FACILITY RESPONSE PLANNING
OVERVIEW AND APPLICABILITY
The Environmental Protection Agency's
(EPA's) Oil Pollution Prevention Regulation,
40 Code of Federal Regulations (CFR) Part
112 applies to nontransportation-related
facilities that could reasonably be expected
to discharge oil into or upon the navigable
waters of the United States or adjoining
shorelines, and that have (1) an
aboveground oil storage capacity of more
than 660 gallons in a single container, or (2)
a total aboveground oil storage capacity of
more than 1,320 gallons; or (3) a total
underground buned storage capacity of
more than 42,000 gallons. All such facilities
are required to comply with the SPCC
requirements (40 CFR 112.1 through 112.7),
which include preparing a Spill Prevention
Control and Countermeasure (SPCC) Plan
and conducting an initial screening to
determine whether they need to develop a
facility response plan (FRP), which meets
the requirements of 40 CFR 112.20, 112.21
and related Appendices A through F. Those
facilities that could cause "substantial harm"
to the environment must prepare and submit
an FRP.
FRP Applicability
As outlined in 40 CFR 112.20(f)(1). a facility
has the potential to cause substantial ham if:
* The facility transfers oil over water to or
from vessels and has a total oil storage
capacity, including both aboveground
storage tanks (ASTs) and underground
storage tanks (USTs), greater than or
equal to 42,000 gallons; or
* The facility's total oil storage capacity,
including both ASTs and USTs, is greater
than or equal to one million gallons, and
one of the following Is true:
& The facility lacks secondary
containment able to contain the
capacity of the largest AST within
each storage area plus freeboard to
allow for precipitation;
& The facility is located at a distance
such that a discharge from the facility
could cause injury to fish and wildlife
and sensitive environments;
o The facility is located at a distance
such that a discharge from the facility
would shut down a public drinking
water intake; or
& The facility has had a reportab/e spill
greater than or equal to 10,000
gallons within the last five years.
In 1990, Congress passed the Oil Pollution
Act (OPA) that amended Section 311 of the
Clean Water Act (CWA) to require
"substantial harm" facilities to develop and
implement FRPs. EPA's FRP requirements,
which were published as a final rule in the
Federal Register on July 1, 1994, are
codified at 40 CFR 112.20 and 112.21 and
include Appendices A through F. This part
of the rule requires that owners and
operators of facilities that could cause
"substantial harm" to the environment by
discharging oil into navigable water bodies
Facility Response Planning - February 1998
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or adjoining shorelines prepare plans for
responding, to the maximum extent
practicable, to a worst case discharge and to
a substantial threat of such a discharge of
oil.
What is an Oil?
Oils are defined under several statutes
including the Clean Water Act (CWA)
and the Oil Pollution Act of 1990 (OPA).
As a result, overlapping regulatory
interpretations exist. For this reason,
the U.S. EPA and the U.S. Coast Guard
are currently developing a nationally
consistent program policy and
methodology for facilities to determine
whether a given substance is
considered an oil under the existing
CWA.
Under the CWA, the definition of oil
includes oil of any kind and any form,
such as petroleum and nonpetroleum
oils. Generally, oils fall into the following
categories: crude oil and refined
petroleum products, edible animal and
vegetable oil, other oils of animal or
vegetable origin, and other
nonpetroleum oils.
Many substances are easily
recognizable as oils (e.g., gasoline,
diesel, jet fuel, kerosene, and crude oil).
Under the CWA definition, many other
substances are considered oils, which
may not be easily recognizable by
industry, including*mineral oil, the oils of
vegetable and animal origin and other
nonpetroleum oils. Therefore, facilities
should work closely with the EPA and
USCG (if applicable) to make
determinations for the substances they
store, transfer, and refine.
EPA-regulated facilities are required to
submit their FRPs and certifications of
response resources to implement the Plan
to EPA for review. The Agency reviews and
approves plans from facilities identified as
having the potential to cause "significant and
substantial harm" to the environment from oil
discharges. Other SPCC-regulated facilities
that are not required to prepare FRPs based
on their quantities and locations of oil
storage are required to document their
determination that they do not meet the
"substantial harm" criteria using Attachment
Oil in Appendix C of 40 CFR Part 112.
Facilities should maintain the Certification of
the Applicability of the Substantial Harm
Criteria with their SPCC Plan.
The sections of the Oil Pollution Prevention
Regulation relevant to facility response
planning are summarized on the following
page.
A
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Facility Response Planning Requirements of the
Oil Pollution Prevention Regulation (40 CFR Part 112)
Section 112.20
Facility Response Plans
This section of the regulation contains the
requirements for information to be included in
a facility response plan.
Section 112.21
Facility Response Training
Drills/Exercises
This section of the regulation contains
requirements for the development and
implementation of a facility training program
and drill/exercise program.
Appendix A
Memorandum of Understanding
(MOD) between the Secretary of
Transportation and the
Administrator of the EPA
This MOU contains jurisdictional definitions
(i.e., transportation-related vs. non-
transportation-related onshore and offshore
facilities) relevant to oil facilities.
Appendix B
Memorandum of Understanding
among the Secretaries of the
Intenor and Transportation and
the Administrator of the EPA
This MOU establishes the jurisdictional
responsibilities for offshore facilities for spill
prevention and control, contingency planning,
and equipment inspection activities under
OPA. Jurisdictional responsibilities are
divided between the Department of the
Interior (DOI), the Department of
Transportation (DOT), and the EPA.
Appendix C
Substantial Harm Criteria
This appendix includes the decision tree and
certification form (Attachments C-l and C-ll)
with the criteria to identify whether a facility
"could reasonably be expected to cause
substantial harm to the environment by
discharging into or on the navigable waters or
adjoining shorelines." This appendix also
contains the Calculation of Planning Distance
(Attachment C-lll) that a facility must use to
quantify the distance that a discharge from a
facility could cause injury to fish and wildlife
and sensitive environments or disrupt
operations at a public drinking water intake.
