United States
Environmental Protection
Agency
Office of Solid Waste
and Emergency Response
May 2011
www.epa.gov/emergencies
Spill Prevention, Control, and Countermeasure (SPCC) Rule
Streamlined Requirements for Tier I and II Qualified Facilities
The SPCC rule has streamlined requirements for facilities with smaller oil storage capacity. The owner
or operator of a "qualified facility" can prepare and self-certify an SPCC Plan rather than have a
Professional Engineer (PE) review and certify the Plan. Self-certification is optional.
What is a Qualified Facility?
A qualified facility is an SPCC-regulated facility in
which the owner or operator is eligible to self-
certify the SPCC Plan rather than have a PE
certify the Plan.
There are two types of qualified facilities (Tier I
and II). Tier I qualified facility owners or operators
complete a self-certified SPCC Plan template in
lieu of a full SPCC Plan. These facilities meet the
eligibility criteria for a qualified facility and have no
individual aboveground oil containers greater than
5,000 gallons.
All other qualified facilities are designated "Tier II
qualified facilities" and the owner or operator
prepares a full SPCC Plan and self-certifies the
Plan.
Do I have a Qualified Facility?
To determine if your facility is a qualified facility
and what tier it is, you simply need to know the
total capacity of aboveground oil storage
containers at the facility and information on oil
spills from the facility for the past three years.
A facility must meet two criteria to take advantage
of the Tier II qualified facilities option:
• The facility has 10,000 gallons or less in
aggregate aboveground oil storage capacity;
and
• The facility has not had any oil spills as
described in the table below:
Qualified Facility Applicability
If the facility total aboveground oil storage capacity is 10,000 gallons or less ...
And...
And the facility has... Then the facility is a:
Within three years prior to the Plan
certification date, or since becoming subject
to the SPCC rule if in operation for less than
three years, the facility has not had:
• A single discharge of oil to navigable
waters or adjoining shorelines
exceeding 1,000 gallons, or
• Two discharges of oil to navigable
waters or adjoining shorelines each
exceeding 42 gallons within any 12-
month period.
No individual
aboveground oil
containers greater
than 5,000 gallons;
Any individual
aboveground oil
container greater than
5,000 gallons;
Tier I Qualified Facility:
Complete and self-certify Plan
template (Appendix G to 40 CFR part
112) in lieu of a full PE-certified Plan
or other self-certified SPCC Plan.
Tier II Qualified Facility:
Prepare a self-certified Plan in
accordance with all applicable
requirements of §112.7 and subparts
B or C of the rule, in lieu of a PE-
certified Plan.
1Not including discharges that are the result of natural disasters, acts of war, or terrorism. When determining the applicability of this SPCC
reporting requirement, the gallon amount(s) specified (either 1,000 or 42) refers to the amount of oil that actually reaches navigable waters or
adjoining shorelines not the total amount of oil spilled. EPA considers the entire volume of the discharge to be oil for the purposes of these
reporting requirements.
Office of Emergency Management
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SPCC Qualified Facilities Guidelines Fact Sheet
May 2011
What do I do if I have a
Tier I qualified facility?
In lieu of preparing a full SPCC Plan that is
PE-certified or self-certified, you have the option
to complete and self-certify the SPCC Plan
template found in Appendix G of 40 CFR part 112.
The Plan template is a simple SPCC Plan that
includes only the requirements that apply to this
tier of regulated facilities.
The Plan template is available, in several formats,
on the EPA website at
www.epa.gov/emergencies. Once you complete
and certify the template, it serves as the SPCC
Plan for the facility. You can also certify any future
amendments to the SPCC Plan.
What do I do if I have a
Tier II qualified facility?
You must prepare and implement an SPCC Plan
that follows all of the rule requirements in 40 CFR
112; however, you may choose to self-certify the
facility's SPCC Plan and future amendments
instead of having the SPCC Plan reviewed and
certified by a PE.
How do I certify my SPCC Plan?
You must certify that:
• You are familiar with the SPCC requirements;
• You have visited and examined the facility;
The Plan has been prepared in accordance
with accepted and sound industry practices
and standards and with the rule requirements;
• Procedures for required inspections and
testing have been established;
• The Plan is being fully implemented;
• The facility meets the qualifying criteria;
• The Plan does not deviate from rule
requirements except as allowed and as
certified by a PE; and
Management approves the Plan and has
committed resources to implement it.
Do state engineering requirements
impact SPCC Plan self-certification?
Yes, some states require a PE to perform certain
functions, including certifying SPCC Plans. Check
with your state's engineer licensing board to find
out if it prohibits SPCC Plan self-certification. If
so, you may not be able to self-certify your Plan.
If I own a qualified facility, am I
required to self-certify the SPCC Plan?
No. Self-certifying and/or using the Tier I Plan
template are alternative means of complying with
SPCC requirements.
If you own or operate a Tier I qualified facility, you
can choose to prepare and implement either a full
PE-certified SPCC Plan or a self-certified SPCC
Plan according to all of the requirements of
§112.6(b) (fora Tier II qualified facility) in order to
comply with the requirements under 40 CFR part
112.
If you own a Tier II qualified facility, you can
choose to have a PE prepare and certify your
SPCC Plan.
Regardless of who prepares or certifies the SPCC
Plan, the facility owner or operator is ultimately
responsible to prepare a Plan, amend it when
necessary, and implement the Plan. If the oil spill
reaches navigable waters or adjoining shorelines,
then you must report the spill to the National
Response Center (NRC) and in some cases to
the EPA Regional office. After receiving a report
of an oil discharge, the EPA Regional
Administrator may determine whether you must
amend your SPCC Plan and have it certified by a
PE.
How do I report an oil spill?
