential
to cause substantial harm, the owner/operator would
have to complete the certification form contained in
Appendix  C  of  the  proposed   response  plan
rulemaking.  This  form would  be maintained at the
facility.  In addition, if the self-selection process is
completed   using   an   alternative   formula,  the
owner/operator would be required to notify the RA in
writing and provide information on the reliability and
analytical soundness of the alternative formula.
 WHICH PLANS MUST BE APPROVED?
   ("SIGNIFICANT AND  SUBSTANTIAL
            HARM FACILITIES")

      In addition to the  requirement to  prepare
response  plans,  CWA  §311   establishes  further
requirements for a subset of facilities that could cause
significant and substantial harm.  CWA §311 requires
that EPA must review and approve the response plans
submitted for these facilities.

      Under §112.20(f)(3) of the proposed rule, the
RA would identify these "significant  and substantial
harm facilities" using a series of risk-based screening
considerations.  These considerations include factors
similar to the criteria to determine substantial harm,
as well as the age of the tanks, proximity to navigable
waters,  and spill  frequency.   Facilities would be
notified in writing of their status as posing significant
and substantial harm.

      Under CWA §311, if EPA does not review and
approve a "significant and  substantial harm  facility"
plan  by  August  18,  1993, the  facility must  stop
handling, storing, or transporting oil.  However, the
number of plans needing review may prevent  RAs
from  approving all  response plans by the statutory
deadline.   CWA §311  allows  a "significant  and
substantial harm facility*  owner/operator  to   seek
Federal authorization to operate for up to two years
after the plan has been submitted where the owner/
operator certifies that he  or she has ensured by
contract or other approved means the availability of
private personnel and equipment necessary to respond
to a worst-case discharge.

      Under  §112.20(b)  of  the proposed   rule,
owner/operators who seek such  authorization  may
submit to the RA a certification statement and proof
that   a  written  contractual  agreement or  other
approved  means  is in place.  Examples  of "other
approved means" may include:

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       Certification that  the owner/operator  has
       access  to  the  necessary  personnel  and
       equipment;

       Active membership in spill organization that
       ensures  adequate  access  to the  necessary
       personnel and equipment; or

       Other specific arrangements approved by the
       RA upon the request of the owner/operator.
       WHAT SHOULD A FACILITY
       RESPONSE PLAN CONTAIN?

      As discussed above, CWA §311 requires that
the response plan must address certain critical items.
CWA §311 requires that the response plan:

    •  Be consistent with the National Contingency
       Plan and Area Contingency Plans;

    •  Identify  a qualified individual  having .full
       authority to implement removal actions, and
       require immediate  communication  between
       that   person   and   appropriate  Federal
       authorities and responders;

    •  Identify and ensure availability of resources to
       remove, to the maximum extent practicable, a
       worst-case discharge;

    •  Describe training, testing, unannounced drills,
       and response actions of persons at the facility,

    •  Be updated periodically, and

    •  Be  resubmitted  for   approval  of  each
       significant change.

      To assist owners or operators in preparing
response  plans, Appendix G of the proposed rule
includes  a model facility response plan that addresses
CWA §311 provisions in a comprehensive and well-
organized manner. Highlight 2 outlines elements of
the model plan.

       Under  the  proposal, the organization  of  the
model plan and the information contained in it would
be representative of the format and level of detail
needed to address the required response plan elements
in an acceptable manner.  However, EPA recognizes
that  there may  be  many facilities  with existing
response plans.  Therefore, owner/operators generally
                   Highlight!
         RESPONSE PLAN ELEMENTS

  Under the proposed rule, elements of an effective
  response plan would include the following:

   - Emergency Response Action Plan*

   - Facility name, type, location, owner, operator
     information

   - Emergency notification, equipment, personnel, and
     evacuation information

   - Identification and evaluation of potential spill
     hazards and previous spills

   - Identification of small, medium, and worst-case
     discharge scenarios and response actions

   - Description of discharge detection procedures and
     equipment

   - Detailed implementation plan for containment and
     disposal

   - Facility and response resource self-inspection,
     training, and meeting logs

   - Diagrams of facility and surrounding layout,
     topography, and evacuation paths

   - Security  (fences, lighting, alarms, guards,
     emergency cut-off valves and locks, etc.)

  ' A response plan would serve as both a planning and
  action document, and the action portion should be
  maintained as an easily-accessible, stand-alone section
  of the overall plan.
would not need to prepare a separate plan to comply
with CWA §311 if they have already prepared a plan,
provided that the original  plan:   (1)  satisfies  the
appropriate requirements and is equally stringent; (2)
includes all the elements described., in the model plan;
(3) is cross-referenced-appropriately, and (4) contains
an Action Plan for use during a discharge.

      Although   Spill  Prevention,   Control,  and
Countermeasure (SPCC) plans (i.e., prevention plans)
and  response plans are  different,  and should  be
maintained as separate documents, some sections of
the plans may be the same. The proposed rule would
allow the owner/operator to reproduce and  use those
sections of the SPCC Plan in the response plan.

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   SPILL PREVENTION (SPCC) PLANS
   AND FACILITY RESPONSE PLANS
              ARE DIFFERENT

   , The CWA  §311  requirements  to  develop  a
response plan will affect  many facilities  that are
already  subject  to the Oil  Pollution  Prevention
regulation. This regulation, which has been in effect
since  1973,  applies  to  facilities that meet  the
characteristics set  forth  at  40  CFR  §112.1  (see
Highlight 3).

    The owner/operator of any facility subject to the
Oil Pollution Prevention regulation  is required to
prepare and implement an SPCC Plan.  SPCC Plans
focus on procedures to prevent and control  oil spills.
In contrast, the  facility response  plans required by
CWA  §311  are  intended  to focus  on  reactive
measures,  such  as how  facility  personnel  are  to
respond to a discharge.  The response plan should be
maintained as a  separate document from the SPCC
Plan and be easily accessible during an emergency.
                            Under CWA §311, certain facilities are required to
                            submit only the response plan to EPA
                                               Highlight 3
                                   FACILITIES SUBJECT TO THE OIL
                               POLLUTION PREVENTION REGULATION

                             The Oil Pollution Prevention regulation applies to
                             facilities with the following characteristics:

                                •  Facility Type: Non-transportation-related on-
                                   shore facilities.

                                •  Oil Product Storage: The total aboveground
                                   storage capacity at the facility is greater than
                                   1,320 gallons (or greater than 660 gallons in a
                                   single container), or the total underground
                                   storage capacity is greater than 42,000 gallons.

                                •  Location:  Facilities that, because of their
                                   location, could reasonably be expected to
                                   discharge oil into the navigable waters of the
                                   U.S. or adjoining shorelines.
                                    FOR MORE INFORMATION
    For more information, please call the SPCC Information Line at (202) 260-2342, or the specific EPA Regional
office.  The mailing addresses for the offices and a map showing the geographic boundaries of the Regions are
contained in the proposed regulation.
EPA Region 1
(617) 860-4361

EPA Region 5
(312) 886-6236

EPA Region 9
(415) 744-1500
EPA Region 2
(908) 321-6656

EPA Region 6
(214) 655-2270

EPA Region 10
(206) 553-1090
     EPA Region 3
     (215) 597-5998/1357

     EPA Region 7
     (913) 551-5000
EPA Region 4
(404) 347-3931

EPA Region 8
(303) 293-1788
This document is not intended and cannot be relied upon to
create rights, substantive or procedural, enforceable by am parry
in litigation with the United States.
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 Environmental Protection
 Agency (5202-Q)
 Washington, DC 20460

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