Appendix D
Determination of a Worst Case
Discharge Planning Volume
This appendix contains instructions that must
be used to calculate the volume of a worst
case scenario discharge.
Appendix E
Determination and Evaluation of
Required Response Resources
for FRPs
This appendix contains tables and a
worksheet that must be used to calculate the
amount of resources and equipment
necessary to respond to both a small and a
worst case scenario discharge.
Appendix F
Facility Specific Response Plan
This appendix contains a model FRP. A
checklist for the model plan can be found at
the end of this guide.
Facility Response Planning - February 1998
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PURPOSE OF AN FRP
The primary user of the FRP will be the
facility. Facility-specific response plans will
help owners and operators develop a
response organization and identify the
resources needed to respond to an oil spill
adequately and in a timely manner.
Successful plans will be scenario-based and
developed by the preparation of risk analyses
of the areas in question; identification of
several scenarios that require different levels
of response; development of strategies to
respond to each scenario; and identification
and provision of resources necessary to
respond to each scenario.
Who Benefits from an FRP?
Facility owners and operators: If
implemented effectively, FRPs will
allow for an expeditious response to
an oil spill thereby reducing a spill's
impact and severity. The Plan can
also assist facilities in improving spill
prevention measures through the
early identification of risks at the
facility.
EPA and other government agencies:
FRPs assist agencies in identifying
the distribution and capacity of the
response contractor industry for
planning purposes and private
resources for spill response.
Regional, state and local response
authorities: Once information
contained in the response plans is
made available, local and regional
response authorities will better
understand the potential hazards and
response capabilities in their area,
thus reducing risk to the community.
INITIAL SCREENING AND
CERTIFICATION: DETERMINATION OF
RESPONSE PLAN APPLICABILITY
SPCC-regulated facilities that could cause
"substantial harm" to the environment must
prepare and submit response plans to the
appropriate EPA Regional Office. Addresses
for these offices are provided at the end of
this guide.
Owners or operators of all facilities subject to
the Oil Pollution Prevention Regulation must
familiarize themselves with the rule to
determine whether their facility meets the
"substantial harm" criteria. Under Sec.
112.20(6), facilities that do not meet the
"substantial harm" criteria (i.e., answer 'no' to
all five questions) must document this
determination by completing the "Certification
of the Applicability of the Substantial Harm
Criteria Checklist," provided as Attachment
C-ll in Appendix C of 40 CFR 112 and on
page 15 of this guide. This certification
should be maintained with the facility's SPCC
Plan.
Facilities subject to the FRP requirements
under Section 112.20 are referred to either
as substantial harm facilities or significant
and substantial harm facilities. FRPs from
substantial harm facilities are reviewed by
EPA while FRPs from significant and
substantial harm facilities are reviewed and
must be approved by EPA (see Figure 2).
Substantial Harm Facilities
Facilities that are considered to pose a threat
of substantial harm are required to prepare
and submit FRPs. EPA recognizes two ways
in which a facility may be identified as posing
a risk of substantial harm: through a self-
determination process, or at the discretion of
the EPA Regional Administrator (RA).
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Figure 1
Flowchart of Criteria for Substantial Harm
Does the facility transfer oil over
water to or from vessels and does
the facility have a total oil storage
capacity greater than or equal to
42,000 gallons?
No
Does the facility have a total
oil storage capacity greater
than or equal to 1 million
gallons?
No
Yes
Yes
No Submittal of FRP
Except at RA Discretion
Submit FRP
Within any aboveground storage tank area, does
the facility lack secondary containment that Is
able to contain the capacity of the largest
aboveground oil storage tank plus freeboard
to allow for precipitation?
Yes
No
Is the facility located at a distance1 such that a
discharge from the facility could cause Injury to
fish and wildlife and sensitive environments*?
Yes
No
Is the facility located at a distance1 such that a
discharge from the facility would shut down a
public drinking water3 Intake?
Yes
No
Has the facility experienced a raportable oil spill in
an amount greater than or equal to 10,000
gallons within the last 5 years?
No
Yes
1 Calculated using the appropriate formula in
Attachment C-ill, Appendix C of 40 CFR Part
112 or a comparable formula.
2 For further description of flsh and wildlife
and sensitive environments, see Appendices
I, II and III to DOCfNOAA's "Guidance for
Facility and Vessel Response Plans: Hsh
and Wildlife and Sensitive Environments" (59
FR14713, March 29,1994) and the
applicable Area Contingency Plan.
3 Public drinking water Intakes are analogous
to pubic water system as described at 40
CFR 143.2(c).
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Figure 2
FRP Facilities Fall Into 2 Categories
Substantial Harm (Sub)
Facility Response Plan
Reviewed by EPA
Significant and Substantial
Harm (Sig & Sub)
l
Facility Response Plan
Reviewed and
Approved by EPA
Multiagency Jurisdiction
Facilities (complexes) may be regulated by more than one agency. The EPA is responsible for
the nontransportation-related facilities located landward of the coastline1. The Department of
Interior (DOI) Minerals Management Service (MMS) is responsible for offshore nontransportation-
related facilities located seaward of the coastline, including certain pipelines. The Department of
Transportation (DOT) United States Coast Guard (USCG) or other designated agency is
responsible for deepwater ports and fixed offshore facilities. The EPA is responsible for facilities
in inland lakes and rivers, including certain piping and coastal areas landward of the low water
mark. The USCG handles transportation-related offshore facilities located landward of the
coastline, while the DOT, Office of Pipeline Safety (OPS) handles all onshore pipelines.
Over Water Transfers
The first criterion for substantial harm determination is for facilities that transfer oil over water to
and/or from vessels and have a total storage capacity greater than or equal to 42,000 gallons.
