22 

Pt. 112 40 CFR Ch. I (7–1–15 Edition) 

in accordance with such procedures as 

the Secretary of Transportation may 

prescribe. The procedures for such notice are set forth in U.S. Coast Guard 

regulations, 33 CFR part 153, subpart B 

and in the National Oil and Hazardous 

Substances Pollution Contingency 

Plan, 40 CFR part 300, subpart E. 

(Approved by the Office of Management and 

Budget under control number 2050–0046) 

[52 FR 10719, Apr. 2, 1987. Redesignated and 

amended at 61 FR 7421, Feb. 28, 1996; 61 FR 

14032, Mar. 29, 1996] 

PART 112—OIL POLLUTION 

PREVENTION 

Subpart A—Applicability, Definitions, and 

General Requirements For All Facilities 

and All Types of Oils 

Sec. 

112.1 General applicability. 

112.2 Definitions. 

112.3 Requirement to prepare and implement a Spill Prevention, Control, and 

Countermeasure Plan. 

112.4 Amendment of Spill Prevention, Control, and Countermeasure Plan by Regional Administrator. 

112.5 Amendment of Spill Prevention, Control, and Countermeasure Plan by owners 

or operators. 

112.6 Qualified Facility Plan Requirements. 

112.7 General requirements for Spill Prevention, Control, and Countermeasure 

Plans. 

Subpart B—Requirements for Petroleum 

Oils and Non-Petroleum Oils, Except 

Animal Fats and Oils and Greases, 

and Fish and Marine Mammal Oils; 

and Vegetable Oils (Including Oils 

from Seeds, Nuts, Fruits, and Kernels) 

112.8 Spill Prevention, Control, and Countermeasure Plan requirements for onshore facilities (excluding production facilities). 

112.9 Spill Prevention, Control, and Countermeasure Plan Requirements for onshore oil production facilities (excluding 

drilling and workover facilities). 

112.10 Spill Prevention, Control, and Countermeasure Plan requirements for onshore oil drilling and workover facilities. 

112.11 Spill Prevention, Control, and Countermeasure Plan requirements for offshore oil drilling, production, or 

workover facilities. 

Subpart C—Requirements for Animal Fats 

and Oils and Greases, and Fish and 

Marine Mammal Oils; and for Vegetable Oils, Including Oils from Seeds, 

Nuts, Fruits and Kernels 

112.12 Spill Prevention, Control, and Countermeasure Plan requirements. 

112.13–112.15 [Reserved] 

Subpart D—Response Requirements 

112.20 Facility response plans. 

112.21 Facility response training and drills/ 

exercises. 

APPENDIX A TO PART 112—MEMORANDUM OF

UNDERSTANDING BETWEEN THE SECRETARY

OF TRANSPORTATION AND THE ADMINISTRATOR OF THE ENVIRONMENTAL PROTECTION AGENCY

APPENDIX B TO PART 112—MEMORANDUM OF

UNDERSTANDING AMONG THE SECRETARY

OF THE INTERIOR, SECRETARY OF TRANSPORTATION, AND ADMINISTRATOR OF THE

ENVIRONMENTAL PROTECTION AGENCY

APPENDIX C TO PART 112—SUBSTANTIAL HARM

CRITERIA

APPENDIX D TO PART 112—DETERMINATION OF

A WORST CASE DISCHARGE PLANNING VOLUME

APPENDIX E TO PART 112—DETERMINATION

AND EVALUATION OF REQUIRED RESPONSE

RESOURCES FOR FACILITY RESPONSE

PLANS

APPENDIX F TO PART 112—FACILITY-SPECIFIC

RESPONSE PLAN

APPENDIX G TO PART 112—TIER I QUALIFIED

FACILITY SPCC PLAN

AUTHORITY: 33 U.S.C. 1251 et seq.; 33 U.S.C. 

2720; E.O. 12777 (October 18, 1991), 3 CFR, 1991 

Comp., p. 351. 

EFFECTIVE DATE NOTE: At 80 FR 37108, June 

29, 2015, the authority citation to part 112 

was revised, effective Aug. 28, 2015. For the 

convenience of the user, the revised text is 

set forth as follows: 

AUTHORITY: 33 U.S.C. 1251 et seq. 

SOURCE: 38 FR 34165, Dec. 11, 1973, unless 

otherwise noted. 

EDITORIAL NOTE: Nomenclature changes to 

part 112 appear at 65 FR 40798, June 30, 2000. 

Subpart A—Applicability, Definitions, and General Requirements for All Facilities and All 

Types of Oils 

SOURCE: 67 FR 47140, July 17, 2002, unless 

otherwise noted. 


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Environmental Protection Agency § 112.1 

§ 112.1 General applicability. 

(a)(1) This part establishes procedures, methods, equipment, and other 

requirements to prevent the discharge 

of oil from non-transportation-related 

onshore and offshore facilities into or 

upon the navigable waters of the 

United States or adjoining shorelines, 

or into or upon the waters of the contiguous zone, or in connection with activities under the Outer Continental 

Shelf Lands Act or the Deepwater Port 

Act of 1974, or that may affect natural 

resources belonging to, appertaining 

to, or under the exclusive management 

authority of the United States (including resources under the Magnuson 

Fishery Conservation and Management 

Act). 

(2) As used in this part, words in the 

singular also include the plural and 

words in the masculine gender also include the feminine and vice versa, as 

the case may require. 

(b) Except as provided in paragraph 

(d) of this section, this part applies to 

any owner or operator of a non-transportation-related onshore or offshore 

facility engaged in drilling, producing, 

gathering, storing, processing, refining, 

transferring, distributing, using, or 

consuming oil and oil products, which 

due to its location, could reasonably be 

expected to discharge oil in quantities 

that may be harmful, as described in 

part 110 of this chapter, into or upon 

the navigable waters of the United 

States or adjoining shorelines, or into 

or upon the waters of the contiguous 

zone, or in connection with activities 

under the Outer Continental Shelf 

Lands Act or the Deepwater Port Act 

of 1974, or that may affect natural resources belonging to, appertaining to, 

or under the exclusive management authority of the United States (including 

resources under the Magnuson Fishery 

Conservation and Management Act) 

that has oil in: 

(1) Any aboveground container; 

(2) Any completely buried tank as defined in §112.2; 

(3) Any container that is used for 

standby storage, for seasonal storage, 

or for temporary storage, or not otherwise ‘‘permanently closed’’ as defined 

in §112.2; 

(4) Any ‘‘bunkered tank’’ or ‘‘partially buried tank’’ as defined in §112.2, 

or any container in a vault, each of 

which is considered an aboveground 

storage container for purposes of this 

part. 

(c) As provided in section 313 of the 

Clean Water Act (CWA), departments, 

agencies, and instrumentalities of the 

Federal government are subject to this 

part to the same extent as any person. 

(d) Except as provided in paragraph 

(f) of this section, this part does not 

apply to: 

(1) The owner or operator of any facility, equipment, or operation that is 

not subject to the jurisdiction of the 

Environmental Protection Agency 

(EPA) under section 311(j)(1)(C) of the 

CWA, as follows: 

(i) Any onshore or offshore facility, 

that due to its location, could not reasonably be expected to have a discharge as described in paragraph (b) of 

this section. This determination must 

be based solely upon consideration of 

the geographical and location aspects 

of the facility (such as proximity to 

navigable waters or adjoining shorelines, land contour, drainage, etc.) and 

must exclude consideration of manmade features such as dikes, equipment 

or other structures, which may serve 

to restrain, hinder, contain, or otherwise prevent a discharge as described 

in paragraph (b) of this section. 

(ii) Any equipment, or operation of a 

vessel or transportation-related onshore or offshore facility which is subject to the authority and control of the 

U.S. Department of Transportation, as 

defined in the Memorandum of Understanding between the Secretary of 

Transportation and the Administrator 

of EPA, dated November 24, 1971 (appendix A of this part). 

(iii) Any equipment, or operation of a 

vessel or onshore or offshore facility 

which is subject to the authority and 

control of the U.S. Department of 

Transportation or the U.S. Department 

of the Interior, as defined in the Memorandum of Understanding between the 

Secretary of Transportation, the Secretary of the Interior, and the Administrator of EPA, dated November 8, 1993 

(appendix B of this part). 

(2) Any facility which, although otherwise subject to the jurisdiction of 

EPA, meets both of the following requirements: 


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§ 112.1 40 CFR Ch. I (7–1–15 Edition) 

(i) The completely buried storage capacity of the facility is 42,000 U.S. gallons or less of oil. For purposes of this 

exemption, the completely buried storage capacity of a facility excludes the 

capacity of a completely buried tank, 

as defined in §112.2, and connected underground piping, underground ancillary equipment, and containment systems, that is currently subject to all of 

the technical requirements of part 280 

of this chapter or all of the technical 

requirements of a State program approved under part 281 of this chapter, 

or the capacity of any underground oil 

storage tanks deferred under 40 CFR 

part 280 that supply emergency diesel 

generators at a nuclear power generation facility licensed by the Nuclear 

Regulatory Commission and subject to 

any Nuclear Regulatory Commission 

provision regarding design and quality 

criteria, including, but not limited to, 

10 CFR part 50. The completely buried 

storage capacity of a facility also excludes the capacity of a container that 

is ‘‘permanently closed,’’ as defined in 

§112.2 and the capacity of intra-facility 

gathering lines subject to the regulatory requirements of 49 CFR part 192 

or 195. 

(ii) The aggregate aboveground storage capacity of the facility is 1,320 U.S. 

gallons or less of oil. For the purposes 

of this exemption, only containers with 

a capacity of 55 U.S. gallons or greater 

are counted. The aggregate aboveground storage capacity of a facility 

excludes: 

(A) The capacity of a container that 

is ‘‘permanently closed’’ as defined in 

§112.2; 

(B) The capacity of a ‘‘motive power 

container’’ as defined in §112.2; 

(C) The capacity of hot-mix asphalt 

or any hot-mix asphalt container; 

(D) The capacity of a container for 

heating oil used solely at a single-family residence; 

(E) The capacity of pesticide application equipment and related mix containers. 

(F) The capacity of any milk and 

milk product container and associated 

piping and appurtenances. 

(3) Any offshore oil drilling, production, or workover facility that is subject to the notices and regulations of 

the Minerals Management Service, as 

specified in the Memorandum of Understanding between the Secretary of 

Transportation, the Secretary of the 

Interior, and the Administrator of 

EPA, dated November 8, 1993 (appendix 

B of this part). 

(4) Any completely buried storage 

tank, as defined in §112.2, and connected underground piping, underground ancillary equipment, and containment systems, at any facility, that 

is subject to all of the technical requirements of part 280 of this chapter 

or a State program approved under 

part 281 of this chapter, or any underground oil storage tanks including 

below-grade vaulted tanks, deferred 

under 40 CFR part 280, as originally 

promulgated, that supply emergency 

diesel generators at a nuclear power 

generation facility licensed by the Nuclear Regulatory Commission, provided 

that such a tank is subject to any Nuclear Regulatory Commission provision 

regarding design and quality criteria, 

including, but not limited to, 10 CFR 

part 50. Such emergency generator 

tanks must be marked on the facility 

diagram as provided in §112.7(a)(3), if 

the facility is otherwise subject to this 

part. 

(5) Any container with a storage capacity of less than 55 gallons of oil. 

(6) Any facility or part thereof used 

exclusively for wastewater treatment 

and not used to satisfy any requirement of this part. The production, recovery, or recycling of oil is not wastewater treatment for purposes of this 

paragraph. 

(7) Any ‘‘motive power container,’’ as 

defined in §112.2. The transfer of fuel or 

other oil into a motive power container 

at an otherwise regulated facility is 

not eligible for this exemption. 

(8) Hot-mix asphalt, or any hot-mix 

asphalt container. 

(9) Any container for heating oil used 

solely at a single-family residence. 

(10) Any pesticide application equipment or related mix containers. 

(11) Intra-facility gathering lines subject to the regulatory requirements of 

49 CFR part 192 or 195, except that such 

a line’s location must be identified and 

marked as ‘‘exempt’’ on the facility 

diagram as provided in §112.7(a)(3), if 

the facility is otherwise subject to this 

part. 


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Environmental Protection Agency § 112.1 

(12) Any milk and milk product container and associated piping and appurtenances. 

(e) This part establishes requirements for the preparation and implementation of Spill Prevention, Control, 

and Countermeasure (SPCC) Plans. 

SPCC Plans are designed to complement existing laws, regulations, 

rules, standards, policies, and procedures pertaining to safety standards, 

fire prevention, and pollution prevention rules. The purpose of an SPCC 

Plan is to form a comprehensive Federal/State spill prevention program 

that minimizes the potential for discharges. The SPCC Plan must address 

all relevant spill prevention, control, 

and countermeasures necessary at the 

specific facility. Compliance with this 

part does not in any way relieve the 

owner or operator of an onshore or an 

offshore facility from compliance with 

other Federal, State, or local laws. 

(f) Notwithstanding paragraph (d) of 

this section, the Regional Administrator may require that the owner or 

operator of any facility subject to the 

jurisdiction of EPA under section 311(j) 

of the CWA prepare and implement an 

SPCC Plan, or any applicable part, to 

carry out the purposes of the CWA. 

(1) Following a preliminary determination, the Regional Administrator 

must provide a written notice to the 

owner or operator stating the reasons 

why he must prepare an SPCC Plan, or 

applicable part. The Regional Administrator must send such notice to the 

owner or operator by certified mail or 

by personal delivery. If the owner or 

operator is a corporation, the Regional 

Administrator must also mail a copy of 

such notice to the registered agent, if 

any and if known, of the corporation in 

the State where the facility is located. 

(2) Within 30 days of receipt of such 

written notice, the owner or operator 

may provide information and data and 

may consult with the Agency about the 

need to prepare an SPCC Plan, or applicable part. 

(3) Within 30 days following the time 

under paragraph (b)(2) of this section 

within which the owner or operator 

may provide information and data and 

consult with the Agency about the 

need to prepare an SPCC Plan, or applicable part, the Regional Administrator 

must make a final determination regarding whether the owner or operator 

is required to prepare and implement 

an SPCC Plan, or applicable part. The 

Regional Administrator must send the 

final determination to the owner or operator by certified mail or by personal 

delivery. If the owner or operator is a 

corporation, the Regional Administrator must also mail a copy of the 

final determination to the registered 

agent, if any and if known, of the corporation in the State where the facility 

is located. 

(4) If the Regional Administrator 

makes a final determination that an 

SPCC Plan, or applicable part, is necessary, the owner or operator must prepare the Plan, or applicable part, within six months of that final determination and implement the Plan, or applicable part, as soon as possible, but not 

later than one year after the Regional 

Administrator has made a final determination. 

(5) The owner or operator may appeal 

a final determination made by the Regional Administrator requiring preparation and implementation of an SPCC 

Plan, or applicable part, under this 

paragraph. The owner or operator must 

make the appeal to the Administrator 

of EPA within 30 days of receipt of the 

final determination under paragraph 

(b)(3) of this section from the Regional 

Administrator requiring preparation 

and/or implementation of an SPCC 

Plan, or applicable part. The owner or 

operator must send a complete copy of 

the appeal to the Regional Administrator at the time he makes the appeal 

to the Administrator. The appeal must 

contain a clear and concise statement 

of the issues and points of fact in the 

case. In the appeal, the owner or operator may also provide additional information. The additional information 

may be from any person. The Administrator may request additional information from the owner or operator. The 

Administrator must render a decision 

within 60 days of receiving the appeal 

or additional information submitted by 

the owner or operator and must serve 

the owner or operator with the decision 


Lhorne on DSK5TPTVN1PROD with CFR
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§ 112.2 40 CFR Ch. I (7–1–15 Edition) 

made in the appeal in the manner described in paragraph (f)(1) of this section. 

[67 FR 47140, July 17, 2002, as amended at 71 

FR 77290, Dec. 26, 2006; 73 FR 74300, Dec. 5, 

2008; 74 FR 58809, Nov. 13, 2009; 76 FR 21660, 

Apr. 18, 2011] 

§ 112.2 Definitions. 

