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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