As defined in 40 CFR 112.2, "vessel" applies to any type of watercraft, other than a public vessel,
capable of being used as a means of transportation on water. The capacities of all storage
containers (e.g., drums, tanks, electrical equipment), regardless of size, should be added in order
to determine the facility's total storage capacity.
1 The term coastline is defined to mean "the line of ordinary low water along that portion of
the coast which is in direct contact with the open sea and the line marking the seaward
limit of inland waters," e.g., low tide. Along the Gulf Coast, this line has been determined
by the courts and runs along the coastal barrier islands. The jurisdiction over facilities
along the coastline of the state of Alaska is determined on a case-by-case basis by MMS.
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Many sites at which oil is transferred in bulk to or from vessels are likely to include both a
transportation-related transfer area regulated by the DOT and USCG and a nontransportation-
related oil storage area regulated by the EPA. This combination is considered a "complex" and is
subject to multiagency jurisdiction (see Figure 3).
Figure 3
Example of a Complex Facility
Coastline
breaks
juridsiction
OPS
DOT
L
OFFICE
MAINT.
USCG
California Coast
X = valve
— — •=Secondary
Containment
OP A Jurisdiction of Federal Agencies. Jurisdictional boundaries are delineated by
the location of valves along the pipelines leading to and from the oil storage facility.
Note that these valves must reside within the containment of the storage tank area.
Facility Response Planning - February 1998
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In Figure 3, EPA is responsible for the
facility except for the piping/pipelines in the
jurisdiction of the USCG, OPS, and MMS.
OPS has jurisdiction over the inland pipeline.
Seaward of the low water mark, MMS is
responsible for the offshore
nontransportation-related facility and the
offshore pipeline from the platform to the
coastline, while the USCG is responsible for
the marine transfer component including the
pipeline from the storage tank area to a
vessel or barge.
Secondary Containment
A facility may be determined to be a
substantial harm facility if it does not have
adequate secondary containment and has a
total aboveground storage capacity greater
than or equal to one million gallons. A
facility must have secondary containment for
each AST. The area must be able to
contain the capacity of the largest AST
within that area plus sufficient freeboard to
allow for precipitation. The volume of
freeboard should be based on regional
rainfall patterns. Some facilities in states
such as Washington, Alaska, and Hawaii,
among others, and the Commonwealth of
Puerto Rico will require secondary
containment for much larger volumes of
water. Secondary containment may include,
but is not limited to, the following preventive
systems or their equivalent:
• Dikes, berms, or retaining walls
sufficiently impervious to contain spilled
oil;
• Curbing;
• Culverting, gutters, or other drainage
systems,
• Weirs, booms, and other barriers;
• Spill diversion ponds; and
• Retention ponds.
Fish and Wildlife and Sensitive
Environments
Substantial harm may be determined if a
facility is located at a distance such that a
discharge could cause injury to fish and
wildlife and sensitive environments and the
total storage capacity is greater than or
equal to one million gallons. As defined by
40 CFR 112.2, "injury" means a measurable
adverse change, either long- or short-term,
in the chemical or physical quality or the
viability of a natural resource. The change
can result either directly or indirectly from
exposure to a discharge of oil or from
exposure to a product or reactions resulting
from a discharge of oil.
The owner or operator should use the EPA's
Planning Distance Calculations to estimate
the distance that the discharged material
may travel from the facility. These formulas
for still water, rivers, tidal areas, and over
land can be found in Appendix C,
Attachment C-lll of the regulation. Once this
has been determined, the fish and wildlife
and sensitive environments existing within
that distance should be identified.
Section 112.2 defines fish and wildlife and
sensitive environments as areas that may be
identified by either their legal designation or
by evaluations of area committees or
members of the federal on scene
coordinator's (OSC) spill response structure.
The identification of fish and wildlife and
sensitive environments should reflect local
scientific knowledge, responder experience
Facility Response Planning - February 1998
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and community priorities. The areas
identified may include areas sensitive to the
effects from a spill event, and areas which, if
Calculation of the Planning Distance
(Attachment C-lll, Appendix C, 40 CFR
112)
The planning distance calculation must be
performed based on the types of transfers
and the navigable water conditions
applicable to a facility. To quantify that
distance, EPA has developed formulas for.
the following types of oil transport:
Moving Navigable Waters. EPA has
determined that the primary concern for
calculation of a planning distance is the
transport of oil in navigable waters during
adverse weather conditions. Therefore, two
formulas have been developed to determine
distances for planning purposes from the
point of discharge at the facility to the
potential site of impact on moving and still
waters, respectively The formula for oil
transport on moving navigable water is
based on the velocity of the water body and
the time interval for arrival of response
resources.
Still water: The still water formula accounts
for the spread of discharged oil over the
surface of the water.
Tidally Influenced Areas: The method to
determine oil transport on tidally influenced
areas is based on the type of oil spilled and
the distance downcurrent during ebb tide
and upcurrent during flood tide to the point of
maximum tidal influence.
Over Land: As discharged oil travels over
land, it may enter a storm drain or open
concrete channel intended for drainage. The
formula assumes that once oil reaches such
an inlet, it will flow to a navigable water.
impacted, may endanger human health.
Examples of these environments are
wetlands, national and state parks, critical
habitats for endangered species, wilderness
and natural resource areas, marine
sanctuaries and estuarine reserves,
conservation areas, preserves, wildlife
areas, wildlife refuges, wild and scenic
rivers, recreation areas, national forests,
federal and state lands that are research
natural areas, heritage program areas, land
trust areas, and historical and archeological
parks.
Additional information concerning fish and
wildlife and environmentally sensitive areas
can be obtained from Appendices I, II, and III
to Department of Commerce/National
Oceanic and Atmospheric Administration's
(DOC/NOAA's) Guidance for Facility and
Vessel Response Plans: Fish and Wildlife
and Sensitive Environments (59 FR 14713,
March 29, 1994). This guidance was
developed to aid facilities in the identification
of these areas prior to their designation in
the Area Contingency Plan (ACP). Some
ACPs may identify these resources.