For the purposes of this part: 

Adverse weather means weather conditions that make it difficult for response equipment and personnel to 

clean up or remove spilled oil, and that 

must be considered when identifying 

response systems and equipment in a 

response plan for the applicable operating environment. Factors to consider 

include significant wave height as 

specified in appendix E to this part (as 

appropriate), ice conditions, temperatures, weather-related visibility, and 

currents within the area in which the 

systems or equipment is intended to 

function. 

Alteration means any work on a container involving cutting, burning, 

welding, or heating operations that 

changes the physical dimensions or 

configuration of the container. 

Animal fat means a non-petroleum 

oil, fat, or grease of animal, fish, or 

marine mammal origin. 

Breakout tank means a container used 

to relieve surges in an oil pipeline system or to receive and store oil transported by a pipeline for reinjection and 

continued transportation by pipeline. 

Bulk storage container means any container used to store oil. These containers are used for purposes including, 

but not limited to, the storage of oil 

prior to use, while being used, or prior 

to further distribution in commerce. 

Oil-filled electrical, operating, or manufacturing equipment is not a bulk 

storage container. 

Bunkered tank means a container 

constructed or placed in the ground by 

cutting the earth and re-covering the 

container in a manner that breaks the 

surrounding natural grade, or that lies 

above grade, and is covered with earth, 

sand, gravel, asphalt, or other material. A bunkered tank is considered an 

aboveground storage container for purposes of this part. 

Completely buried tank means any 

container completely below grade and 

covered with earth, sand, gravel, asphalt, or other material. Containers in 

vaults, bunkered tanks, or partially 

buried tanks are considered aboveground storage containers for purposes 

of this part. 

Complex means a facility possessing a 

combination of transportation-related 

and non-transportation-related components that is subject to the jurisdiction 

of more than one Federal agency under 

section 311(j) of the CWA. 

Contiguous zone means the zone established by the United States under 

Article 24 of the Convention of the Territorial Sea and Contiguous Zone, that 

is contiguous to the territorial sea and 

that extends nine miles seaward from 

the outer limit of the territorial area. 

Contract or other approved means 

means: 

(1) A written contractual agreement 

with an oil spill removal organization 

that identifies and ensures the availability of the necessary personnel and 

equipment within appropriate response 

times; and/or 

(2) A written certification by the 

owner or operator that the necessary 

personnel and equipment resources, 

owned or operated by the facility 

owner or operator, are available to respond to a discharge within appropriate response times; and/or 

(3) Active membership in a local or 

regional oil spill removal organization 

that has identified and ensures adequate access through such membership 

to necessary personnel and equipment 

to respond to a discharge within appropriate response times in the specified 

geographic area; and/or 

(4) Any other specific arrangement 

approved by the Regional Administrator upon request of the owner or operator. 

Discharge includes, but is not limited 

to, any spilling, leaking, pumping, 

pouring, emitting, emptying, or dumping of oil, but excludes discharges in 

compliance with a permit under section 402 of the CWA; discharges resulting from circumstances identified, reviewed, and made a part of the public 

record with respect to a permit issued 

or modified under section 402 of the 

CWA, and subject to a condition in 

such permit; or continuous or anticipated intermittent discharges from a 


Lhorne on DSK5TPTVN1PROD with CFR
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Environmental Protection Agency § 112.2 

point source, identified in a permit or 

permit application under section 402 of 

the CWA, that are caused by events occurring within the scope of relevant operating or treatment systems. For purposes of this part, the term discharge 

shall not include any discharge of oil 

that is authorized by a permit issued 

under section 13 of the River and Harbor Act of 1899 (33 U.S.C. 407). 

Facility means any mobile or fixed, 

onshore or offshore building, property, 

parcel, lease, structure, installation, 

equipment, pipe, or pipeline (other 

than a vessel or a public vessel) used in 

oil well drilling operations, oil production, oil refining, oil storage, oil gathering, oil processing, oil transfer, oil 

distribution, and oil waste treatment, 

or in which oil is used, as described in 

appendix A to this part. The boundaries of a facility depend on several 

site-specific factors, including but not 

limited to, the ownership or operation 

of buildings, structures, and equipment 

on the same site and types of activity 

at the site. Contiguous or non-contiguous buildings, properties, parcels, 

leases, structures, installations, pipes, 

or pipelines under the ownership or operation of the same person may be considered separate facilities. Only this 

definition governs whether a facility is 

subject to this part. 

Farm means a facility on a tract of 

land devoted to the production of crops 

or raising of animals, including fish, 

which produced and sold, or normally 

would have produced and sold, $1,000 or 

more of agricultural products during a 

year. 

Fish and wildlife and sensitive environments means areas that may be identified by their legal designation or by 

evaluations of Area Committees (for 

planning) or members of the Federal 

On-Scene Coordinator’s spill response 

structure (during responses). These 

areas may include wetlands, National 

and State parks, critical habitats for 

endangered or threatened species, wilderness and natural resource areas, 

marine sanctuaries and estuarine reserves, conservation areas, preserves, 

wildlife areas, wildlife refuges, wild 

and scenic rivers, recreational areas, 

national forests, Federal and State 

lands that are research national areas, 

heritage program areas, land trust 

areas, and historical and archaeological sites and parks. These areas 

may also include unique habitats such 

as aquaculture sites and agricultural 

surface water intakes, bird nesting 

areas, critical biological resource 

areas, designated migratory routes, 

and designated seasonal habitats. 

Injury means a measurable adverse 

change, either long- or short-term, in 

the chemical or physical quality or the 

viability of a natural resource resulting either directly or indirectly from 

exposure to a discharge, or exposure to 

a product of reactions resulting from a 

discharge. 

Loading/unloading rack means a fixed 

structure (such as a platform, gangway) necessary for loading or unloading a tank truck or tank car, which is 

located at a facility subject to the requirements of this part. A loading/unloading rack includes a loading or unloading arm, and may include any combination of the following: piping assemblages, valves, pumps, shut-off devices, overfill sensors, or personnel 

safety devices. 

Maximum extent practicable means 

within the limitations used to determine oil spill planning resources and 

response times for on-water recovery, 

shoreline protection, and cleanup for 

worst case discharges from onshore 

non-transportation-related facilities in 

adverse weather. It includes the 

planned capability to respond to a 

worst case discharge in adverse weather, as contained in a response plan that 

meets the requirements in §112.20 or in 

a specific plan approved by the Regional Administrator. 

Mobile refueler means a bulk storage 

container onboard a vehicle or towed, 

that is designed or used solely to store 

and transport fuel for transfer into or 

from an aircraft, motor vehicle, locomotive, vessel, ground service equipment, or other oil storage container. 

Motive power container means any onboard bulk storage container used primarily to power the movement of a 

motor vehicle, or ancillary onboard oilfilled operational equipment. An onboard bulk storage container which is 

used to store or transfer oil for further 

distribution is not a motive power container. The definition of motive power 


Lhorne on DSK5TPTVN1PROD with CFR
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§ 112.2 40 CFR Ch. I (7–1–15 Edition) 

container does not include oil drilling 

or workover equipment, including rigs. 

Navigable waters of the United States 

means ‘‘navigable waters’’ as defined in 

section 502(7) of the FWPCA, and includes: 

(1) All navigable waters of the United 

States, as defined in judicial decisions 

prior to passage of the 1972 Amendments to the FWPCA (Pub. L. 92–500), 

and tributaries of such waters; 

(2) Interstate waters; 

(3) Intrastate lakes, rivers, and 

streams which are utilized by interstate travelers for recreational or 

other purposes; and 

(4) Intrastate lakes, rivers, and 

streams from which fish or shellfish 

are taken and sold in interstate commerce. 

Non-petroleum oil means oil of any 

kind that is not petroleum-based, including but not limited to: Fats, oils, 

and greases of animal, fish, or marine 

mammal origin; and vegetable oils, including oils from seeds, nuts, fruits, 

and kernels. 

Offshore facility means any facility of 

any kind (other than a vessel or public 

vessel) located in, on, or under any of 

the navigable waters of the United 

States, and any facility of any kind 

that is subject to the jurisdiction of 

the United States and is located in, on, 

or under any other waters. 

Oil means oil of any kind or in any 

form, including, but not limited to: 

fats, oils, or greases of animal, fish, or 

marine mammal origin; vegetable oils, 

including oils from seeds, nuts, fruits, 

or kernels; and, other oils and greases, 

including petroleum, fuel oil, sludge, 

synthetic oils, mineral oils, oil refuse, 

or oil mixed with wastes other than 

dredged spoil. 

Oil-filled operational equipment means 

equipment that includes an oil storage 

container (or multiple containers) in 

which the oil is present solely to support the function of the apparatus or 

the device. Oil-filled operational equipment is not considered a bulk storage 

container, and does not include oilfilled manufacturing equipment (flowthrough process). Examples of oil-filled 

operational equipment include, but are 

not limited to, hydraulic systems, lubricating systems (e.g., those for 

pumps, compressors and other rotating 

equipment, including pumpjack lubrication systems), gear boxes, machining 

coolant systems, heat transfer systems, transformers, circuit breakers, 

electrical switches, and other systems 

containing oil solely to enable the operation of the device. 

Oil Spill Removal Organization means 

an entity that provides oil spill response resources, and includes any forprofit or not-for-profit contractor, cooperative, or in-house response resources that have been established in a 

geographic area to provide required response resources. 

Onshore facility means any facility of 

any kind located in, on, or under any 

land within the United States, other 

than submerged lands. 

Owner or operator means any person 

owning or operating an onshore facility 

or an offshore facility, and in the case 

of any abandoned offshore facility, the 

person who owned or operated or maintained the facility immediately prior 

to such abandonment. 

Partially buried tank means a storage 

container that is partially inserted or 

constructed in the ground, but not entirely below grade, and not completely 

covered with earth, sand, gravel, asphalt, or other material. A partially 

buried tank is considered an aboveground storage container for purposes 

of this part. 

Permanently closed means any container or facility for which: 

(1) All liquid and sludge has been removed from each container and connecting line; and 

(2) All connecting lines and piping 

have been disconnected from the container and blanked off, all valves (except for ventilation valves) have been 

closed and locked, and conspicuous 

signs have been posted on each container stating that it is a permanently 

closed container and noting the date of 

closure. 

Person includes an individual, firm, 

corporation, association, or partnership. 

Petroleum oil means petroleum in any 

form, including but not limited to 

crude oil, fuel oil, mineral oil, sludge, 

oil refuse, and refined products. 

Produced water container means a 

storage container at an oil production 

facility used to store the produced 


Lhorne on DSK5TPTVN1PROD with CFR
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Environmental Protection Agency § 112.2, Nt. 

water after initial oil/water separation, 

and prior to reinjection, beneficial 

reuse, discharge, or transfer for disposal. 

Production facility means all structures (including but not limited to 

wells, platforms, or storage facilities), 

piping (including but not limited to 

flowlines or intra-facility gathering 

lines), or equipment (including but not 

limited to workover equipment, separation equipment, or auxiliary nontransportation-related equipment) used 

in the production, extraction, recovery, 

lifting, stabilization, separation or 

treating of oil (including condensate), 

or associated storage or measurement, 

and is located in an oil or gas field, at 

a facility. This definition governs 

whether such structures, piping, or 

equipment are subject to a specific section of this part. 

Regional Administrator means the Regional Administrator of the Environmental Protection Agency, in and for 

the Region in which the facility is located. 

Repair means any work necessary to 

maintain or restore a container to a 

condition suitable for safe operation, 

other than that necessary for ordinary, 

day-to-day maintenance to maintain 

the functional integrity of the container and that does not weaken the 

container. 

Spill Prevention, Control, and Countermeasure Plan; SPCC Plan, or Plan means 

the document required by §112.3 that 

details the equipment, workforce, procedures, and steps to prevent, control, 

and provide adequate countermeasures 

to a discharge. 

Storage capacity of a container means 

the shell capacity of the container. 

Transportation-related and non-transportation-related, as applied to an onshore or offshore facility, are defined 

in the Memorandum of Understanding 

between the Secretary of Transportation and the Administrator of the 

Environmental Protection Agency, 

dated November 24, 1971, (appendix A of 

this part). 

United States means the States, the 

District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, Guam, American Samoa, the 

U.S. Virgin Islands, and the Pacific Island Governments. 

Vegetable oil means a non-petroleum 

oil or fat of vegetable origin, including 

but not limited to oils and fats derived 

from plant seeds, nuts, fruits, and kernels. 

Vessel means every description of 

watercraft or other artificial contrivance used, or capable of being used, as 

a means of transportation on water, 

other than a public vessel. 

Wetlands means those areas that are 

inundated or saturated by surface or 

groundwater at a frequency or duration 

sufficient to support, and that under 

normal circumstances do support, a 

prevalence of vegetation typically 

adapted for life in saturated soil conditions. Wetlands generally include playa 

lakes, swamps, marshes, bogs, and 

similar areas such as sloughs, prairie 

potholes, wet meadows, prairie river 

overflows, mudflats, and natural ponds. 

Worst case discharge for an onshore 

non-transportation-related facility 

means the largest foreseeable discharge in adverse weather conditions 

as determined using the worksheets in 

appendix D to this part. 

[67 FR 47140, July 17, 2002, as amended at 71 

FR 77290, Dec. 26, 2006; 73 FR 71943, Nov. 26, 

2008; 73 FR 74300, Dec. 5, 2008] 

EFFECTIVE DATE NOTE: At 80 FR 37108, June 

29, 2015, §112.2 was amended by removing the 

definition of ‘‘wetlands’’ and revising the 

definition of ‘‘Navigable waters’’, effective 

Aug. 28, 2015. For the convenience of the 

user, the revised text is set forth as follows: 

§ 112.2 Definitions. 

* * * * * 

Navigable waters means waters of the 

United States, including the territorial seas. 

(1) For purposes of the Clean Water Act, 33 

U.S.C. 1251 et seq. and its implementing regulations, subject to the exclusions in paragraph (2) of this definition, the term ‘‘waters 

of the United States’’ means: 

(i) All waters which are currently used, 

were used in the past, or may be susceptible 

to use in interstate or foreign commerce, including all waters which are subject to the 

ebb and flow of the tide; 

(ii) All interstate waters, including interstate wetlands; 

(iii) The territorial seas; 

(iv) All impoundments of waters otherwise 

identified as waters of the United States 

under this section; 


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§ 112.2, Nt. 40 CFR Ch. I (7–1–15 Edition) 

(v) All tributaries, as defined in paragraph 

(3)(iii) of this definition, of waters identified 

in paragraphs (1)(i) through (iii) of this definition; 

(vi) All waters adjacent to a water identified in paragraphs (1)(i) through (v) of this 

definition, including wetlands, ponds, lakes, 

oxbows, impoundments, and similar waters; 

(vii) All waters in paragraphs (1)(vii)(A) 

through (E) of this definition where they are 

determined, on a case-specific basis, to have 

a significant nexus to a water identified in 

paragraphs (1)(i) through (iii) of this definition. The waters identified in each of paragraphs (1)(vii)(A) through (E) of this definition are similarly situated and shall be combined, for purposes of a significant nexus 

analysis, in the watershed that drains to the 

nearest water identified in paragraphs (1)(i) 

through (iii) of this definition. Waters identified in this paragraph shall not be combined with waters identified in paragraph 

(1)(vi) of this section when performing a significant nexus analysis. If waters identified 

in this paragraph are also an adjacent water 

under paragraph (1)(vi), they are an adjacent 

water and no case-specific significant nexus 

analysis is required. 

(A) Prairie potholes. Prairie potholes are a 

complex of glacially formed wetlands, usually occurring in depressions that lack permanent natural outlets, located in the upper 

Midwest. 

(B) Carolina bays and Delmarva bays. 

Carolina bays and Delmarva bays are ponded, depressional wetlands that occur along 

the Atlantic coastal plain. 