You must immediately report oil spills to navigable
waters or adjoining shorelines to the NRC at 1-
800-424-8802 or 1-202-426-2675.
Additionally, if you are required to have an SPCC
Plan and the amount of oil spilled to water is more
than 1,000 gallons or more than 42 gallons on two
different occasions within a 12-month period, then
you must also notify your EPA Regional office in
writing.
Office of Emergency Management
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SPCC Qualified Facilities Guidelines Fact Sheet
May 2011
Can I substitute other measures for
any of the SPCC rule requirements?
You may deviate from rule requirements under
certain circumstances if you are the owner or
operator of a Tier II Qualified Facility.
The SPCC rule allows for environmentally
equivalent alternatives to specific rule provisions
when the alternative measures are described and
documented in the SPCC Plan. You can provide
environmentally equivalent alternatives in your
Tier II SPCC Plan when these measures are
reviewed and certified by a PE.
Similarly, you may determine that secondary
containment is impracticable and develop a
contingency plan in accordance with the rule as
long as the determination is reviewed and certified
by a PE. A self-certified Plan with PE-certified
portions is called a "hybrid Plan."
Can a Tier I qualified facility use a
"hybrid Plan"?
No, a Tier I facility cannot use a "hybrid Plan,"
because the Tier I category is meant to allow
facilities with simple oil storage configurations to
have a relatively simple means to comply with the
SPCC requirements. If a facility qualifies to use
the SPCC Plan template but has site-specific
factors that make it difficult to use the template as
written,2 then the Appendix G Plan template may
not be an appropriate tool for the facility to
address its oil spill planning elements. Instead,
the facility owner/operator could opt to comply
with the SPCC requirements as a Tier II qualified
facility—that is, prepare a full self-certified Plan or
hybrid Plan.
Can I lose eligibility to self-certify my
SPCC Plan?
Yes, if you increase the oil storage capacity at
your facility above the 10,000 gallon threshold,
then you will lose your eligibility to self-certify your
SPCC Plan and must have a PE certify the Plan
within 6 months of the change.
However, you do not automatically lose eligibility if
you have an oil spill to navigable waters or
adjoining shorelines after self-certifying your
SPCC Plan. Following an oil spill(s) reported to
EPA, the Regional Administrator may require that
the SPCC Plan be amended in accordance with
§112.4(d) and require a PE certification.
How and when do I maintain my SPCC
Plan?
Amend and update your SPCC Plan when
changes are made to the facility, for example, if
you add new storage containers (e.g. tanks) that
are 55 gallons or larger. You also must review
your Plan every five years and should use that
review to include any changes in oil storage or
spill prevention procedures or equipment at your
facility.
When should I prepare and implement
an SPCC Plan?
Facilities in operation on or before August 16,
2002, must maintain and amend their existing
Plan by November 10, 2011.
Any facility that started operation after August 16,
2002, but before November 10, 2011, must
prepare and implement a Plan on or before
November 10, 2011.
If your facility was in operation before August 16,
2002, and you do not already have a Plan, you
must prepare a Plan now. Do not wait until
November 10, 2011.
A new facility coming into operation after
November 10, 2011, must have a Plan prepared
and implemented before beginning operations.
However, a new oil production facility coming into
operation after November 10, 2011, must have a
Plan prepared and implemented within six months
of beginning operations.
' If you do not follow the Appendix G template, you may prepare an equivalent Tier I Plan that meets all of the applicable requirements found
in the Tier I template. You must also supplement the Plan with a section cross-referencing the location of all Tier I requirements.
Office of Emergency Management
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SPCC Qualified Facilities Guidelines Fact Sheet
May 2011
Tier I and II Qualified Facility Eligibility Requirements and Options
Does the facility have 10,000 U.S. gallons or less in
aggregate aboveground oil storage capacity?
Yes
Has the facility had (1) a single discharge of oil to
navigable waters or adjoining shorelines exceeding 1,000
U.S. gallons, or (2) two discharges of oil to navigable
waters or adjoining shorelines each exceeding 42 U.S.
gallons within any twelve-month period, in the three
years prior to the SPCC Plan certification date, or since
becoming subject to the SPCC rule if facility has been in
operation for less than three years?*
Yes
Does the facility have any individual aboveground oil
containers greater than 5,000 U.S. gallons?
Yes
Tier I Qualified Facility
The facility may complete and self-certify an SPCC Plan
template (in Appendix G to 40 CFR part 112) in lieu of a
full SPCC Plan reviewed and certified by a PE.
No
Facility is not a Qualified Facility
Tier II Qualified Facility
The facility may prepare a self-certified SPCC
Plan in accordance with all of the applicable
requirements of §112.7 and subparts B and
C of the rule, instead of one reviewed and
certified by a Professional Engineer (PE).
* Not including discharges that are the result of natural disasters, acts of war, or terrorism. When determining the applicability of this
SPCC reporting requirement, the gallon amount(s) specified (either 1,000 or 42) refers to the amount of oil that actually reaches
navigable waters or adjoining shorelines not the total amount of oil spilled. EPA considers the entire volume of the discharge to be
oil for the purposes of these reporting requirements.
For More Information
Read the SPCC rule amendment
www.epa.gov/emergencies/spcc
Review the Oil Pollution Prevention regulation (40 CFR part 112)
http://www.gpoaccess.gov/cfr/
Visit the EPA Office of Emergency Management website
www.epa.gov/emergencies
Call the Superfund, TRI, EPCRA, RMP, and Oil Information Center
(800) 424-9346 or (703) 412-9810
TDD (800) 553-7672 or (703) 412-3323
http://www.epa.gov/superfund/contacts/infocenter/index.htm
To Report an Oil or Chemical Spill
Call the National Response Center
(800) 424-8802 or (202) 267-2675
TDD (202) 267-4477
Office of Emergency Management
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