Public Drinking Water Intakes
A facility may also be
determined to be of substantial
harm if it is located at a distance
such that a discharge would
shut down a public drinking water intake and
it has a total storage capacity equal to or
greater than one million gallons. To
determine whether a facility would shut
down a public drinking water intake, the
owner or operator must calculate the
distance that oil could travel from the facility
before being contained using the Planning
Distance Calculations. All public drinking
water intakes must be identified within this
distance.
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Public drinking water intakes are defined by
the systems that feed them. As set forth in
the Safe Drinking Water Act, a public water
system (i.e., a system that provides piped
water for human consumption) must have at
least 15 service connections or regularly
serve at least 25 individuals. Public drinking
water systems include collection, treatment,
storage, and distribution facilities. In order
to identify the location of downstream public
drinking water intakes, the facility should
consult the appropriate ACP and contact the
municipal or county water authority for each
area that could be affected by an oil spill
from the facility.
Reportable Spills Greater than 10,000
Gallons
The final criterion for substantial harm
determination is for facilities that have had a
reportable spill in an amount greater than or
equal to 10,000 gallons within the last five
years and have a total storage capacity
equal to or greater than one million gallons.
A reportable spill is a discharge that reaches
navigable waters or adjoining shorelines in a
quantity that may be harmful. Specifically,
40 CFR 110.3 defines a harmful discharge
as one that:
• Violates applicable water standards;
• Causes a film or sheen upon or
discoloration of the surface of the water
or adjoining shoreline; or
• Causes a sludge or emulsion to be
deposited beneath the surface of the
water or upon adjoining shorelines.
If a facility has been significantly upgraded
within five years of a spill greater than or
equal to 10,000 gallons, the owner/operator
can petition the Regional Administrator (RA)
to remove the facility from the category of
substantial harm. Examples of such
upgrading include replacing tanks, adding
secondary containment, and making other
improvements that greatly reduce the risk to
the environment in the event of a spill.
Regional Administrator Determination
In addition to the self-determination criteria,
Section 112.20(b) states that the RA may
also determine a facility's potential to cause
substantial harm. If a facility must prepare
and submit a response plan, the RA will
further assess the risk posed by the facility
in order to determine whether it could cause
significant and substantial harm to the
environment.
The RA may use factors similar to the self-
determination criteria or may use other
factors to evaluate the facility's potential to
cause substantial harm. As set forth in
Section 112.20(b), the factors that the RA
may consider include, but are not limited to,
the following:
• Type of transfer operation;
• Oil storage capacity;
• Lack of secondary containment;
• Proximity to fish and wildlife and
sensitive areas and other areas
determined by the RA to possess
ecological value;
• Proximity to drinking water intakes;
• Spill history; and
• Other site-specific characteristics and
environmental factors that the RA
determines to be relevant.
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EPA has developed guidance for their
regional offices to identify substantial harm
and significant and substantial facilities
based on the above factors.
In addition, if any person, including a
member of the public or representative from
a federal, state, or local agency, believes a
facility may cause substantial harm to the
environment from a discharge of oil, he or
she may petition the RA to determine
whether the facility meets the above-
described substantial harm criteria. The RA
can make a determination of substantial
harm without being petitioned. If EPA
determines that a facility poses a threat of
substantial harm, the RA will notify the
facility in writing that they are required to
prepare and submit an FRP.
Significant and Substantial Harm
Facilities
Once facilities submit an FRP to EPA, it will
be reviewed and evaluated for the facility's
potential to cause significant and substantial
harm to vulnerable areas. Those facilities
that meet the criteria for significant and
substantial harm will have their FRPs
reviewed and their facilities inspected for
viability and compliance with the regulations
prior to EPA approval.
EPA reviews and approves response plans
for those facilities whose discharges may
cause "significant and substantial harm" to
the environment in order to ensure that
facilities believed to pose the highest risk
have adequate resources and procedures in
place to respond to a spill Since the
statutory deadlines for the submittal of FRPs
have passed, EPA performs initial reviews of
response plans submitted by "significant and
substantial harm" facilities constructed after
August 30, 1994, existing facilities that
become subject to the response plan
requirements as the result of a change in
operations (after the effective date of the
regulation); and facilities newly designated
by the RA as "significant and substantial
harm." EPA is required to periodically
review the response plans of "significant and
substantial harm" facilities that already have
submitted a response plan to the Agency,
provided that the period between plan
reviews does not exceed five years. The
Agency will require amendments to any
response plan that does not meet the
requirements. EPA also will use the
facility-specific information provided in the
response plans to continue to update ACPs
as required by the OPA.
FACILITY RESPONSE PLAN
DEVELOPMENT
Facility personnel must use background
information such as the location, quantities,
and types of material stored and a
geographic description of the site (maps,
schematic diagrams, latitude and longitude)
to develop an FRP. Roles and
responsibilities of other members of the
response team (both company responders
and outside parties) must be clearly
established.
To develop an FRP, the facility should
perform a hazard analysis, which involves
identifying potential hazards based on facility
background information, determines the
vulnerability of the surrounding area given
the hazard, and assesses the risk of a
release. The results of the hazard analysis
are used to develop spill scenarios. For one
scenario, the facility calculates the volume of
a worst case discharge and develops an
effective response to such a discharge. All
aspects of an effective response must be
included in the response plan, including
containment, countermeasure, and
mitigation procedures for different types of
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incidents, and the provision for proper
cleanup and disposal of contaminated
material.
Facility Response Plans must:
ft Be consistent with the National
Contingency Plan and Area Contingency
Plans.
ft Identify a qualified individual having full
authority to implement removal actions,
and require immediate communication
between that person and the appropriate
federal authorities and responders.
ft Identify and ensure availability of
resources to remove a worst case
discharge.
ft Describe training, testing, unannounced
drills, and response actions of facility
personnel.
ft Be updated periodically.
ft Be submitted for approval with each
significant change.