(C) Pocosins. Pocosins are evergreen shrub 

and tree dominated wetlands found predominantly along the Central Atlantic coastal 

plain. 

(D) Western vernal pools. Western vernal 

pools are seasonal wetlands located in parts 

of California and associated with topographic depression, soils with poor drainage, 

mild, wet winters and hot, dry summers. 

(E) Texas coastal prairie wetlands. Texas 

coastal prairie wetlands are freshwater wetlands that occur as a mosaic of depressions, 

ridges, intermound flats, and mima mound 

wetlands located along the Texas Gulf Coast. 

(viii) All waters located within the 100-year 

floodplain of a water identified in paragraphs 

(1)(i) through (iii) of this definition and all 

waters located within 4,000 feet of the high 

tide line or ordinary high water mark of a 

water identified in paragraphs (1)(i) through 

(v) of this definition where they are determined on a case-specific basis to have a significant nexus to a water identified in paragraphs (1)(i) through (iii) of this definition. 

For waters determined to have a significant 

nexus, the entire water is a water of the 

United States if a portion is located within 

the 100-year floodplain of a water identified 

in paragraphs (1)(i) through (iii) of this definition or within 4,000 feet of the high tide 

line or ordinary high water mark. Waters 

identified in this paragraph shall not be combined with waters identified in paragraph 

(1)(vi) of this definition when performing a 

significant nexus analysis. If waters identified in this paragraph are also an adjacent 

water under paragraph (1)(vi), they are an 

adjacent water and no case-specific significant nexus analysis is required. 

(2) The following are not ‘‘waters of the 

United States’’ even where they otherwise 

meet the terms of paragraphs (1)(iv) through 

(viii) of this definition. 

(i) The following ditches: 

(A) Ditches with ephemeral flow that are 

not a relocated tributary or excavated in a 

tributary. 

(B) Ditches with intermittent flow that are 

not a relocated tributary, excavated in a 

tributary, or drain wetlands. 

(C) Ditches that do not flow, either directly or through another water, into a 

water identified in paragraphs (1)(i) through 

(iii) of this definition. 

(ii) The following features: 

(A) Artificially irrigated areas that would 

revert to dry land should application of 

water to that area cease; 

(B) Artificial, constructed lakes and ponds 

created in dry land such as farm and stock 

watering ponds, irrigation ponds, settling basins, fields flooded for rice growing, log 

cleaning ponds, or cooling ponds; 

(C) Artificial reflecting pools or swimming 

pools created in dry land; 

(D) Small ornamental waters created in 

dry land; 

(E) Water-filled depressions created in dry 

land incidental to mining or construction activity, including pits excavated for obtaining 

fill, sand, or gravel that fill with water; 

(F) Erosional features, including gullies, 

rills, and other ephemeral features that do 

not meet the definition of tributary, nonwetland swales, and lawfully constructed 

grassed waterways; and 

(G) Puddles. 

(iii) Groundwater, including groundwater 

drained through subsurface drainage systems. 

(iv) Stormwater control features constructed to convey, treat, or store 

stormwater that are created in dry land. 

(v) Wastewater recycling structures constructed in dry land; detention and retention 

basins built for wastewater recycling; 

groundwater recharge basins; percolation 

ponds built for wastewater recycling; and 

water distributary structures built for 

wastewater recycling. 

(3) In this definition, the following terms 

apply: 

(i) Adjacent. The term adjacent means bordering, contiguous, or neighboring a water 

identified in paragraphs (1)(i) through (v) of 

this definition, including waters separated 

by constructed dikes or barriers, natural 


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31 

Environmental Protection Agency § 112.2, Nt. 

river berms, beach dunes, and the like. For 

purposes of adjacency, an open water such as 

a pond or lake includes any wetlands within 

or abutting its ordinary high water mark. 

Adjacency is not limited to waters located 

laterally to a water identified in paragraphs 

(1)(i) through (v) of this definition. Adjacent 

waters also include all waters that connect 

segments of a water identified in paragraphs 

(1)(i) through (v) or are located at the head 

of a water identified in paragraphs (1)(i) 

through (v) of this definition and are bordering, contiguous, or neighboring such 

water. Waters being used for established normal farming, ranching, and silviculture activities (33 U.S.C. 1344(f)) are not adjacent. 

(ii) Neighboring. The term neighboring 

means: 

(A) All waters located within 100 feet of the 

ordinary high water mark of a water identified in paragraphs (1)(i) through (v) of this 

definition. The entire water is neighboring if 

a portion is located within 100 feet of the ordinary high water mark; 

(B) All waters located within the 100-year 

floodplain of a water identified in paragraphs 

(1)(i) through (v) of this definition and not 

more than 1,500 feet from the ordinary high 

water mark of such water. The entire water 

is neighboring if a portion is located within 

1,500 feet of the ordinary high water mark 

and within the 100-year floodplain; 

(C) All waters located within 1,500 feet of 

the high tide line of a water identified in 

paragraphs (1)(i) or (1)(iii) of this definition, 

and all waters within 1,500 feet of the ordinary high water mark of the Great Lakes. 

The entire water is neighboring if a portion 

is located within 1,500 feet of the high tide 

line or within 1,500 feet of the ordinary high 

water mark of the Great Lakes. 

(iii) Tributary and tributaries. The terms 

tributary and tributaries each mean a water 

that contributes flow, either directly or 

through another water (including an impoundment identified in paragraph (1)(iv) of 

this definition), to a water identified in paragraphs (1)(i) through (iii) of this definition 

that is characterized by the presence of the 

physical indicators of a bed and banks and 

an ordinary high water mark. These physical 

indicators demonstrate there is volume, frequency, and duration of flow sufficient to 

create a bed and banks and an ordinary high 

water mark, and thus to qualify as a tributary. A tributary can be a natural, man-altered, or man-made water and includes 

waters such as rivers, streams, canals, and 

ditches not excluded under paragraph (2) of 

this definition. A water that otherwise qualifies as a tributary under this definition does 

not lose its status as a tributary if, for any 

length, there are one or more constructed 

breaks (such as bridges, culverts, pipes, or 

dams), or one or more natural breaks (such 

as wetlands along the run of a stream, debris 

piles, boulder fields, or a stream that flows 

underground) so long as a bed and banks and 

an ordinary high water mark can be identified upstream of the break. A water that otherwise qualifies as a tributary under this definition does not lose its status as a tributary 

if it contributes flow through a water of the 

United States that does not meet the definition of tributary or through a non-jurisdictional water to a water identified in paragraphs (1)(i) through (iii) of this definition. 

(iv) Wetlands. The term wetlands means 

those areas that are inundated or saturated 

by surface or groundwater at a frequency 

and duration sufficient to support, and that 

under normal circumstances do support, a 

prevalence of vegetation typically adapted 

for life in saturated soil conditions. Wetlands generally include swamps, marshes, 

bogs, and similar areas. 

(v) Significant nexus. The term significant 

nexus means that a water, including wetlands, either alone or in combination with 

other similarly situated waters in the region, significantly affects the chemical, 

physical, or biological integrity of a water 

identified in paragraphs (1)(i) through (iii) of 

this definition. The term ‘‘in the region’’ 

means the watershed that drains to the nearest water identified in paragraphs (1)(i) 

through (iii) of this definition. For an effect 

to be significant, it must be more than speculative or insubstantial. Waters are similarly situated when they function alike and 

are sufficiently close to function together in 

affecting downstream waters. For purposes 

of determining whether or not a water has a 

significant nexus, the water’s effect on downstream (1)(i) through (iii) waters shall be assessed by evaluating the aquatic functions 

identified in paragraphs (3)(v)(A) through (I) 

of this definition. A water has a significant 

nexus when any single function or combination of functions performed by the water, 

alone or together with similarly situated 

waters in the region, contributes significantly to the chemical, physical, or biological integrity of the nearest water identified 

in paragraphs (1)(i) through (iii) of this section. Functions relevant to the significant 

nexus evaluation are the following: 

(A) Sediment trapping, 

(B) Nutrient recycling, 

(C) Pollutant trapping, transformation, filtering, and transport, 

(D) Retention and attenuation of flood 

waters, 

(E) Runoff storage, 

(F) Contribution of flow, 

(G) Export of organic matter, 

(H) Export of food resources, and 

(I) Provision of life cycle dependent aquatic habitat (such as foraging, feeding, nesting, 

breeding, spawning, or use as a nursery area) 

for species located in a water identified in 

paragraphs (1)(i) through (iii) of this definition. 


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32 

§ 112.3 40 CFR Ch. I (7–1–15 Edition) 

(vi) Ordinary high water mark. The term ordinary high water mark means that line on 

the shore established by the fluctuations of 

water and indicated by physical characteristics such as a clear, natural line impressed 

on the bank, shelving, changes in the character of soil, destruction of terrestrial vegetation, the presence of litter and debris, or 

other appropriate means that consider the 

characteristics of the surrounding areas. 

(vii) High tide line. The term high tide line 

means the line of intersection of the land 

with the water’s surface at the maximum 

height reached by a rising tide. The high tide 

line may be determined, in the absence of actual data, by a line of oil or scum along 

shore objects, a more or less continuous deposit of fine shell or debris on the foreshore 

or berm, other physical markings or characteristics, vegetation lines, tidal gages, or 

other suitable means that delineate the general height reached by a rising tide. The line 

encompasses spring high tides and other high 

tides that occur with periodic frequency but 

does not include storm surges in which there 

is a departure from the normal or predicted 

reach of the tide due to the piling up of 

water against a coast by strong winds such 

as those accompanying a hurricane or other 

intense storm. 

* * * * * 

§ 112.3 Requirement to prepare and 

implement a Spill Prevention, Control, and Countermeasure Plan. 

The owner or operator or an onshore 

or offshore facility subject to this section must prepare in writing and implement a Spill Prevention Control and 

Countermeasure Plan (hereafter ‘‘SPCC 

Plan’’ or ‘‘Plan’’),’’ in accordance with 

§112.7 and any other applicable section 

of this part. 

(a)(1) Except as otherwise provided in 

this section, if your facility, or mobile 

or portable facility, was in operation 

on or before August 16, 2002, you must 

maintain your Plan, but must amend 

it, if necessary to ensure compliance 

with this part, and implement the 

amended Plan no later than November 

10, 2011. If such a facility becomes operational after August 16, 2002, through 

November 10, 2011, and could reasonably be expected to have a discharge as 

described in §112.1(b), you must prepare 

and implement a Plan on or before November 10, 2011. If such a facility (excluding oil production facilities) becomes operational after November 10, 

2011, and could reasonably be expected 

to have a discharge as described in 

§112.1(b), you must prepare and implement a Plan before you begin operations. You are not required to prepare 

a new Plan each time you move a mobile or portable facility to a new site; 

the Plan may be general. When you 

move the mobile or portable facility, 

you must locate and install it using 

the discharge prevention practices outlined in the Plan for the facility. The 

Plan is applicable only while the mobile or portable facility is in a fixed 

(non-transportation) operating mode. 

(2) If your drilling, production or 

workover facility, including a mobile 

or portable facility, is offshore or has 

an offshore component; or your onshore facility is required to have and 

submit a Facility Response Plan pursuant to 40 CFR 112.20(a), and was in operation on or before August 16, 2002, 

you must maintain your Plan, but 

must amend it, if necessary to ensure 

compliance with this part, and implement the amended Plan no later than 

November 10, 2010. If such a facility becomes operational after August 16, 

2002, through November 10, 2010, and 

could reasonably be expected to have a 

discharge as described in §112.1(b), you 

must prepare and implement a Plan on 

or before November 10, 2010. If such a 

facility (excluding oil production facilities) becomes operational after November 10, 2010, and could reasonably 

be expected to have a discharge as described in §112.1(b), you must prepare 

and implement a Plan before you begin 

operations. You are not required to 

prepare a new Plan each time you 

move a mobile or portable facility to a 

new site; the Plan may be general. 

When you move the mobile or portable 

facility, you must locate and install it 

using the discharge prevention practices outlined in the Plan for the facility. The Plan is applicable only while 

the mobile or portable facility is in a 

fixed (non-transportation) operating 

mode. 

(3) If your farm, as defined in §112.2, 

was in operation on or before August 

16, 2002, you must maintain your Plan, 

but must amend it, if necessary to ensure compliance with this part, and implement the amended Plan on or before 

May 10, 2013. If your farm becomes 

operational after August 16, 2002, 


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Environmental Protection Agency § 112.3 

through May 10, 2013, and could reasonably be expected to have a discharge as 

described in §112.1(b), you must prepare 

and implement a Plan on or before May 

10, 2013. If your farm becomes operational after May 10, 2013, and could 

reasonably be expected to have a discharge as described in §112.1(b), you 

must prepare and implement a Plan before you begin operations. 

(b) If your oil production facility as 

described in paragraph (a)(1) of this 

section becomes operational after November 10, 2011, or as described in paragraph (a)(2) of this section becomes 

operational after November 10, 2010, 

and could reasonably be expected to 

have a discharge as described in 

§112.1(b), you must prepare and implement a Plan within six months after 

you begin operations. 

(c) [Reserved] 

(d) Except as provided in §112.6, a licensed Professional Engineer must review and certify a Plan for it to be effective to satisfy the requirements of 

this part. 

(1) By means of this certification the 

Professional Engineer attests: 

(i) That he is familiar with the requirements of this part ; 

(ii) That he or his agent has visited 

and examined the facility; 

(iii) That the Plan has been prepared 

in accordance with good engineering 

practice, including consideration of applicable industry standards, and with 

the requirements of this part; 

(iv) That procedures for required inspections and testing have been established; and 

(v) That the Plan is adequate for the 

facility. 

(vi) That, if applicable, for a produced water container subject to 

§112.9(c)(6), any procedure to minimize 

the amount of free-phase oil is designed to reduce the accumulation of 

free-phase oil and the procedures and 

frequency for required inspections, 

maintenance and testing have been established and are described in the Plan. 

(2) Such certification shall in no way 

relieve the owner or operator of a facility of his duty to prepare and fully implement such Plan in accordance with 

the requirements of this part. 

(e) If you are the owner or operator 

of a facility for which a Plan is required under this section, you must: 

(1) Maintain a complete copy of the 

Plan at the facility if the facility is 

normally attended at least four hours 

per day, or at the nearest field office if 

the facility is not so attended, and 

(2) Have the Plan available to the Regional Administrator for on-site review 

during normal working hours. 

(f) Extension of time. (1) The Regional 

Administrator may authorize an extension of time for the preparation and 

full implementation of a Plan, or any 

amendment thereto, beyond the time 

permitted for the preparation, implementation, or amendment of a Plan 

under this part, when he finds that the 

owner or operator of a facility subject 

to this section, cannot fully comply 

with the requirements as a result of either nonavailability of qualified personnel, or delays in construction or 

equipment delivery beyond the control 

and without the fault of such owner or 

operator or his agents or employees. 

(2) If you are an owner or operator 

seeking an extension of time under 

paragraph (f)(1) of this section, you 

may submit a written extension request to the Regional Administrator. 

Your request must include: 

(i) A full explanation of the cause for 

any such delay and the specific aspects 

of the Plan affected by the delay; 

(ii) A full discussion of actions being 

taken or contemplated to minimize or 

mitigate such delay; and 

(iii) A proposed time schedule for the 

implementation of any corrective actions being taken or contemplated, including interim dates for completion of 

tests or studies, installation and operation of any necessary equipment, or 

other preventive measures. In addition 

you may present additional oral or 

written statements in support of your 

extension request. 

(3) The submission of a written extension request under paragraph (f)(2) 

of this section does not relieve you of 

your obligation to comply with the requirements of this part. The Regional 

Administrator may request a copy of 

your Plan to evaluate the extension request. When the Regional Administrator authorizes an extension of time 


Lhorne on DSK5TPTVN1PROD with CFR
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§ 112.4 40 CFR Ch. I (7–1–15 Edition) 

for particular equipment or other specific aspects of the Plan, such extension does not affect your obligation to 

comply with the requirements related 

to other equipment or other specific aspects of the Plan for which the Regional Administrator has not expressly 

authorized an extension. 

(g) Qualified Facilities. The owner or 

operator of a qualified facility as defined in this subparagraph may selfcertify his facility’s Plan, as provided 

in §112.6. A qualified facility is one 

that meets the following Tier I or Tier 

II qualified facility criteria: 

(1) A Tier I qualified facility meets 

the qualification criteria in paragraph 

(g)(2) of this section and has no individual aboveground oil storage container with a capacity greater than 

5,000 U.S. gallons. 

(2) A Tier II qualified facility is one 

that has had no single discharge as described in §112.1(b) exceeding 1,000 U.S. 

gallons or no two discharges as described in §112.1(b) each exceeding 42 

U.S. gallons within any twelve month 

period in the three years prior to the 

SPCC Plan self-certification date, or 

since becoming subject to this part if 

the facility has been in operation for 

less than three years (other than discharges as described in §112.1(b) that 

are the result of natural disasters, acts 

of war, or terrorism), and has an aggregate aboveground oil storage capacity 

of 10,000 U.S. gallons or less. 

[67 FR 47140, July 17, 2002, as amended at 68 

FR 1351, Jan. 9, 2003; 68 FR 18894, Apr. 17, 

2003; 69 FR 48798, Aug. 11, 2004; 71 FR 8466, 

Feb. 17, 2006; 71 FR 77290, Dec. 26, 2006; 72 FR 

27447, May 16, 2007; 73 FR 74301, Dec. 5, 2008, 

74 FR 29141, June 19, 2009; 74 FR 58809, Nov. 

13, 2009; 75 FR 63102, Oct. 14, 2010; 76 FR 21660, 

Apr. 18, 2011; 76 FR 64248, Oct. 18, 2011; 76 FR 

72124, Nov. 22, 2011] 

§ 112.4 Amendment of Spill Prevention, Control, and Countermeasure 

Plan by Regional Administrator. 

If you are the owner or operator of a 

facility subject to this part, you must: 

(a) Notwithstanding compliance with 

§112.3, whenever your facility has discharged more than 1,000 U.S. gallons of 

oil in a single discharge as described in 

§112.1(b), or discharged more than 42 

U.S. gallons of oil in each of two discharges as described in §112.1(b), occurring within any twelve month period, 

submit the following information to 

the Regional Administrator within 60 

days from the time the facility becomes subject to this section: 

(1) Name of the facility; 

(2) Your name; 

(3) Location of the facility; 

(4) Maximum storage or handling capacity of the facility and normal daily 

throughput; 

(5) Corrective action and countermeasures you have taken, including a 

description of equipment repairs and 

replacements; 

(6) An adequate description of the facility, including maps, flow diagrams, 

and topographical maps, as necessary; 

(7) The cause of such discharge as described in §112.1(b), including a failure 

analysis of the system or subsystem in 

which the failure occurred; 

(8) Additional preventive measures 

you have taken or contemplated to 

minimize the possibility of recurrence; 

and 

(9) Such other information as the Regional Administrator may reasonably 

require pertinent to the Plan or discharge. 

(b) Take no action under this section 

until it applies to your facility. This 

section does not apply until the expiration of the time permitted for the initial preparation and implementation of 

the Plan under §112.3, but not including 

any amendments to the Plan. 

(c) Send to the appropriate agency or 

agencies in charge of oil pollution control activities in the State in which the 

facility is located a complete copy of 

all information you provided to the Regional Administrator under paragraph 

(a) of this section. Upon receipt of the 

information such State agency or agencies may conduct a review and make 

recommendations to the Regional Administrator as to further procedures, 

methods, equipment, and other requirements necessary to prevent and to contain discharges from your facility. 

(d) Amend your Plan, if after review 

by the Regional Administrator of the 

information you submit under paragraph (a) of this section, or submission 

of information to EPA by the State 

agency under paragraph (c) of this section, or after on-site review of your 

Plan, the Regional Administrator requires that you do so. The Regional 


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Environmental Protection Agency § 112.5 

Administrator may require you to 

amend your Plan if he finds that it 

does not meet the requirements of this 

part or that amendment is necessary to 

prevent and contain discharges from 

your facility. 

(e) Act in accordance with this paragraph when the Regional Administrator proposes by certified mail or by 

personal delivery that you amend your 

SPCC Plan. If the owner or operator is 

a corporation, he must also notify by 

mail the registered agent of such corporation, if any and if known, in the 

State in which the facility is located. 

The Regional Administrator must 

specify the terms of such proposed 

amendment. Within 30 days from receipt of such notice, you may submit 

written information, views, and arguments on the proposed amendment. 

After considering all relevant material 

presented, the Regional Administrator 

must either notify you of any amendment required or rescind the notice. 

You must amend your Plan as required 

within 30 days after such notice, unless 

the Regional Administrator, for good 

cause, specifies another effective date. 

You must implement the amended Plan 

as soon as possible, but not later than 

six months after you amend your Plan, 

unless the Regional Administrator 

specifies another date. 

(f) If you appeal a decision made by 

the Regional Administrator requiring 

an amendment to an SPCC Plan, send 

the appeal to the EPA Administrator 

in writing within 30 days of receipt of 

the notice from the Regional Administrator requiring the amendment under 

paragraph (e) of this section. You must 

send a complete copy of the appeal to 

the Regional Administrator at the 

time you make the appeal. The appeal 

must contain a clear and concise statement of the issues and points of fact in 

the case. It may also contain additional information from you, or from 

any other person. The EPA Administrator may request additional information from you, or from any other person. The EPA Administrator must 

render a decision within 60 days of receiving the appeal and must notify you 

of his decision. 

§ 112.5 Amendment of Spill Prevention, Control, and Countermeasure 

Plan by owners or operators. 

If you are the owner or operator of a 

facility subject to this part, you must: 

(a) Amend the SPCC Plan for your facility in accordance with the general 

requirements in §112.7, and with any 

specific section of this part applicable 

to your facility, when there is a change 

in the facility design, construction, operation, or maintenance that materially affects its potential for a discharge as described in §112.1(b). Examples of changes that may require 

amendment of the Plan include, but 

are not limited to: commissioning or 

decommissioning containers; replacement, reconstruction, or movement of 

containers; reconstruction, replacement, or installation of piping systems; 

construction or demolition that might 

alter secondary containment structures; changes of product or service; or 

revision of standard operation or maintenance procedures at a facility. An 

amendment made under this section 

must be prepared within six months, 

and implemented as soon as possible, 

but not later than six months following 

preparation of the amendment. 

(b) Notwithstanding compliance with 

paragraph (a) of this section, complete 

a review and evaluation of the SPCC 

Plan at least once every five years 

from the date your facility becomes 

subject to this part; or, if your facility 

was in operation on or before August 

16, 2002, five years from the date your 

last review was required under this 

part. As a result of this review and 

evaluation, you must amend your 

SPCC Plan within six months of the review to include more effective prevention and control technology if the technology has been field-proven at the 

time of the review and will significantly reduce the likelihood of a discharge as described in §112.1(b) from 

the facility. You must implement any 

amendment as soon as possible, but not 

later than six months following preparation of any amendment. You must 

document your completion of the review and evaluation, and must sign a 

statement as to whether you will 

amend the Plan, either at the beginning or end of the Plan or in a log or an 

appendix to the Plan. The following 


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§ 112.6 40 CFR Ch. I (7–1–15 Edition) 

words will suffice, ‘‘I have completed 

review and evaluation of the SPCC 

Plan for (name of facility) on (date), 

and will (will not) amend the Plan as a 

result.’’ 

(c) Except as provided in §112.6, have 

a Professional Engineer certify any 

technical amendments to your Plan in 

accordance with §112.3(d). 

[67 FR 47140, July 17, 2002, as amended at 71 

FR 77291, Dec. 26, 2006; 73 FR 74301, Dec. 5, 

2008; 74 FR 58809, Nov. 13, 2009] 

§ 112.6 Qualified Facilities Plan Requirements. 

Qualified facilities meeting the Tier I 

applicability criteria in §112.3(g)(1) are 

subject to the requirements in paragraph (a) of this section. Qualified facilities meeting the Tier II applicability criteria in §112.3(g)(2) are subject 

to the requirements in paragraph (b) of 

this section. 

(a) Tier I Qualified Facilities—(1) Preparation and Self-Certification of the Plan. 

If you are an owner or operator of a facility that meets the Tier I qualified 

facility criteria in §112.3(g)(1), you 

must either: comply with the requirements of paragraph (a)(3) of this section; or prepare and implement a Plan 

meeting requirements of paragraph (b) 

of this section; or prepare and implement a Plan meeting the general Plan 

requirements in §112.7 and applicable 

requirements in subparts B and C, including having the Plan certified by a 

Professional Engineer as required 

under §112.3(d). If you do not follow the 

appendix G template, you must prepare 

an equivalent Plan that meets all of 

the applicable requirements listed in 

this part, and you must supplement it 

with a section cross-referencing the location of requirements listed in this 

part and the equivalent requirements 

in the other prevention plan. To complete the template in appendix G, you 

must certify that: 

(i) You are familiar with the applicable requirements of 40 CFR part 112; 

(ii) You have visited and examined 

the facility; 

(iii) You prepared the Plan in accordance with accepted and sound industry 

practices and standards; 

(iv) You have established procedures 

for required inspections and testing in 

accordance with industry inspection 

and testing standards or recommended 

practices; 

(v) You will fully implement the 

Plan; 

(vi) The facility meets the qualification criteria in §112.3(g)(1); 

(vii) The Plan does not deviate from 

any requirement of this part as allowed 

by §112.7(a)(2) and 112.7(d) or include 

measures pursuant to §112.9(c)(6) for 

produced water containers and any associated piping; and 

(viii) The Plan and individual(s) responsible for implementing this Plan 

have the approval of management, and 

the facility owner or operator has committed the necessary resources to fully 

implement this Plan. 

(2) Technical Amendments. You must 

certify any technical amendments to 

your Plan in accordance with paragraph (a)(1) of this section when there 

is a change in the facility design, construction, operation, or maintenance 

that affects its potential for a discharge as described in §112.1(b). If the 

facility change results in the facility 

no longer meeting the Tier I qualifying 

criteria in §112.3(g)(1) because an individual oil storage container capacity 

exceeds 5,000 U.S. gallons or the facility capacity exceeds 10,000 U.S. gallons 

in aggregate aboveground storage capacity, within six months following 

preparation of the amendment, you 

must either: 

(i) Prepare and implement a Plan in 

accordance with §112.6(b) if you meet 

the Tier II qualified facility criteria in 

§112.3(g)(2); or 

(ii) Prepare and implement a Plan in 

accordance with the general Plan requirements in §112.7, and applicable requirements in subparts B and C, including having the Plan certified by a Professional Engineer as required under 

§112.3(d). 

(3) Plan Template and Applicable Requirements. Prepare and implement an 

SPCC Plan that meets the following requirements under §112.7 and in subparts B and C of this part: introductory 

paragraph of §§112.7, 112.7(a)(3)(i), 

112.7(a)(3)(iv), 112.7(a)(3)(vi), 112.7(a)(4), 

112.7(a)(5), 112.7(c), 112.7(e), 112.7(f), 

112.7(g), 112.7(k), 112.8(b)(1), 112.8(b)(2), 

112.8(c)(1), 112.8(c)(3), 112.8(c)(4), 

112.8(c)(5), 112.8(c)(6), 112.8(c)(10), 

112.8(d)(4), 112.9(b), 112.9(c)(1), 


Lhorne on DSK5TPTVN1PROD with CFR
37 

Environmental Protection Agency § 112.6 

112.9(c)(2), 112.9(c)(3), 112.9(c)(4), 

112.9(c)(5), 112.9(d)(1), 112.9(d)(3), 

112.9(d)(4), 112.10(b), 112.10(c), 112.10(d), 

112.12(b)(1), 112.12(b)(2), 112.12(c)(1), 

112.12(c)(3), 112.12(c)(4), 112.12(c)(5), 

112.12(c)(6), 112.12(c)(10), and 112.12(d)(4). 

The template in appendix G to this 

part has been developed to meet the requirements of 40 CFR part 112 and, 

when completed and signed by the 

owner or operator, may be used as the 

SPCC Plan. Additionally, you must 

meet the following requirements: 

(i) Failure analysis, in lieu of the requirements in §112.7(b). Where experience indicates a reasonable potential 

for equipment failure (such as loading 

or unloading equipment, tank overflow, 

rupture, or leakage, or any other 

equipment known to be a source of discharge), include in your Plan a prediction of the direction and total quantity of oil which could be discharged 

from the facility as a result of each 

type of major equipment failure. 

(ii) Bulk storage container secondary 

containment, in lieu of the requirements 

in §§112.8(c)(2) and (c)(11) and 

112.12(c)(2) and (c)(11). Construct all 

bulk storage container installations 

(except mobile refuelers and other nontransportation-related tank trucks), 

including mobile or portable oil storage containers, so that you provide a 

secondary means of containment for 

the entire capacity of the largest single 

container plus additional capacity to 

contain precipitation. Dikes, containment curbs, and pits are commonly employed for this purpose. You may also 

use an alternative system consisting of 

a drainage trench enclosure that must 

be arranged so that any discharge will 

terminate and be safely confined in a 

catchment basin or holding pond. Position or locate mobile or portable oil 

storage containers to prevent a discharge as described in §112.1(b). 

(iii) Overfill prevention, in lieu of the 

requirements in §§112.8(c)(8) and 

112.12(c)(8). Ensure that each container 

is provided with a system or documented procedure to prevent overfills 

of the container, describe the system 

or procedure in the SPCC Plan and regularly test to ensure proper operation 

or efficacy. 

(b) Tier II Qualified Facilities—(1) 

Preparation and Self-Certification of 

Plan. If you are the owner or operator 

of a facility that meets the Tier II 

qualified facility criteria in §112.3(g)(2), 

you may choose to self-certify your 

Plan. You must certify in the Plan 

that: 

(i) You are familiar with the requirements of this part; 

(ii) You have visited and examined 

the facility; 

(iii) The Plan has been prepared in 

accordance with accepted and sound industry practices and standards, and 

with the requirements of this part; 

(iv) Procedures for required inspections and testing have been established; 

(v) You will fully implement the 

Plan; 

(vi) The facility meets the qualification criteria set forth under 

§112.3(g)(2); 

(vii) The Plan does not deviate from 

any requirement of this part as allowed 

by §112.7(a)(2) and 112.7(d) or include 

measures pursuant to §112.9(c)(6) for 

produced water containers and any associated piping, except as provided in 

paragraph (b)(3) of this section; and 

(viii) The Plan and individual(s) responsible for implementing the Plan 

have the full approval of management 

and the facility owner or operator has 

committed the necessary resources to 

fully implement the Plan. 

(2) Technical Amendments. If you selfcertify your Plan pursuant to paragraph (b)(1) of this section, you must 

certify any technical amendments to 

your Plan in accordance with paragraph (b)(1) of this section when there 

is a change in the facility design, construction, operation, or maintenance 

that affects its potential for a discharge as described in §112.1(b), except: 

(i) If a Professional Engineer certified a portion of your Plan in accordance with paragraph (b)(4) of this section, and the technical amendment affects this portion of the Plan, you must 

have the amended provisions of your 

Plan certified by a Professional Engineer in accordance with paragraph 

(b)(4)(ii) of this section. 

(ii) If the change is such that the facility no longer meets the Tier II qualifying criteria in §112.3(g)(2) because it 

exceeds 10,000 U.S. gallons in aggregate 

aboveground storage capacity you 


Lhorne on DSK5TPTVN1PROD with CFR
38 

§ 112.7 40 CFR Ch. I (7–1–15 Edition) 

must, within six months following the 

change, prepare and implement a Plan 

in accordance with the general Plan requirements in §112.7 and the applicable 

requirements in subparts B and C of 

this part, including having the Plan 

certified by a Professional Engineer as 

required under §112.3(d). 