Appendix F of the Oil Pollution Prevention
Regulation (40 CFR Part 112) includes a
model FRP. A checklist for the model plan
is located at the end of this guide.
Training and Response Drills
Oil spill response training is an important
element in EPA's oil spill prevention and
preparedness efforts. Studies indicate that
a significant number of oil spills at facilities
are caused by operator error, such as failing
to close valves or overfilling tanks during
transfer operations. Because operator error
is often the cause of an oil spill, training and
bnefings are critical for prevention of a spill
as well as response to a spill. Furthermore,
proper training of facility personnel can
reduce the severity of impacts when a spill
does occur. Training encourages up-to-date
planning for the control of, and response to,
an oil spill and also helps to sharpen
operating and response skills, introduces the
latest ideas and techniques, and promotes
interaction with the emergency response
organization and familiarity with the facility's
SPCC and FRP plans.
Key elements of the model Facility
Response Plan include:
/ Emergency Response Action Plan (an
easily accessible stand alone section of
the overall plan).
/ Facility name, type, location, owner,
and 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 self-inspection;
training, exercises, and drills; and
meeting logs.
/ Diagrams of facility and surrounding
layout, topography, and evacuation
paths.
/ Security (fences, lighting alarms,
guards, emergency cutoff valves and
locks, etc.)
Under 40 CFR 112.20(h)(8), facility response
plans must contain information about
self-inspection, drills/exercises, and
response training, including descriptions of
training and drill/exercise programs and
documentation of tank inspections,
equipment inspections, response training
meetings, response training sessions, and
drills/exercises. Consequently, facility
response plans may be revised based on
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Facility Response Planning - February 1998
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evaluations of the facility drills and
exercises.
Facility Response Training Programs
Section 112.21 of the Oil Pollution
Prevention Regulation requires the
development and implementation of facility
response training programs. It is
recommended that the training program be
based on the USCG Training Elements for
Oil Spill Response, as applicable to facility
operations. An alternative program can also
be acceptable, subject to approval of the
Regional Administrator. The training must be
functional in nature according to job tasks
for both supervisory and nonsupervisory
operational personnel. Trainers must
develop specific lesson plans on subject
areas relevant to facility personnel involved
in oil spill response and cleanup.
Facility Response Drills/Exercises
The requirements for oil spill response
training and response drills and exercises
are codified at 40 CFR 112.21, for facilities
that are required to prepare an FRP.
Under 40 CFR 112 21, facilities are also
required to develop and implement a
program of response drills and exercises,
including evaluation procedures to test the
effectiveness of their response plan. A
program that follows the National
Preparedness for Response Exercise
Program (PREP) will meet these
requirements. An alternative program can
also be acceptable if approved by the
Regional Administrator
The USCG, EPA, OPS, MMS, states and
industry developed PREP. The program
consists of notification, tabletop and
deployment exercises that are both
announced and unannounced, as well as
participation in larger area drills that exercise
the appropriate ACP. Exercises that involve
other members of the response community
outside of the facility include industry- and
government-led area exercises and
government-initiated unannounced
exercises. These exercises are designed to
evaluate the entire response mechanism in
a given area to ensure adequate
preparedness. The goal of PREP is to
conduct approximately 20 area exercises per
year. PREP also includes a schedule for the
exercise of facility FRPs over a three-year
cycle.
The PREP guidelines: USCG-X0191
and the Training Reference for Oil Spill
Response: USCG-X0188 are available
by mail or fax.
TASC Department Warehouse
3341Q 75th Avenue
Landover, MD 20785
FAX: (301)386-5394
When requesting copies, please indicate
the document name and publication
numbers.
Response Plan Maintenance
Under Sec. 112.20(g), facilities must
periodically review their response plans to
ensure consistency with the National Oil and
Hazardous Substances Pollution
Contingency Plan (NCP) and ACPs.
Consequently, owners or operators who
have prepared response plans must review
relevant portions of the NCP and the
applicable ACPs annually and update their
facility response plan as appropriate. In
addition, under Sec. 112.20(d)(1), the owner
or operator must resubmit revised portions
of their response plan within 60 days of each
facility change, which may materially affect
Facility Response Planning - February 1998
•13-
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the response to a worst case discharge or
the implementation of the response plan.
These changes may include:
• a change in the facility's configuration;
• a change in the type of oil handled,
stored or transferred;
• a material change in capabilities of the oil
spill removal organization(s) that provide
services to the facility; or
• a material change in the facility's spill
prevention and response equipment or
emergency response procedures.
Recordkeeping
Facilities that determine that the response
planning requirements under 40 CFR 112.20
do not apply to them must certify and
maintain a record of this determination using
Attachment C-ll, Appendix C, 40 CFR 112.
Facilities that are subject to the response
planning requirements at 40 CFR 112.20 are
required to maintain the response plan at the
facility. Facilities with response plans also
are required to maintain updates to the plan
to reflect material changes to the facility and
to log activities such as discharge
prevention meetings, response training drills
and exercises. Facilities must keep the
records of these activities for a period of five
years.
NOTICE
The statements in this document are intended solely as guidance. This document is not
intended and cannot be relied upon to create rights, substantive or procedural, enforceable
by any party in litigation with the United States.
OILPflOCfiu
• 14*
Facility Response Planning - February 1998
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CERTIFICATION OF THE APPLICABILITY
OF THE SUBSTANTIAL HARM CRITERIA CHECKLIST
FACILITY NAME:
FACILITY ADDRESS-
1. Does the facility transfer oil over water to or from vessels and does the facility have a total oil storage
capacity greater than or equal to 42,000 gallons?
Yes No
2. Does the facility have a total oil storage capacity greater than or equal to 1 million gallons and does
the facility lack secondary containment that is sufficiently large to contain the capacity of the largest
aboveground oil storage tank plus sufficient freeboard to allow for precipitation within any
aboveground oil storage tank area?