(3) Applicable Requirements. Except as 

provided in this paragraph, your selfcertified SPCC Plan must comply with 

§112.7 and the applicable requirements 

in subparts B and C of this part: 

(i) Environmental Equivalence. Your 

Plan may not include alternate methods which provide environmental 

equivalence pursuant to §112.7(a)(2), 

unless each alternate method has been 

reviewed and certified in writing by a 

Professional Engineer, as provided in 

paragraph (b)(4) of this section. 

(ii) Impracticability. Your Plan may 

not include any determinations that 

secondary containment is impracticable and provisions in lieu of secondary containment pursuant to 

§112.7(d), unless each such determination and alternate measure has been 

reviewed and certified in writing by a 

Professional Engineer, as provided in 

paragraph (b)(4) of this section. 

(iii) Produced Water Containers. Your 

Plan may not include any alternative 

procedures for skimming produced 

water containers in lieu of sized secondary containment pursuant to 

§112.9(c)(6), unless they have been reviewed and certified in writing by a 

Professional Engineer, as provided in 

paragraph (b)(4) of this section. 

(4) Professional Engineer Certification 

of Portions of a Qualified Facility’s SelfCertified Plan. 

(i) As described in paragraph (b)(3) of 

this section, the facility owner or operator may not self-certify alternative 

measures allowed under §112.7(a)(2) or 

(d), that are included in the facility’s 

Plan. Such measures must be reviewed 

and certified, in writing, by a licensed 

Professional Engineer. For each alternative measure allowed under 

§112.7(a)(2), the Plan must be accompanied by a written statement by a 

Professional Engineer that states the 

reason for nonconformance and describes the alternative method and how 

it provides equivalent environmental 

protection in accordance with 

§112.7(a)(2). For each determination of 

impracticability of secondary containment pursuant to §112.7(d), the Plan 

must clearly explain why secondary 

containment measures are not practicable at this facility and provide the 

alternative measures required in 

§112.7(d) in lieu of secondary containment. By certifying each measure allowed under §112.7(a)(2) and (d), the 

Professional Engineer attests: 

(A) That he is familiar with the requirements of this part; 

(B) That he or his agent has visited 

and examined the facility; and 

(C) That the alternative method of 

environmental equivalence in accordance with §112.7(a)(2) or the determination of impracticability and alternative measures in accordance with 

§112.7(d) is consistent with good engineering practice, including consideration of applicable industry standards, 

and with the requirements of this part. 

(ii) As described in paragraph (b)(3) of 

this section, the facility owner or operator may not self-certify measures as 

described in §112.9(c)(6) for produced 

water containers and any associated 

piping. Such measures must be reviewed and certified, in writing, by a licensed Professional Engineer, in accordance with §112.3(d)(1)(vi). 

(iii) The review and certification by 

the Professional Engineer under this 

paragraph is limited to the alternative 

method which achieves equivalent environmental protection pursuant to 

§112.7(a)(2); to the impracticability determination and measures in lieu of 

secondary containment pursuant to 

§112.7(d); or the measures pursuant to 

§112.9(c)(6) for produced water containers and any associated piping and 

appurtenances downstream from the 

container. 

[73 FR 74302, Dec. 5, 2008, as amended at 74 

FR 58810, Nov. 13, 2009] 

§ 112.7 General requirements for Spill 

Prevention, Control, and Countermeasure Plans. 

If you are the owner or operator of a 

facility subject to this part you must 

prepare a Plan in accordance with good 

engineering practices. The Plan must 

have the full approval of management 

at a level of authority to commit the 

necessary resources to fully implement 


Lhorne on DSK5TPTVN1PROD with CFR
39 

Environmental Protection Agency § 112.7 

the Plan. You must prepare the Plan in 

writing. If you do not follow the sequence specified in this section for the 

Plan, you must prepare an equivalent 

Plan acceptable to the Regional Administrator that meets all of the applicable requirements listed in this part, 

and you must supplement it with a section cross-referencing the location of 

requirements listed in this part and the 

equivalent requirements in the other 

prevention plan. If the Plan calls for 

additional facilities or procedures, 

methods, or equipment not yet fully 

operational, you must discuss these 

items in separate paragraphs, and must 

explain separately the details of installation and operational start-up. As detailed elsewhere in this section, you 

must also: 

(a)(1) Include a discussion of your facility’s conformance with the requirements listed in this part. 

(2) Comply with all applicable requirements listed in this part. Except 

as provided in §112.6, your Plan may 

deviate from the requirements in paragraphs (g), (h)(2) and (3), and (i) of this 

section and the requirements in subparts B and C of this part, except the 

secondary containment requirements 

in paragraphs (c) and (h)(1) of this section, and §§112.8(c)(2), 112.8(c)(11), 

112.9(c)(2), 112.9(d)(3), 112.10(c), 

112.12(c)(2), and 112.12(c)(11), where applicable to a specific facility, if you 

provide equivalent environmental protection by some other means of spill 

prevention, control, or countermeasure. Where your Plan does not 

conform to the applicable requirements 

in paragraphs (g), (h)(2) and (3), and (i) 

of this section, or the requirements of 

subparts B and C of this part, except 

the secondary containment requirements in paragraph (c) and (h)(1) of 

this section, and §§112.8(c)(2), 

112.8(c)(11), 112.9(c)(2), 112.10(c), 

112.12(c)(2), and 112.12(c)(11), you must 

state the reasons for nonconformance 

in your Plan and describe in detail alternate methods and how you will 

achieve equivalent environmental protection. If the Regional Administrator 

determines that the measures described in your Plan do not provide 

equivalent environmental protection, 

he may require that you amend your 

Plan, following the procedures in 

§112.4(d) and (e). 

(3) Describe in your Plan the physical 

layout of the facility and include a facility diagram, which must mark the 

location and contents of each fixed oil 

storage container and the storage area 

where mobile or portable containers 

are located. The facility diagram must 

identify the location of and mark as 

‘‘exempt’’ underground tanks that are 

otherwise exempted from the requirements of this part under §112.1(d)(4). 

The facility diagram must also include 

all transfer stations and connecting 

pipes, including intra-facility gathering lines that are otherwise exempted from the requirements of this part 

under §112.1(d)(11). You must also address in your Plan: 

(i) The type of oil in each fixed container and its storage capacity. For 

mobile or portable containers, either 

provide the type of oil and storage capacity for each container or provide an 

estimate of the potential number of 

mobile or portable containers, the 

types of oil, and anticipated storage capacities; 

(ii) Discharge prevention measures 

including procedures for routine handling of products (loading, unloading, 

and facility transfers, etc.); 

(iii) Discharge or drainage controls 

such as secondary containment around 

containers and other structures, equipment, and procedures for the control of 

a discharge; 

(iv) Countermeasures for discharge 

discovery, response, and cleanup (both 

the facility’s capability and those that 

might be required of a contractor); 

(v) Methods of disposal of recovered 

materials in accordance with applicable legal requirements; and 

(vi) Contact list and phone numbers 

for the facility response coordinator, 

National Response Center, cleanup contractors with whom you have an agreement for response, and all appropriate 

Federal, State, and local agencies who 

must be contacted in case of a discharge as described in §112.1(b). 

(4) Unless you have submitted a response plan under §112.20, provide information and procedures in your Plan 

to enable a person reporting a discharge as described in §112.1(b) to relate information on the exact address 


Lhorne on DSK5TPTVN1PROD with CFR
40 

§ 112.7 40 CFR Ch. I (7–1–15 Edition) 

or location and phone number of the facility; the date and time of the discharge, the type of material discharged; estimates of the total quantity discharged; estimates of the quantity discharged as described in 

§112.1(b); the source of the discharge; a 

description of all affected media; the 

cause of the discharge; any damages or 

injuries caused by the discharge; actions being used to stop, remove, and 

mitigate the effects of the discharge; 

whether an evacuation may be needed; 

and, the names of individuals and/or organizations who have also been contacted. 

(5) Unless you have submitted a response plan under §112.20, organize portions of the Plan describing procedures 

you will use when a discharge occurs in 

a way that will make them readily usable in an emergency, and include appropriate supporting material as appendices. 

(b) Where experience indicates a reasonable potential for equipment failure 

(such as loading or unloading equipment, tank overflow, rupture, or leakage, or any other equipment known to 

be a source of a discharge), include in 

your Plan a prediction of the direction, 

rate of flow, and total quantity of oil 

which could be discharged from the facility as a result of each type of major 

equipment failure. 

(c) Provide appropriate containment 

and/or diversionary structures or 

equipment to prevent a discharge as 

described in §112.1(b), except as provided in paragraph (k) of this section 

for qualified oil-filled operational 

equipment, and except as provided in 

§112.9(d)(3) for flowlines and intra-facility gathering lines at an oil production 

facility. The entire containment system, including walls and floor, must be 

capable of containing oil and must be 

constructed so that any discharge from 

a primary containment system, such as 

a tank, will not escape the containment system before cleanup occurs. In 

determining the method, design, and 

capacity for secondary containment, 

you need only to address the typical 

failure mode, and the most likely quantity of oil that would be discharged. 

Secondary containment may be either 

active or passive in design. At a minimum, you must use one of the following prevention systems or its equivalent: 

(1) For onshore facilities: 

(i) Dikes, berms, or retaining walls 

sufficiently impervious to contain oil; 

(ii) Curbing or drip pans; 

(iii) Sumps and collection systems; 

(iv) Culverting, gutters, or other 

drainage systems; 

(v) Weirs, booms, or other barriers; 

(vi) Spill diversion ponds; 

(vii) Retention ponds; or 

(viii) Sorbent materials. 

(2) For offshore facilities: 

(i) Curbing or drip pans; or 

(ii) Sumps and collection systems. 

(d) Provided your Plan is certified by 

a licensed Professional Engineer under 

§112.3(d), or, in the case of a qualified 

facility that meets the criteria in 

§112.3(g), the relevant sections of your 

Plan are certified by a licensed Professional Engineer under §112.6(d), if you 

determine that the installation of any 

of the structures or pieces of equipment listed in paragraphs (c) and (h)(1) 

of this section, and §§112.8(c)(2), 

112.8(c)(11), 112.9(c)(2), 112.10(c), 

112.12(c)(2), and 112.12(c)(11) to prevent 

a discharge as described in §112.1(b) 

from any onshore or offshore facility is 

not practicable, you must clearly explain in your Plan why such measures 

are not practicable; for bulk storage 

containers, conduct both periodic integrity testing of the containers and 

periodic integrity and leak testing of 

the valves and piping; and, unless you 

have submitted a response plan under 

§112.20, provide in your Plan the following: 

(1) An oil spill contingency plan following the provisions of part 109 of this 

chapter. 

(2) A written commitment of manpower, equipment, and materials required to expeditiously control and remove any quantity of oil discharged 

that may be harmful. 

(e) Inspections, tests, and records. Conduct inspections and tests required by 

this part in accordance with written 

procedures that you or the certifying 

engineer develop for the facility. You 

must keep these written procedures 

and a record of the inspections and 

tests, signed by the appropriate supervisor or inspector, with the SPCC Plan 

for a period of three years. Records of 


Lhorne on DSK5TPTVN1PROD with CFR
41 

Environmental Protection Agency § 112.7 

inspections and tests kept under usual 

and customary business practices will 

suffice for purposes of this paragraph. 

(f) Personnel, training, and discharge 

prevention procedures. (1) At a minimum, train your oil-handling personnel in the operation and maintenance of equipment to prevent discharges; discharge procedure protocols; 

applicable pollution control laws, 

rules, and regulations; general facility 

operations; and, the contents of the facility SPCC Plan. 

(2) Designate a person at each applicable facility who is accountable for 

discharge prevention and who reports 

to facility management. 

(3) Schedule and conduct discharge 

prevention briefings for your oil-handling personnel at least once a year to 

assure adequate understanding of the 

SPCC Plan for that facility. Such briefings must highlight and describe 

known discharges as described in 

§112.1(b) or failures, malfunctioning 

components, and any recently developed precautionary measures. 

(g) Security (excluding oil production 

facilities). Describe in your Plan how 

you secure and control access to the oil 

handling, processing and storage areas; 

secure master flow and drain valves; 

prevent unauthorized access to starter 

controls on oil pumps; secure out-ofservice and loading/unloading connections of oil pipelines; and address the 

appropriateness of security lighting to 

both prevent acts of vandalism and assist in the discovery of oil discharges. 

(h) Facility tank car and tank truck 

loading/unloading rack (excluding offshore facilities). 

(1) Where loading/unloading rack 

drainage does not flow into a 

catchment basin or treatment facility 

designed to handle discharges, use a 

quick drainage system for tank car or 

tank truck loading/unloading racks. 

You must design any containment system to hold at least the maximum capacity of any single compartment of a 

tank car or tank truck loaded or unloaded at the facility. 

(2) Provide an interlocked warning 

light or physical barrier system, warning signs, wheel chocks or vehicle 

brake interlock system in the area adjacent to a loading/unloading rack, to 

prevent vehicles from departing before 

complete disconnection of flexible or 

fixed oil transfer lines. 

(3) Prior to filling and departure of 

any tank car or tank truck, closely inspect for discharges the lowermost 

drain and all outlets of such vehicles, 

and if necessary, ensure that they are 

tightened, adjusted, or replaced to prevent liquid discharge while in transit. 

(i) If a field-constructed aboveground 

container undergoes a repair, alteration, reconstruction, or a change in 

service that might affect the risk of a 

discharge or failure due to brittle fracture or other catastrophe, or has discharged oil or failed due to brittle fracture failure or other catastrophe, 

evaluate the container for risk of discharge or failure due to brittle fracture 

or other catastrophe, and as necessary, 

take appropriate action. 

(j) In addition to the minimal prevention standards listed under this section, include in your Plan a complete 

discussion of conformance with the applicable requirements and other effective discharge prevention and containment procedures listed in this part or 

any applicable more stringent State 

rules, regulations, and guidelines. 

(k) Qualified Oil-filled Operational 

Equipment. The owner or operator of a 

facility with oil-filled operational 

equipment that meets the qualification 

criteria in paragraph (k)(1) of this subsection may choose to implement for 

this qualified oil-filled operational 

equipment the alternate requirements 

as described in paragraph (k)(2) of this 

sub-section in lieu of general secondary 

containment required in paragraph (c) 

of this section. 

(1) Qualification Criteria—Reportable 

Discharge History: The owner or operator of a facility that has had no single 

discharge as described in §112.1(b) from 

any oil-filled operational equipment 

exceeding 1,000 U.S. gallons or no two 

discharges as described in §112.1(b) 

from any oil-filled operational equipment 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 this part if the facility has been 

in operation for less than three years 

(other than oil discharges as described 


Lhorne on DSK5TPTVN1PROD with CFR
42 

§ 112.8 40 CFR Ch. I (7–1–15 Edition) 

in §112.1(b) that are the result of natural disasters, acts of war or terrorism); and 

(2) Alternative Requirements to General 

Secondary Containment. If secondary 

containment is not provided for qualified oil-filled operational equipment 

pursuant to paragraph (c) of this section, the owner or operator of a facility 

with qualified oil-filled operational 

equipment must: 

(i) Establish and document the facility procedures for inspections or a 

monitoring program to detect equipment failure and/or a discharge; and 

(ii) Unless you have submitted a response plan under §112.20, provide in 

your Plan the following: 

(A) An oil spill contingency plan following the provisions of part 109 of this 

chapter. 

(B) A written commitment of manpower, equipment, and materials required to expeditiously control and remove any quantity of oil discharged 

that may be harmful. 

[67 FR 47140, July 17, 2002, as amended at 71 

FR 77292, Dec. 26, 2006; 73 FR 74303, Dec. 5, 

2008; 74 FR 58810, Nov. 13, 2009] 

Subpart B—Requirements for Petroleum Oils and Non-Petroleum Oils, Except Animal Fats 

and Oils and Greases, and 

Fish and Marine Mammal Oils; 

and Vegetable Oils (Including 

Oils from Seeds, Nuts, Fruits, 

and Kernels) 

SOURCE: 67 FR 47146, July 17, 2002, unless 

otherwise noted. 

§ 112.8 Spill Prevention, Control, and 

Countermeasure Plan requirements 

for onshore facilities (excluding 

production facilities). 

If you are the owner or operator of an 

onshore facility (excluding a production facility), you must: 

(a) Meet the general requirements for 

the Plan listed under §112.7, and the 

specific discharge prevention and containment procedures listed in this section. 

(b) Facility drainage. (1) Restrain 

drainage from diked storage areas by 

valves to prevent a discharge into the 

drainage system or facility effluent 

treatment system, except where facility systems are designed to control 

such discharge. You may empty diked 

areas by pumps or ejectors; however, 

you must manually activate these 

pumps or ejectors and must inspect the 

condition of the accumulation before 

starting, to ensure no oil will be discharged. 

(2) Use valves of manual, open-andclosed design, for the drainage of diked 

areas. You may not use flapper-type 

drain valves to drain diked areas. If 

your facility drainage drains directly 

into a watercourse and not into an onsite wastewater treatment plant, you 

must inspect and may drain 

uncontaminated retained stormwater, 

as provided in paragraphs (c)(3)(ii), 

(iii), and (iv) of this section. 

(3) Design facility drainage systems 

from undiked areas with a potential for 

a discharge (such as where piping is located outside containment walls or 

where tank truck discharges may occur 

outside the loading area) to flow into 

ponds, lagoons, or catchment basins designed to retain oil or return it to the 

facility. You must not locate 

catchment basins in areas subject to 

periodic flooding. 

(4) If facility drainage is not engineered as in paragraph (b)(3) of this 

section, equip the final discharge of all 

ditches inside the facility with a diversion system that would, in the event of 

an uncontrolled discharge, retain oil in 

the facility. 

(5) Where drainage waters are treated 

in more than one treatment unit and 

such treatment is continuous, and 

pump transfer is needed, provide two 

‘‘lift’’ pumps and permanently install 

at least one of the pumps. Whatever 

techniques you use, you must engineer 

facility drainage systems to prevent a 

discharge as described in §112.1(b) in 

case there is an equipment failure or 

human error at the facility. 

(c) Bulk storage containers. (1) Not use 

a container for the storage of oil unless 

its material and construction are compatible with the material stored and 

conditions of storage such as pressure 

and temperature. 

(2) Construct all bulk storage tank 

installations (except mobile refuelers 

and other non-transportation-related 


Lhorne on DSK5TPTVN1PROD with CFR
43 

Environmental Protection Agency § 112.8 

tank trucks) so that you provide a secondary means of containment for the 

entire capacity of the largest single 

container and sufficient freeboard to 

contain precipitation. You must ensure 

that diked areas are sufficiently impervious to contain discharged oil. Dikes, 

containment curbs, and pits are commonly employed for this purpose. You 

may also use an alternative system 

consisting of a drainage trench enclosure that must be arranged so that any 

discharge will terminate and be safely 

confined in a facility catchment basin 

or holding pond. 

(3) Not allow drainage of 

uncontaminated rainwater from the 

diked area into a storm drain or discharge of an effluent into an open watercourse, lake, or pond, bypassing the 

facility treatment system unless you: 

(i) Normally keep the bypass valve 

sealed closed. 

(ii) Inspect the retained rainwater to 

ensure that its presence will not cause 

a discharge as described in §112.1(b). 

(iii) Open the bypass valve and reseal 

it following drainage under responsible 

supervision; and 

(iv) Keep adequate records of such 

events, for example, any records required under permits issued in accordance with §§122.41(j)(2) and 122.41(m)(3) 

of this chapter. 

(4) Protect any completely buried 

metallic storage tank installed on or 

after January 10, 1974 from corrosion 

by coatings or cathodic protection 

compatible with local soil conditions. 

You must regularly leak test such 

completely buried metallic storage 

tanks. 

(5) Not use partially buried or 

bunkered metallic tanks for the storage of oil, unless you protect the buried section of the tank from corrosion. 

You must protect partially buried and 

bunkered tanks from corrosion by 

coatings or cathodic protection compatible with local soil conditions. 

(6) Test or inspect each aboveground 

container for integrity on a regular 

schedule and whenever you make material repairs. You must determine, in 

accordance with industry standards, 

the appropriate qualifications for personnel performing tests and inspections, the frequency and type of testing 

and inspections, which take into account container size, configuration, 

and design (such as containers that 

are: shop-built, field-erected, skidmounted, elevated, equipped with a 

liner, double-walled, or partially buried). Examples of these integrity tests 

include, but are not limited to: visual 

inspection, hydrostatic testing, radiographic testing, ultrasonic testing, 

acoustic emissions testing, or other 

systems of non-destructive testing. 

You must keep comparison records and 

you must also inspect the container’s 

supports and foundations. In addition, 

you must frequently inspect the outside of the container for signs of deterioration, discharges, or accumulation 

of oil inside diked areas. Records of inspections and tests kept under usual 

and customary business practices satisfy the recordkeeping requirements of 

this paragraph. 

(7) Control leakage through defective 

internal heating coils by monitoring 

the steam return and exhaust lines for 

contamination from internal heating 

coils that discharge into an open watercourse, or pass the steam return or 

exhaust lines through a settling tank, 

skimmer, or other separation or retention system. 

(8) Engineer or update each container 

installation in accordance with good 

engineering practice to avoid discharges. You must provide at least one 

of the following devices: 

(i) High liquid level alarms with an 

audible or visual signal at a constantly 

attended operation or surveillance station. In smaller facilities an audible air 

vent may suffice. 

(ii) High liquid level pump cutoff devices set to stop flow at a predetermined container content level. 

(iii) Direct audible or code signal 

communication between the container 

gauger and the pumping station. 

(iv) A fast response system for determining the liquid level of each bulk 

storage container such as digital computers, telepulse, or direct vision 

gauges. If you use this alternative, a 

person must be present to monitor 

gauges and the overall filling of bulk 

storage containers. 

(v) You must regularly test liquid 

level sensing devices to ensure proper 

operation. 


Lhorne on DSK5TPTVN1PROD with CFR
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§ 112.9 40 CFR Ch. I (7–1–15 Edition) 

(9) Observe effluent treatment facilities frequently enough to detect possible system upsets that could cause a 

discharge as described in §112.1(b). 

(10) Promptly correct visible discharges which result in a loss of oil 

from the container, including but not 

limited to seams, gaskets, piping, 

pumps, valves, rivets, and bolts. You 

must promptly remove any accumulations of oil in diked areas. 

(11) Position or locate mobile or portable oil storage containers to prevent a 

discharge as described in §112.1(b). Except for mobile refuelers and other 

non-transportation-related tank 

trucks, you must furnish a secondary 

means of containment, such as a dike 

or catchment basin, sufficient to contain the capacity of the largest single 

compartment or container with sufficient freeboard to contain precipitation. 

(d) Facility transfer operations, pumping, and facility process. (1) Provide buried piping that is installed or replaced 

on or after August 16, 2002, with a protective wrapping and coating. You 

must also cathodically protect such 

buried piping installations or otherwise 

satisfy the corrosion protection standards for piping in part 280 of this chapter or a State program approved under 

part 281 of this chapter. If a section of 

buried line is exposed for any reason, 

you must carefully inspect it for deterioration. If you find corrosion damage, 

you must undertake additional examination and corrective action as indicated by the magnitude of the damage. 

(2) Cap or blank-flange the terminal 

connection at the transfer point and 

mark it as to origin when piping is not 

in service or is in standby service for 

an extended time. 

(3) Properly design pipe supports to 

minimize abrasion and corrosion and 

allow for expansion and contraction. 

(4) Regularly inspect all aboveground 

valves, piping, and appurtenances. During the inspection you must assess the 

general condition of items, such as 

flange joints, expansion joints, valve 

glands and bodies, catch pans, pipeline 

supports, locking of valves, and metal 

surfaces. You must also conduct integrity and leak testing of buried piping 

at the time of installation, modification, construction, relocation, or replacement. 

(5) Warn all vehicles entering the facility to be sure that no vehicle will 

endanger aboveground piping or other 

oil transfer operations. 

[67 FR 47146, July 17, 2002, as amended at 71 

FR 77293, Dec. 26, 2006; 73 FR 74304, Dec. 5, 

2008] 

§ 112.9 Spill Prevention, Control, and 

Countermeasure Plan Requirements for onshore oil production facilities (excluding drilling and 

workover facilities). 

If you are the owner or operator of an 

onshore oil production facility (excluding a drilling or workover facility), you 

must: 

(a) Meet the general requirements for 

the Plan listed under §112.7, and the 

specific discharge prevention and containment procedures listed under this 

section. 

(b) Oil production facility drainage. (1) 

At tank batteries and separation and 

treating areas where there is a reasonable possibility of a discharge as described in §112.1(b), close and seal at all 

times drains of dikes or drains of 

equivalent measures required under 

§112.7(c)(1), except when draining 

uncontaminated rainwater. Prior to 

drainage, you must inspect the diked 

area and take action as provided in 

§112.8(c)(3)(ii), (iii), and (iv). You must 

remove accumulated oil on the rainwater and return it to storage or dispose of it in accordance with legally 

approved methods. 

(2) Inspect at regularly scheduled intervals field drainage systems (such as 

drainage ditches or road ditches), and 

oil traps, sumps, or skimmers, for an 

accumulation of oil that may have resulted from any small discharge. You 

must promptly remove any accumulations of oil. 

(c) Oil production facility bulk storage 

containers. (1) Not use a container for 

the storage of oil unless its material 

and construction are compatible with 

the material stored and the conditions 

of storage. 

(2) Except as described in paragraph 

(c)(5) of this section for flow-through 

process vessels and paragraph (c)(6) of 

this section for produced water containers and any associated piping and 


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45 

Environmental Protection Agency § 112.9 

appurtenances downstream from the 

container, construct all tank battery, 

separation, and treating facility installations, so that you provide a secondary means of containment for the 

entire capacity of the largest single 

container and sufficient freeboard to 

contain precipitation. You must safely 

confine drainage from undiked areas in 

a catchment basin or holding pond. 

(3) Except as described in paragraph 

(c)(5) of this section for flow-through 

process vessels and paragraph (c)(6) of 

this section for produced water containers and any associated piping and 

appurtenances downstream from the 

container, periodically and upon a regular schedule visually inspect each 

container of oil for deterioration and 

maintenance needs, including the foundation and support of each container 

that is on or above the surface of the 

ground. 

(4) Engineer or update new and old 

tank battery installations in accordance with good engineering practice to 

prevent discharges. You must provide 

at least one of the following: 

(i) Container capacity adequate to assure that a container will not overfill if 

a pumper/gauger is delayed in making 

regularly scheduled rounds. 

(ii) Overflow equalizing lines between 

containers so that a full container can 

overflow to an adjacent container. 

(iii) Vacuum protection adequate to 

prevent container collapse during a 

pipeline run or other transfer of oil 

from the container. 

(iv) High level sensors to generate 

and transmit an alarm signal to the 

computer where the facility is subject 

to a computer production control system. 

(5) Flow-through process vessels. The 

owner or operator of a facility with 

flow-through process vessels may 

choose to implement the alternate requirements as described below in lieu 

of sized secondary containment required in paragraphs (c)(2) and (c)(3) of 

this section. 

(i) Periodically and on a regular 

schedule visually inspect and/or test 

flow-through process vessels and associated components (such as dump 

valves) for leaks, corrosion, or other 

conditions that could lead to a discharge as described in §112.1(b). 

(ii) Take corrective action or make 

repairs to flow-through process vessels 

and any associated components as indicated by regularly scheduled visual inspections, tests, or evidence of an oil 

discharge. 

(iii) Promptly remove or initiate actions to stabilize and remediate any accumulations of oil discharges associated with flow-through process vessels. 

(iv) If your facility discharges more 

than 1,000 U.S. gallons of oil in a single 

discharge as described in §112.1(b), or 

discharges more than 42 U.S. gallons of 

oil in each of two discharges as described in §112.1(b) within any twelve 

month period, from flow-through process vessels (excluding discharges that 

are the result of natural disasters, acts 

of war, or terrorism) then you must, 

within six months from the time the 

facility becomes subject to this paragraph, ensure that all flow-through 

process vessels subject to this subpart 

comply with §112.9(c)(2) and (c)(3). 

(6) Produced water containers. For 

each produced water container, comply 

with §112.9(c)(1) and (c)(4); and 

§112.9(c)(2) and (c)(3), or comply with 

the provisions of the following paragraphs (c)(6)(i) through (v): 

(i) Implement, on a regular schedule, 

a procedure for each produced water 

container that is designed to separate 

the free-phase oil that accumulates on 

the surface of the produced water. Include in the Plan a description of the 

procedures, frequency, amount of freephase oil expected to be maintained inside the container, and a Professional 

Engineer certification in accordance 

with §112.3(d)(1)(vi). Maintain records 

of such events in accordance with 

§112.7(e). Records kept under usual and 

customary business practices will suffice for purposes of this paragraph. If 

this procedure is not implemented as 

described in the Plan or no records are 

maintained, then you must comply 

with §112.9(c)(2) and (c)(3). 

(ii) On a regular schedule, visually 

inspect and/or test the produced water 

container and associated piping for 

leaks, corrosion, or other conditions 

that could lead to a discharge as described in §112.1(b) in accordance with 

good engineering practice. 


Lhorne on DSK5TPTVN1PROD with CFR
46 

§ 112.10 40 CFR Ch. I (7–1–15 Edition) 

(iii) Take corrective action or make 

repairs to the produced water container and any associated piping as indicated by regularly scheduled visual 

inspections, tests, or evidence of an oil 

discharge. 

(iv) Promptly remove or initiate actions to stabilize and remediate any accumulations of oil discharges associated with the produced water container. 

(v) If your facility discharges more 

than 1,000 U.S. gallons of oil in a single 

discharge as described in §112.1(b), or 

discharges more than 42 U.S. gallons of 

oil in each of two discharges as described in §112.1(b) within any twelve 

month period from a produced water 

container subject to this subpart (excluding discharges that are the result 

of natural disasters, acts of war, or terrorism) then you must, within six 

months from the time the facility becomes subject to this paragraph, ensure that all produced water containers 

subject to this subpart comply with 

§112.9(c)(2) and (c)(3). 

(d) Facility transfer operations, oil production facility. (1) Periodically and 

upon a regular schedule inspect all 

aboveground valves and piping associated with transfer operations for the 

general condition of flange joints, 

valve glands and bodies, drip pans, pipe 

supports, pumping well polish rod 

stuffing boxes, bleeder and gauge 

valves, and other such items. 

(2) Inspect saltwater (oil field brine) 

disposal facilities often, particularly 

following a sudden change in atmospheric temperature, to detect possible 

system upsets capable of causing a discharge. 

(3) For flowlines and intra-facility 

gathering lines that are not provided 

with secondary containment in accordance with §112.7(c), unless you have 

submitted a response plan under 

§112.20, provide in your Plan the following: 

(i) An oil spill contingency plan following the provisions of part 109 of this 

chapter. 

(ii) A written commitment of manpower, equipment, and materials required to expeditiously control and remove any quantity of oil discharged 

that might be harmful. 

(4) Prepare and implement a written 

program of flowline/intra-facility gathering line maintenance. The maintenance program must address your procedures to: 

(i) Ensure that flowlines and intra-facility gathering lines and associated 

valves and equipment are compatible 

with the type of production fluids, 

their potential corrosivity, volume, 

and pressure, and other conditions expected in the operational environment. 

(ii) Visually inspect and/or test 

flowlines and intra-facility gathering 

lines and associated appurtenances on 

a periodic and regular schedule for 

leaks, oil discharges, corrosion, or 

other conditions that could lead to a 

discharge as described in §112.1(b). For 

flowlines and intra-facility gathering 

lines that are not provided with secondary containment in accordance 

with §112.7(c), the frequency and type 

of testing must allow for the implementation of a contingency plan as described under part 109 of this chapter. 