Yes No
3. Does the facility have a total oil storage capacity greater than or equal to 1 million gallons and is the
facility located at a distance (calculated using the appropriate formula in Attachment C-lll Appendix
C, 40 CFR 112 or a comparable formula1) such that a discharge from the facility could cause injury to
fish and wildlife and sensitive environments? For further description of fish and wildlife and sensitive
environments, see Appendices I, II, and III to DOC/NOAA's "Guidance for Facility and Vessel
Response Plans" (section 10, Appendix E, 40 CFR Part 112 for availability) and the applicable Area
Contingency Plan
Yes No
4. Does the facility have a total oil storage capacity greater than or equal to 1 million gallons and is the
facility located at a distance (calculated using the appropriate formula (Attachment C-lll, Appendix C,
40 CFR 112 or a comparable formula1) such that a discharge from the facility would shut down a
public drinking water intake2?
Yes No
5. Does the facility have a total oil storage capacity greater than or equal to 1 million gallons and has
the facility experienced a reportable oil spill in an amount greater than or equal to 10,000 gallons
within the last 5 years?
Yes No
CERTIFICATION
I certify under penalty of law that I have personally examined and am familiar with the information
submitted in this document, and that based on my inquiry of those individuals responsible for
obtaining this information, I believe that the submitted information is true, accurate, and complete.
Name (please type or print) Signature
Title Date
(from 40 CFR 112 Appendix C, Attachment C-ll)
'If a comparable formula is used, documentation of the reliability and analytical soundness of the
comparable formula must be attached to this form.
2For the purposes of 40 CFR Part 112, public drinking water intakes are analogous to public water
systems As described at 40 CFR 143.2(c).
Facility Response Planning - February 1998 •'5>
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CHECKLIST FOR FACILITY RESPONSE PLANS
Section of Plan
A. Response Plan Cover Sheet
• General Facility Information (Sec. 2.1)
• Applicability of Substantial Harm Criteria Form (Sec. 2.2)
• Certification (Sec. 2.3)
B. Emergency Response Action Plan (Section 1.1)
• Arranged For Quick Reference
• Qualified Individual Information (Sec. 1.2) partial
• Emergency Notification Phone List (Sec. 1.3.1) partial
• Spill Response Notification Form (Sec. 1.3.1) partial
• Response Equipment List and Location (Sec. 1.3.2) complete
• Response Equip. Testing and Deploy. (Sec. 1 .3.3) complete
• Facility Response Team (Sec. 1.3.4) partial
• Evacuation Plan (Sec. 1.3.5) condensed
• Immediate Actions (Sec. 1.7.1) complete
• Facility Diagram (Sec. 1.9) complete
C. Facility Information (Section 1.2)
• Facility name (Sec. 1.2.1)
• Street address (Sec. 1.2.1)
• City, state, zip (Sec. 1.2.1)
• County (Sec. 1.2.1)
• Phone number (Sec. 1.2.1)
• Lat/long information (Sec. 1 .2.2)
• Wellhead protection area (Sec. 1 .2.3)
• Owner/operator information (if different than facility) (Sec. 1.2.4)
• Qualified Individual (Ql) information (Sec. 1.2.5)
• Oil storage start-up date (Sec. 1 .2.6)
• Facility operations description (Sec. 1.2.7)
• SIC code (Sec. 1.2.7)
• Dates and types of substantial expansion (Sec. 1.2.8)
D. Emergency Response Information (Section 1.3)
Notification (Section 1.3.1)
• Emergency Notification Phone List
• Prioritized
• NRC phone number
• Ql day and evening phone numbers
• Company response team day & evening phone numbers
• OSC dav and evening phone numbers
Y/N
Comments
.
•16-
Facility Response Planning - February 1998
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CHECKLIST FOR FACILITY RESPONSE PLANS
Section of Plan
• Area committee day and evening phone numbers
• Local response team phone numbers
• Fire marshal day and evening phone numbers
• SERC day and evening phone numbers
• State police phone number
• LEPC phone number
• Local water supply system day and evening phone numbers
• Weather report phone number
• Local TV/radio phone number(s) for evacuation notification
• Hospital phone number
• Spill Response Notification Form
• Company information
• Incident description
• Matenal
• Response actions
• Impact
• Additional information
• Caller notifications
Response Equipment List (Section 1.3.2)
• List and description of equipment at facility
• Location
• Operational status
• Last equipment test or inspection date
• Effective daily recovery rate (if applicable)
Response Equipment Testing/Deployment (Section 1.3.3)
• Response equipment testing & drill log
• Inspection/test date
• Deployment drill date
• OSRO certification (if applicable)
Personnel (Section 1.3.4)
• Facility Response Team Information
• Work and home phone numbers
• Time needed for personnel to respond
• Responsibility in the case of an emergency
• Level of training
• Emergency Response Contractor Information
• Work and home phone numbers
• Time needed for personnel to respond
• Responsibility in the case of an emergency
• Level of traininq
Y/N
Comments
Facility Response Planning - February 1998
•17.
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CHECKLIST FOR FACILITY RESPONSE PLANS
Section of Plan
• Evidence of contractual agreement
Evacuation Plans (Section 1.3.5)
• Facility Evacuation Diagram
• Facility Evacuation Plan
• Location of stored materials
• Hazard imposed by spilled material
• Spill flow direction
• Prevailing wind direction and speed
• Water currents, tides or wave conditions
• Arrival route of emergency response personnel and equipment
• Evacuation routes
• Alternative routes of evacuation
• Transportation of injured personnel to nearest emergency
medical facility
• Location of alarm/notification systems
• The need for a centralized check-in area for evacuation
validation (roll call)
• Selection of a mitigation command center
• Location of shelter at the facility as an option to evacuation
• Community Evacuation Plan and Diagram (only if discharge poses
high risk to community)
Qualified Individual's Duties (Section 1.3.6)
• Description of responsibilities
• Activate internal alarms and hazard communication systems to
notify all facility personnel
• Notify all response personnel as needed
• Identify the character, exact source, amount and extent of the
release, as well as the other items needed for notification
• Notify and provide necessary information to the appropriate
federal, sate and local authorities with designated response
roles, including the NRC, SERC and LEPC.