(iii) Take corrective action or make 

repairs to any flowlines and intra-facility gathering lines and associated appurtenances as indicated by regularly 

scheduled visual inspections, tests, or 

evidence of a discharge. 

(iv) Promptly remove or initiate actions to stabilize and remediate any accumulations of oil discharges associated with flowlines, intra-facility gathering lines, and associated appurtenances. 

[73 FR, 74304, Dec. 5, 2008, as amended at 74 

FR 58810, Nov. 13, 2009] 

§ 112.10 Spill Prevention, Control, and 

Countermeasure Plan requirements 

for onshore oil drilling and 

workover facilities. 

If you are the owner or operator of an 

onshore oil drilling and workover facility, you must: 

(a) Meet the general requirements 

listed under §112.7, and also meet the 

specific discharge prevention and containment procedures listed under this 

section. 

(b) Position or locate mobile drilling 

or workover equipment so as to prevent a discharge as described in 

§112.1(b). 

(c) Provide catchment basins or diversion structures to intercept and 


Lhorne on DSK5TPTVN1PROD with CFR
47 

Environmental Protection Agency § 112.11 

contain discharges of fuel, crude oil, or 

oily drilling fluids. 

(d) Install a blowout prevention 

(BOP) assembly and well control system before drilling below any casing 

string or during workover operations. 

The BOP assembly and well control 

system must be capable of controlling 

any well-head pressure that may be encountered while that BOP assembly 

and well control system are on the 

well. 

§ 112.11 Spill Prevention, Control, and 

Countermeasure Plan requirements 

for offshore oil drilling, production, 

or workover facilities. 

If you are the owner or operator of an 

offshore oil drilling, production, or 

workover facility, you must: 

(a) Meet the general requirements 

listed under §112.7, and also meet the 

specific discharge prevention and containment procedures listed under this 

section. 

(b) Use oil drainage collection equipment to prevent and control small oil 

discharges around pumps, glands, 

valves, flanges, expansion joints, hoses, 

drain lines, separators, treaters, tanks, 

and associated equipment. You must 

control and direct facility drains toward a central collection sump to prevent the facility from having a discharge as described in §112.1(b). Where 

drains and sumps are not practicable, 

you must remove oil contained in collection equipment as often as necessary to prevent overflow. 

(c) For facilities employing a sump 

system, provide adequately sized sump 

and drains and make available a spare 

pump to remove liquid from the sump 

and assure that oil does not escape. 

You must employ a regularly scheduled 

preventive maintenance inspection and 

testing program to assure reliable operation of the liquid removal system 

and pump start-up device. Redundant 

automatic sump pumps and control devices may be required on some installations. 

(d) At facilities with areas where separators and treaters are equipped with 

dump valves which predominantly fail 

in the closed position and where pollution risk is high, specially equip the facility to prevent the discharge of oil. 

You must prevent the discharge of oil 

by: 

(1) Extending the flare line to a diked 

area if the separator is near shore; 

(2) Equipping the separator with a 

high liquid level sensor that will automatically shut in wells producing to 

the separator; or 

(3) Installing parallel redundant 

dump valves. 

(e) Equip atmospheric storage or 

surge containers with high liquid level 

sensing devices that activate an alarm 

or control the flow, or otherwise prevent discharges. 

(f) Equip pressure containers with 

high and low pressure sensing devices 

that activate an alarm or control the 

flow. 

(g) Equip containers with suitable 

corrosion protection. 

(h) Prepare and maintain at the facility a written procedure within the Plan 

for inspecting and testing pollution 

prevention equipment and systems. 

(i) Conduct testing and inspection of 

the pollution prevention equipment 

and systems at the facility on a scheduled periodic basis, commensurate with 

the complexity, conditions, and circumstances of the facility and any 

other appropriate regulations. You 

must use simulated discharges for testing and inspecting human and equipment pollution control and countermeasure systems. 

(j) Describe in detailed records surface and subsurface well shut-in valves 

and devices in use at the facility for 

each well sufficiently to determine 

their method of activation or control, 

such as pressure differential, change in 

fluid or flow conditions, combination 

of pressure and flow, manual or remote 

control mechanisms. 

(k) Install a BOP assembly and well 

control system during workover operations and before drilling below any 

casing string. The BOP assembly and 

well control system must be capable of 

controlling any well-head pressure that 

may be encountered while the BOP assembly and well control system are on 

the well. 

(l) Equip all manifolds (headers) with 

check valves on individual flowlines. 

(m) Equip the flowline with a high 

pressure sensing device and shut-in 

valve at the wellhead if the shut-in 


Lhorne on DSK5TPTVN1PROD with CFR
48 

§ 112.12 40 CFR Ch. I (7–1–15 Edition) 

well pressure is greater than the working pressure of the flowline and manifold valves up to and including the 

header valves. Alternatively you may 

provide a pressure relief system for 

flowlines. 

(n) Protect all piping appurtenant to 

the facility from corrosion, such as 

with protective coatings or cathodic 

protection. 

(o) Adequately protect sub-marine 

piping appurtenant to the facility 

against environmental stresses and 

other activities such as fishing operations. 

(p) Maintain sub-marine piping appurtenant to the facility in good operating condition at all times. You must 

periodically and according to a schedule inspect or test such piping for failures. You must document and keep a 

record of such inspections or tests at 

the facility. 

Subpart C—Requirements for Animal Fats and Oils and 

Greases, and Fish and Marine 

Mammal Oils; and for Vegetable Oils, including Oils from 

Seeds, Nuts, Fruits, and Kernels 

SOURCE: 67 FR 57149, July 17, 2002, unless 

otherwise noted. 

§ 112.12 Spill Prevention, Control, and 

Countermeasure Plan requirements. 

If you are the owner or operator of an 

onshore facility, you must: 

(a) Meet the general requirements for 

the Plan listed under §112.7, and the 

specific discharge prevention and containment procedures listed in this section. 

(b) Facility drainage. (1) Restrain 

drainage from diked storage areas by 

valves to prevent a discharge into the 

drainage system or facility effluent 

treatment system, except where facility systems are designed to control 

such discharge. You may empty diked 

areas by pumps or ejectors; however, 

you must manually activate these 

pumps or ejectors and must inspect the 

condition of the accumulation before 

starting, to ensure no oil will be discharged. 

(2) Use valves of manual, open-andclosed design, for the drainage of diked 

areas. You may not use flapper-type 

drain valves to drain diked areas. If 

your facility drainage drains directly 

into a watercourse and not into an onsite wastewater treatment plant, you 

must inspect and may drain 

uncontaminated retained stormwater, 

subject to the requirements of paragraphs (c)(3)(ii), (iii), and (iv) of this 

section. 

(3) Design facility drainage systems 

from undiked areas with a potential for 

a discharge (such as where piping is located outside containment walls or 

where tank truck discharges may occur 

outside the loading area) to flow into 

ponds, lagoons, or catchment basins designed to retain oil or return it to the 

facility. You must not locate 

catchment basins in areas subject to 

periodic flooding. 

(4) If facility drainage is not engineered as in paragraph (b)(3) of this 

section, equip the final discharge of all 

ditches inside the facility with a diversion system that would, in the event of 

an uncontrolled discharge, retain oil in 

the facility. 

(5) Where drainage waters are treated 

in more than one treatment unit and 

such treatment is continuous, and 

pump transfer is needed, provide two 

‘‘lift’’ pumps and permanently install 

at least one of the pumps. Whatever 

techniques you use, you must engineer 

facility drainage systems to prevent a 

discharge as described in §112.1(b) in 

case there is an equipment failure or 

human error at the facility. 

(c) Bulk storage containers. (1) Not use 

a container for the storage of oil unless 

its material and construction are compatible with the material stored and 

conditions of storage such as pressure 

and temperature. 

(2) Construct all bulk storage tank 

installations (except mobile refuelers 

and other non-transportation-related 

tank trucks) so that you provide a secondary means of containment for the 

entire capacity of the largest single 

container and sufficient freeboard to 

contain precipitation. You must ensure 

that diked areas are sufficiently impervious to contain discharged oil. Dikes, 

containment curbs, and pits are commonly employed for this purpose. You 


Lhorne on DSK5TPTVN1PROD with CFR
49 

Environmental Protection Agency § 112.12 

may also use an alternative system 

consisting of a drainage trench enclosure that must be arranged so that any 

discharge will terminate and be safely 

confined in a facility catchment basin 

or holding pond. 

(3) Not allow drainage of 

uncontaminated rainwater from the 

diked area into a storm drain or discharge of an effluent into an open watercourse, lake, or pond, bypassing the 

facility treatment system unless you: 

(i) Normally keep the bypass valve 

sealed closed. 

(ii) Inspect the retained rainwater to 

ensure that its presence will not cause 

a discharge as described in §112.1(b). 

(iii) Open the bypass valve and reseal 

it following drainage under responsible 

supervision; and 

(iv) Keep adequate records of such 

events, for example, any records required under permits issued in accordance with §§122.41(j)(2) and 122.41(m)(3) 

of this chapter. 

(4) Protect any completely buried 

metallic storage tank installed on or 

after January 10, 1974 from corrosion 

by coatings or cathodic protection 

compatible with local soil conditions. 

You must regularly leak test such 

completely buried metallic storage 

tanks. 

(5) Not use partially buried or 

bunkered metallic tanks for the storage of oil, unless you protect the buried section of the tank from corrosion. 

You must protect partially buried and 

bunkered tanks from corrosion by 

coatings or cathodic protection compatible with local soil conditions. 

(6) Bulk storage container inspections. 

(i) Except for containers that meet 

the criteria provided in paragraph 

(c)(6)(ii) of this section, test or inspect 

each aboveground container for integrity on a regular schedule and whenever you make material repairs. You 

must determine, in accordance with industry standards, the appropriate 

qualifications for personnel performing 

tests and inspections, the frequency 

and type of testing and inspections, 

which take into account container size, 

configuration, and design (such as containers that are: shop-built, field-erected, skid-mounted, elevated, equipped 

with a liner, double-walled, or partially 

buried). Examples of these integrity 

tests include, but are not limited to: 

Visual inspection, hydrostatic testing, 

radiographic testing, ultrasonic testing, acoustic emissions testing, or 

other systems of non-destructive testing. You must keep comparison records 

and you must also inspect the container’s supports and foundations. In 

addition, you must frequently inspect 

the outside of the container for signs of 

deterioration, discharges, or accumulation of oil inside diked areas. Records 

of inspections and tests kept under 

usual and customary business practices 

satisfy the recordkeeping requirements 

of this paragraph. 

(ii) For bulk storage containers that 

are subject to 21 CFR part 110, are elevated, constructed of austenitic stainless steel, have no external insulation, 

and are shop-fabricated, conduct formal visual inspection on a regular 

schedule. In addition, you must frequently inspect the outside of the container for signs of deterioration, discharges, or accumulation of oil inside 

diked areas. You must determine and 

document in the Plan the appropriate 

qualifications for personnel performing 

tests and inspections. Records of inspections and tests kept under usual 

and customary business practices satisfy the recordkeeping requirements of 

this paragraph (c)(6). 

(7) Control leakage through defective 

internal heating coils by monitoring 

the steam return and exhaust lines for 

contamination from internal heating 

coils that discharge into an open watercourse, or pass the steam return or 

exhaust lines through a settling tank, 

skimmer, or other separation or retention system. 

(8) Engineer or update each container 

installation in accordance with good 

engineering practice to avoid discharges. You must provide at least one 

of the following devices: 

(i) High liquid level alarms with an 

audible or visual signal at a constantly 

attended operation or surveillance station. In smaller facilities an audible air 

vent may suffice. 

(ii) High liquid level pump cutoff devices set to stop flow at a predetermined container content level. 

(iii) Direct audible or code signal 

communication between the container 

gauger and the pumping station. 


Lhorne on DSK5TPTVN1PROD with CFR
50 

§§ 112.13–112.15 40 CFR Ch. I (7–1–15 Edition) 

(iv) A fast response system for determining the liquid level of each bulk 

storage container such as digital computers, telepulse, or direct vision 

gauges. If you use this alternative, a 

person must be present to monitor 

gauges and the overall filling of bulk 

storage containers. 

(v) You must regularly test liquid 

level sensing devices to ensure proper 

operation. 

(9) Observe effluent treatment facilities frequently enough to detect possible system upsets that could cause a 

discharge as described in §112.1(b). 

(10) Promptly correct visible discharges which result in a loss of oil 

from the container, including but not 

limited to seams, gaskets, piping, 

pumps, valves, rivets, and bolts. You 

must promptly remove any accumulations of oil in diked areas. 

(11) Position or locate mobile or portable oil storage containers to prevent a 

discharge as described in §112.1(b). Except for mobile refuelers and other 

non-transportation-related tank 

trucks, you must furnish a secondary 

means of containment, such as a dike 

or catchment basin, sufficient to contain the capacity of the largest single 

compartment or container with sufficient freeboard to contain precipitation. 

(d) Facility transfer operations, pumping, and facility process. (1) Provide buried piping that is installed or replaced 

on or after August 16, 2002, with a protective wrapping and coating. You 

must also cathodically protect such 

buried piping installations or otherwise 

satisfy the corrosion protection standards for piping in part 280 of this chapter or a State program approved under 

part 281 of this chapter. If a section of 

buried line is exposed for any reason, 

you must carefully inspect it for deterioration. If you find corrosion damage, 

you must undertake additional examination and corrective action as indicated by the magnitude of the damage. 

(2) Cap or blank-flange the terminal 

connection at the transfer point and 

mark it as to origin when piping is not 

in service or is in standby service for 

an extended time. 

(3) Properly design pipe supports to 

minimize abrasion and corrosion and 

allow for expansion and contraction. 

(4) Regularly inspect all aboveground 

valves, piping, and appurtenances. During the inspection you must assess the 

general condition of items, such as 

flange joints, expansion joints, valve 

glands and bodies, catch pans, pipeline 

supports, locking of valves, and metal 

surfaces. You must also conduct integrity and leak testing of buried piping 

at the time of installation, modification, construction, relocation, or replacement. 

(5) Warn all vehicles entering the facility to be sure that no vehicle will 

endanger aboveground piping or other 

oil transfer operations. 

[67 FR 57149, July 17, 2002, as amended at 71 

FR 77293, Dec. 26, 2006; 73 FR 74305, Dec. 5, 

2008] 

§§ 112.13–112.15 [Reserved] 

Subpart D—Response 

Requirements 

§ 112.20 Facility response plans. 

(a) The owner or operator of any nontransportation-related onshore facility 

that, because of its location, could reasonably be expected to cause substantial harm to the environment by discharging oil into or on the navigable 

waters or adjoining shorelines shall 

prepare and submit a facility response 

plan to the Regional Administrator, 

according to the following provisions: 

(1) For the owner or operator of a facility in operation on or before February 18, 1993 who is required to prepare and submit a response plan under 

33 U.S.C. 1321(j)(5), the Oil Pollution 

Act of 1990 (Pub. L. 101–380, 33 U.S.C. 

2701 et seq.) requires the submission of 

a response plan that satisfies the requirements of 33 U.S.C. 1321(j)(5) no 

later than February 18, 1993. 

(i) The owner or operator of an existing facility that was in operation on or 

before February 18, 1993 who submitted 

a response plan by February 18, 1993 

shall revise the response plan to satisfy 

the requirements of this section and resubmit the response plan or updated 

portions of the response plan to the Regional Administrator by February 18, 

1995. 

(ii) The owner or operator of an existing facility in operation on or before 

February 18, 1993 who failed to submit 


Lhorne on DSK5TPTVN1PROD with CFR
51 

Environmental Protection Agency § 112.20 

a response plan by February 18, 1993 

shall prepare and submit a response 

plan that satisfies the requirements of 

this section to the Regional Administrator before August 30, 1994. 