• Assess the interaction of the spilled substance with water
and/or other substances stored at the facility and notify
response personnel at the scene of that assessment.
• Assess the possible hazards to human health and the
environment due to the release. This assessment must
consider both the direct and indirect effects of the release.
• Assess and implement prompt removal actions to contain and
remove the substance released.
• Coordinate rescue and response actions as previously arranged
with all response personnel.
• Use authority to immediately access company funding to initiate
cleanup activities.
Y/N
Comments
Facility Response Planning - February 1998
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CHECKLIST FOR FACILITY RESPONSE PLANS
Section of Plan
• Direct cleanup activities until properly relieved of this
responsibility.
E. Hazard Evaluation (Section 1.4)
Hazard Identification (Section 1.4.1)
• Tank and Surface Impoundment Forms
• Each tank listed with a distinct identifier
• Substance stored in tank
• Average quantity stored in tank (in gallons)
• Tank type
• Year the tank was originally installed (refabricated)
• Tank surface area (square feet)
• Maximum capacity of each tank (in gallons)
• Failure/cause which resulted in content lost
• Labeled schematic drawing
• Description of transfers & volume of material
• Volume of material involved in transfer operations
• Description of day-to-day operations
• Volume of material involved in day-to-day operations
• Secondary containment volume
• Normal daily throughput
• Effect on potential release volume that a change in throughput may
cause
Vulnerability Analysis (Section 1.4.2)
• Potential effects of a spill
• Appropriate distances from the facility to environmentally sensitive
areas
• Description of downstream distance that could be affected
• Water intakes
• Schools
• Medical facilities
• Residential areas
• Businesses
• Wetlands or other environmentally sensitive areas
• Fish and wildlife
• Lakes and streams
• Endangered flora and fauna
• Recreational areas
• Transportation routes
• Utilities
Y/N
•
Comments
,
.
Facility Response Planning - February 1998
• 19.
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CHECKLIST FOR FACILITY RESPONSE PLANS
Section of Plan
• Other areas of economic importance including terrestrially
sensitive environments, aquatic environments and unique
habitats
Analysis of the Potential for an Oil Spill (Section 1.4.3)
• Description of the probability of a spill occurring
• Tank age
• Spill history
• Horizontal range of a potential spill
• Vulnerability to natural disaster
Reportable Oil Spill History (Section 1.4.4)
• Date of discharge
• List of discharge causes
• Material(s) discharged
• Amount discharged in gallons
• Amount of discharge that reached navigable waters
• Effectiveness and capacity of secondary containment
• Clean-up actions taken
• Steps taken to reduce possibility of recurrence
• Total storage capacity of the tank(s) or impoundment(s) from
which the material discharged
• Enforcement actions
• Effectiveness of monitoring equipment
• Description of how each spill was detected
F. Discharge Scenarios (Section 1.5)
Small and Medium Discharges (Section 1.5.1)
• Volumes for small and medium discharges provided
• Scenarios take into account all applicable facility operations
• Loading and unloading of surface transportation
• Facility maintenance
• Facility piping
• Pumping stations and sumps
• Storage tanks
• Vehicle refueling
• Age and condition of facility and components
• Scenarios consider factors that affect the response efforts
• Size of the spill
• Proximity to downgradient wells, waterways and drinking water
intakes
• Proximity to environmentally sensitive areas
• Likelihood that the discharqe will travel offsite
Y/N
Comments
•20*
Facility Response Planning - February 1998
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CHECKLIST FOR FACILITY RESPONSE PLANS
Section of Plan
• Location of the material spilled
• Material discharged
• Weather or aquatic conditions
• Available remediation equipment
• Probability of a chain reaction of failures
• Direction of spill pathway
Worst Case Discharges (Section 1.5.2)
• Completed worksheet - correct worst case discharge calculation
• Scenanos take into account facility operations
• Loading and unloading of surface transportation
• Facility maintenance
• Facility piping
• Pumping stations and sumps
• Storage tanks
• Vehicle refueling
• Age and condition of facility and components
• Scenarios consider factors that affect the response efforts
• Size of the spill
• Proximity to downgradient wells, waterways and drinking water
intakes
• Likelihood that the discharge will travel offsite
• Location of the material spilled
• Material discharges
• Weather or aquatic conditions
• Available remediation equipment
• Probability of a chain reaction of failures
• Direction of spill pathway
G. Discharge Detection Systems (Section 1.6)
Discharge Detection by Personnel (Section 1.6.1)
• Descnption of procedures and personnel
• Thorough discussion of facility inspections
• Description of initial response actions
Automated Discharge Detection (Section 1.6.2)
• Description of automated spill detection equipment
• Discussion of plans to verify an automated alarm
• Discussion of actions to be taken once verified
Y/N
,
Comments
Facility Response Planning - February 1998
•21-
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CHECKLIST FOR FACILITY RESPONSE PLANS
Section of Plan
H. Plan Implementation (Section 1.7)
Response Resources for Small, Medium, and Worst Case Spills
(Section 1.7.1)
• Description of response actions to be carried out under the plan
• Identification of response resources for small spills
• Identification of response resources for medium spills
• Identification of response resources for worst case discharges
• Worksheet plan volume of response resources for worst case
discharge
• Emergency plans for spill response
• Additional training
• Additional contracted help
• Access to additional equipment/experts
• Ability to implement plan including training and practice drills
• Discussion of adequate storage capacity for recovered oily material
• Identification of response personnel involved in cleanup
• Description of procedures to update plan after a spill and the time
frame
Disposal Plans (Section 1.7.2)
• Description of how the facility will dispose of materials
• Description of where the facility will dispose of materials
• Discussion of the appropriate permits
• Discussion of materials to be disposed of
• Recovered product
• Contaminated soil
• Contaminated equipment and materials
• Personnel protective equipment
• Decontamination solutions
• Adsorbents
• Spent chemicals
• Disposal plans are prepared in accordance with appropriate
regulations
Containment and Drainage Planning (Section 1.7.3)
• Describes how to contain and control a spill through drainage,
including:
• Available volume of containment;
• Route of drainage from oil storage areas;
• Construction materials used in drainage sloughs;
• Type and number of valves and separators;
• Sump pump capacities:
Y/N
Comments
•22-
Facility Response Planning - February 1998
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CHECKLIST FOR FACILITY RESPONSE PLANS
Section of Plan
• Containment capacity of weirs and booms and their locations
and other cleanup materials.
1. Self-Inspection, Drills/Exercises, & Response Training (Section
1.8)
Facility Self-Inspection (Section 1.8.1)
• SPCC inspections and records are cross-referenced
• Records are maintained for five years
Tank Inspection (Section 1.8.1.1)
• Tanks checklist for leak detection
A. Drip marks
B. Discoloration of tanks
C. Puddles containing stored materials
D. Corrosion
E. Cracks
F. Localized dead vegetation
• Foundations checklist
A. Cracks
B. Discoloration
C. Puddles containing stored material
D. Settling
E. Gaps between tank and foundation
F Damage caused by vegetation roots
• Piping checklist
A. Droplets of stored material
B. Discoloration
C. Corrosion
D. Bowing of pipe between supports
E. Evidence of stored material seepage on valves or seals
F Localized dead vegetation
• Tank Inspection Log
• Date of inspection is noted
Response Equipment Inspection (Section 1.8.1.2)
• Description of each type of equipment checklist
1 . Inventory (item and quantity)
2. Storage locations
3. Accessibility (time to access and respond)
4. Operational status/condition
5. Actual use/testing (last test date and frequency of testing)
6 Shelf life (present aqe. expected replacement date)
Y/N
Comments
Facility Response Planning - February 1998
•23-
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CHECKLIST FOR FACILITY RESPONSE PLANS
Section of Plan
• Response equipment inspection log
• Date of inspection is noted
Secondary Containment Inspection (Section 1.8.1.3)
• Dike or berm checklist
A. Level or precipitation in dike/available capacity
B. Operation status of drainage valves
C. Dike or berm permeability
D. Debris
E. Erosion
F. Permeability of the earthen floor of diked area
G. Location/status of pipes, inlets and drainage beneath tanks
• Secondary containment checklist
A. Cracks
B. Discoloration
C. Presence of stored material
D. Corrosion
E. Valve conditions
• Retention and drainage pond checklist
A. Erosion
B. Available capacity
C. Presence of stored material
D. Debns
E. Stressed vegetation
• Secondary containment inspection log
• Date of inspection is noted
Facility Drills/Exercises (Section 1.8.2)
• Description of facility drills/exercises
• Descnption of internal and external drills
• Ql Notification Drill Logs (Section 1.8.2.1)
• Spill Management Team Tabletop Exercise Logs (Section
1.8.2.2)
Response Training (Section 1.8.3)
• Personnel Response Training Logs (Sec. 1.8.3.1)
• Discharge Prevention Meeting Logs (Sec. 1.8.3.2)
J. Diagrams (Section 1.9)
• Site Plan Diagram
A. Entire facility to scale
B. Above and below ground bulk storage tanks
C Contents and capacities of bulk storaae tanks
Y/N
Comments
.24-
Facility Response Planning - February 1998
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CHECKLIST FOR FACILITY RESPONSE PLANS
Section of Plan
D. Contents and capacities of drum storage areas
E. Contents and capacities of surface impoundments
F. Process buildings
G. Transfer areas
H Secondary containment systems
1. Structures where hazardous materials are stored or handled,
including materials stored and capacity of storage
J Location of communication and emergency response equipment
K. Location of electrical equipment which contains oil
L. Complexes only, interfaces btwn. the portion of the facility
regulated by EPA and the other portions regulated by other
Agencies.
• Site Drainage Plan Diagram .
A. Major sanitary and storm sewers, manholes and drains
B. Weirs and shut-off valves
C. Surface water receiving streams
D Fire-fighting water sources
E. Other utilities
F. Response personnel ingress and egress
G. Equipment transportation routes
H. Direction of spill flow from release points
• Site Evacuation Plan Diagram
A. Evacuation routes
B Location of evacuation regrouping areas
K. Security (Section 1.10)
• Description of facility security
1 . Emergency cut-off locations
2. Enclosures
3 Guards and their duties day and night
4 Lighting
5 Valve and pump locks
6 Pipeline connection caps
Acronyms List (Sec. 3.0)
References (Sec. 4.0)
Y/N
Comments
Facility Response Planning - February 1998
Library
US EPA Region 3
/ 1650 Arch St.
Philadelphia, PA 19103
•25.
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EPA REGIONAL OFFICES FOR
RESPONSE PLAN SURMTITAL
Regjonl
(CT.Mft.IXE, Mitt. VI)
Response PlartSPOC Goorotoatar
(MR) _
Rssponsc Section
JFK Federal Bukfng
Boston. MA 02203
Region X
(AKIO,ORVW)
SNS(HIM14)
1200 Sixth Ave. 11th
Hoar
Seattle. VvA 94101
Regan I
(NJLNY.PRUSM)
Response ft Prevention Brand
Oil Pre^an Team
2890 Wbodndge AM: (MS411)
Edson.NJOB837
Preventian Section (HWM
ER)
Denver, GO 80202-2405
(HSE-61)
77 W Jackson Bvd,Stti
FL
Regonll
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