(2) The owner or operator of a facility 

in operation on or after August 30, 1994 

that satisfies the criteria in paragraph 

(f)(1) of this section or that is notified 

by the Regional Administrator pursuant to paragraph (b) of this section 

shall prepare and submit a facility response plan that satisfies the requirements of this section to the Regional 

Administrator. 

(i) For a facility that commenced operations after February 18, 1993 but 

prior to August 30, 1994, and is required 

to prepare and submit a response plan 

based on the criteria in paragraph (f)(1) 

of this section, the owner or operator 

shall submit the response plan or updated portions of the response plan, 

along with a completed version of the 

response plan cover sheet contained in 

appendix F to this part, to the Regional Administrator prior to August 

30, 1994. 

(ii) For a newly constructed facility 

that commences operation after August 30, 1994, and is required to prepare 

and submit a response plan based on 

the criteria in paragraph (f)(1) of this 

section, the owner or operator shall 

submit the response plan, along with a 

completed version of the response plan 

cover sheet contained in appendix F to 

this part, to the Regional Administrator prior to the start of operations 

(adjustments to the response plan to 

reflect changes that occur at the facility during the start-up phase of operations must be submitted to the Regional Administrator after an operational trial period of 60 days). 

(iii) For a facility required to prepare 

and submit a response plan after August 30, 1994, as a result of a planned 

change in design, construction, operation, or maintenance that renders the 

facility subject to the criteria in paragraph (f)(1) of this section, the owner 

or operator shall submit the response 

plan, along with a completed version of 

the response plan cover sheet contained in appendix F to this part, to 

the Regional Administrator before the 

portion of the facility undergoing 

change commences operations (adjustments to the response plan to reflect 

changes that occur at the facility during the start-up phase of operations 

must be submitted to the Regional Administrator after an operational trial 

period of 60 days). 

(iv) For a facility required to prepare 

and submit a response plan after August 30, 1994, as a result of an unplanned event or change in facility 

characteristics that renders the facility subject to the criteria in paragraph 

(f)(1) of this section, the owner or operator shall submit the response plan, 

along with a completed version of the 

response plan cover sheet contained in 

appendix F to this part, to the Regional Administrator within six 

months of the unplanned event or 

change. 

(3) In the event the owner or operator 

of a facility that is required to prepare 

and submit a response plan uses an alternative formula that is comparable 

to one contained in appendix C to this 

part to evaluate the criterion in paragraph (f)(1)(ii)(B) or (f)(1)(ii)(C) of this 

section, the owner or operator shall attach documentation to the response 

plan cover sheet contained in appendix 

F to this part that demonstrates the 

reliability and analytical soundness of 

the alternative formula. 

(4) Preparation and submission of response plans—Animal fat and vegetable 

oil facilities. The owner or operator of 

any non-transportation-related facility 

that handles, stores, or transports animal fats and vegetable oils must prepare and submit a facility response 

plan as follows: 

(i) Facilities with approved plans. The 

owner or operator of a facility with a 

facility response plan that has been approved under paragraph (c) of this section by July 31, 2000 need not prepare 

or submit a revised plan except as otherwise required by paragraphs (b), (c), 

or (d) of this section. 

(ii) Facilities with plans that have been 

submitted to the Regional Administrator. 

Except for facilities with approved 

plans as provided in paragraph (a)(4)(i) 

of this section, the owner or operator 

of a facility that has submitted a response plan to the Regional Administrator prior to July 31, 2000 must review the plan to determine if it meets 

or exceeds the applicable provisions of 


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§ 112.20 40 CFR Ch. I (7–1–15 Edition) 

this part. An owner or operator need 

not prepare or submit a new plan if the 

existing plan meets or exceeds the applicable provisions of this part. If the 

plan does not meet or exceed the applicable provisions of this part, the owner 

or operator must prepare and submit a 

new plan by September 28, 2000. 

(iii) Newly regulated facilities. The 

owner or operator of a newly constructed facility that commences operation after July 31, 2000 must prepare 

and submit a plan to the Regional Administrator in accordance with paragraph (a)(2)(ii) of this section. The plan 

must meet or exceed the applicable 

provisions of this part. The owner or 

operator of an existing facility that 

must prepare and submit a plan after 

July 31, 2000 as a result of a planned or 

unplanned change in facility characteristics that causes the facility to become regulated under paragraph (f)(1) 

of this section, must prepare and submit a plan to the Regional Administrator in accordance with paragraph 

(a)(2)(iii) or (iv) of this section, as appropriate. The plan must meet or exceed the applicable provisions of this 

part. 

(iv) Facilities amending existing plans. 

The owner or operator of a facility submitting an amended plan in accordance 

with paragraph (d) of this section after 

July 31, 2000, including plans that had 

been previously approved, must also review the plan to determine if it meets 

or exceeds the applicable provisions of 

this part. If the plan does not meet or 

exceed the applicable provisions of this 

part, the owner or operator must revise 

and resubmit revised portions of an 

amended plan to the Regional Administrator in accordance with paragraph (d) 

of this section, as appropriate. The 

plan must meet or exceed the applicable provisions of this part. 

(b)(1) The Regional Administrator 

may at any time require the owner or 

operator of any non-transportation-related onshore facility to prepare and 

submit a facility response plan under 

this section after considering the factors in paragraph (f)(2) of this section. 

If such a determination is made, the 

Regional Administrator shall notify 

the facility owner or operator in writing and shall provide a basis for the determination. If the Regional Administrator notifies the owner or operator in 

writing of the requirement to prepare 

and submit a response plan under this 

section, the owner or operator of the 

facility shall submit the response plan 

to the Regional Administrator within 

six months of receipt of such written 

notification. 

(2) The Regional Administrator shall 

review plans submitted by such facilities to determine whether the facility 

could, because of its location, reasonably be expected to cause significant 

and substantial harm to the environment by discharging oil into or on the 

navigable waters or adjoining shorelines. 

(c) The Regional Administrator shall 

determine whether a facility could, because of its location, reasonably be expected to cause significant and substantial harm to the environment by 

discharging oil into or on the navigable 

waters or adjoining shorelines, based 

on the factors in paragraph (f)(3) of this 

section. If such a determination is 

made, the Regional Administrator 

shall notify the owner or operator of 

the facility in writing and: 

(1) Promptly review the facility response plan; 

(2) Require amendments to any response plan that does not meet the requirements of this section; 

(3) Approve any response plan that 

meets the requirements of this section; 

and 

(4) Review each response plan periodically thereafter on a schedule established by the Regional Administrator 

provided that the period between plan 

reviews does not exceed five years. 

(d)(1) The owner or operator of a facility for which a response plan is required under this part shall revise and 

resubmit revised portions of the response plan within 60 days of each facility change that materially may affect the response to a worst case discharge, including: 

(i) A change in the facility’s configuration that materially alters the information included in the response plan; 

(ii) A change in the type of oil handled, stored, or transferred that materially alters the required response resources; 

(iii) A material change in capabilities 

of the oil spill removal organization(s) 


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Environmental Protection Agency § 112.20 

that provide equipment and personnel 

to respond to discharges of oil described in paragraph (h)(5) of this section; 

(iv) A material change in the facility’s spill prevention and response 

equipment or emergency response procedures; and 

(v) Any other changes that materially affect the implementation of the 

response plan. 

(2) Except as provided in paragraph 

(d)(1) of this section, amendments to 

personnel and telephone number lists 

included in the response plan and a 

change in the oil spill removal organization(s) that does not result in a material change in support capabilities do 

not require approval by the Regional 

Administrator. Facility owners or operators shall provide a copy of such 

changes to the Regional Administrator 

as the revisions occur. 

(3) The owner or operator of a facility 

that submits changes to a response 

plan as provided in paragraph (d)(1) or 

(d)(2) of this section shall provide the 

EPA-issued facility identification number (where one has been assigned) with 

the changes. 

(4) The Regional Administrator shall 

review for approval changes to a response plan submitted pursuant to 

paragraph (d)(1) of this section for a facility determined pursuant to paragraph (f)(3) of this section to have the 

potential to cause significant and substantial harm to the environment. 

(e) If the owner or operator of a facility determines pursuant to paragraph 

(a)(2) of this section that the facility 

could not, because of its location, reasonably be expected to cause substantial harm to the environment by discharging oil into or on the navigable 

waters or adjoining shorelines, the 

owner or operator shall complete and 

maintain at the facility the certification form contained in appendix C to 

this part and, in the event an alternative formula that is comparable to 

one contained in appendix C to this 

part is used to evaluate the criterion in 

paragraph (f)(1)(ii)(B) or (f)(1)(ii)(C) of 

this section, the owner or operator 

shall attach documentation to the certification form that demonstrates the 

reliability and analytical soundness of 

the comparable formula and shall notify the Regional Administrator in 

writing that an alternative formula 

was used. 

(f)(1) A facility could, because of its 

location, reasonably be expected to 

cause substantial harm to the environment by discharging oil into or on the 

navigable waters or adjoining shorelines pursuant to paragraph (a)(2) of 

this section, if it meets any of the following criteria applied in accordance 

with the flowchart contained in attachment C-I to appendix C to this part: 

(i) The facility transfers oil over 

water to or from vessels and has a total 

oil storage capacity greater than or 

equal to 42,000 gallons; or 

(ii) The facility’s total oil storage capacity is greater than or equal to 1 million gallons, and one of the following is 

true: 

(A) The facility does not have secondary containment for each aboveground storage area sufficiently large 

to contain the capacity of the largest 

aboveground oil storage tank within 

each storage area plus sufficient 

freeboard to allow for precipitation; 

(B) The facility is located at a distance (as calculated using the appropriate formula in appendix C to this 

part or a comparable formula) 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 of the ‘‘Guidance for Facility 

and Vessel Response Plans: Fish and 

Wildlife and Sensitive Environments’’ 

(see appendix E to this part, section 13, 

for availability) and the applicable 

Area Contingency Plan prepared pursuant to section 311(j)(4) of the Clean 

Water Act; 

(C) The facility is located at a distance (as calculated using the appropriate formula in appendix C to this 

part or a comparable formula) such 

that a discharge from the facility 

would shut down a public drinking 

water intake; or 

(D) The facility has had a reportable 

oil discharge in an amount greater 

than or equal to 10,000 gallons within 

the last 5 years. 

(2)(i) To determine whether a facility 

could, because of its location, reasonably be expected to cause substantial 


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§ 112.20 40 CFR Ch. I (7–1–15 Edition) 

harm to the environment by discharging oil into or on the navigable 

waters or adjoining shorelines pursuant to paragraph (b) of this section, the 

Regional Administrator shall consider 

the following: 

(A) Type of transfer operation; 

(B) Oil storage capacity; 

(C) Lack of secondary containment; 

(D) Proximity to fish and wildlife and 

sensitive environments and other areas 

determined by the Regional Administrator to possess ecological value; 

(E) Proximity to drinking water intakes; 

(F) Spill history; and 

(G) Other site-specific characteristics 

and environmental factors that the Regional Administrator determines to be 

relevant to protecting the environment 

from harm by discharges of oil into or 

on navigable waters or adjoining shorelines. 

(ii) Any person, including a member 

of the public or any representative 

from a Federal, State, or local agency 

who believes that a facility subject to 

this section could, because of its location, reasonably be expected to cause 

substantial harm to the environment 

by discharging oil into or on the navigable waters or adjoining shorelines 

may petition the Regional Administrator to determine whether the facility meets the criteria in paragraph 

(f)(2)(i) of this section. Such petition 

shall include a discussion of how the 

factors in paragraph (f)(2)(i) of this section apply to the facility in question. 

The RA shall consider such petitions 

and respond in an appropriate amount 

of time. 

(3) To determine whether a facility 

could, because of its location, reasonably be expected to cause significant 

and substantial harm to the environment by discharging oil into or on the 

navigable waters or adjoining shorelines, the Regional Administrator may 

consider the factors in paragraph (f)(2) 

of this section as well as the following: 

(i) Frequency of past discharges; 

(ii) Proximity to navigable waters; 

(iii) Age of oil storage tanks; and 

(iv) Other facility-specific and Region-specific information, including 

local impacts on public health. 

(g)(1) All facility response plans shall 

be consistent with the requirements of 

the National Oil and Hazardous Substance Pollution Contingency Plan (40 

CFR part 300) and applicable Area Contingency Plans prepared pursuant to 

section 311(j)(4) of the Clean Water Act. 

The facility response plan should be coordinated with the local emergency response plan developed by the local 

emergency planning committee under 

section 303 of Title III of the Superfund 

Amendments and Reauthorization Act 

of 1986 (42 U.S.C. 11001 et seq.). Upon request, the owner or operator should 

provide a copy of the facility response 

plan to the local emergency planning 

committee or State emergency response commission. 

(2) The owner or operator shall review relevant portions of the National 

Oil and Hazardous Substances Pollution Contingency Plan and applicable 

Area Contingency Plan annually and, if 

necessary, revise the facility response 

plan to ensure consistency with these 

plans. 

(3) The owner or operator shall review and update the facility response 

plan periodically to reflect changes at 

the facility. 

(h) A response plan shall follow the 

format of the model facility-specific response plan included in appendix F to 

this part, unless you have prepared an 

equivalent response plan acceptable to 

the Regional Administrator to meet 

State or other Federal requirements. A 

response plan that does not follow the 

specified format in appendix F to this 

part shall have an emergency response 

action plan as specified in paragraphs 

(h)(1) of this section and be supplemented with a cross-reference section 

to identify the location of the elements 

listed in paragraphs (h)(2) through 

(h)(10) of this section. To meet the requirements of this part, a response 

plan shall address the following elements, as further described in appendix 

F to this part: 

(1) Emergency response action plan. 

The response plan shall include an 

emergency response action plan in the 

format specified in paragraphs (h)(1)(i) 

through (viii) of this section that is 

maintained in the front of the response 

plan, or as a separate document accompanying the response plan, and that includes the following information: 


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Environmental Protection Agency § 112.20 

(i) The identity and telephone number of a qualified individual having full 

authority, including contracting authority, to implement removal actions; 

(ii) The identity of individuals or organizations to be contacted in the 

event of a discharge so that immediate 

communications between the qualified 

individual identified in paragraph (h)(1) 

of this section and the appropriate Federal officials and the persons providing 

response personnel and equipment can 

be ensured; 

(iii) A description of information to 

pass to response personnel in the event 

of a reportable discharge; 

(iv) A description of the facility’s response equipment and its location; 

(v) A description of response personnel capabilities, including the duties of persons at the facility during a 

response action and their response 

times and qualifications; 

(vi) Plans for evacuation of the facility and a reference to community evacuation plans, as appropriate; 

(vii) A description of immediate 

measures to secure the source of the 

discharge, and to provide adequate containment and drainage of discharged 

oil; and 

(viii) A diagram of the facility. 

(2) Facility information. The response 

plan shall identify and discuss the location and type of the facility, the identity and tenure of the present owner 

and operator, and the identity of the 

qualified individual identified in paragraph (h)(1) of this section. 

(3) Information about emergency response. The response plan shall include: 

(i) The identity of private personnel 

and equipment necessary to remove to 

the maximum extent practicable a 

worst case discharge and other discharges of oil described in paragraph 

(h)(5) of this section, and to mitigate or 

prevent a substantial threat of a worst 

case discharge (To identify response resources to meet the facility response 

plan requirements of this section, owners or operators shall follow appendix E 

to this part or, where not appropriate, 

shall clearly demonstrate in the response plan why use of appendix E of 

this part is not appropriate at the facility and make comparable arrangements for response resources); 

(ii) Evidence of contracts or other approved means for ensuring the availability of such personnel and equipment; 

(iii) The identity and the telephone 

number of individuals or organizations 

to be contacted in the event of a discharge so that immediate communications between the qualified individual 

identified in paragraph (h)(1) of this 

section and the appropriate Federal official and the persons providing response personnel and equipment can be 

ensured; 

(iv) A description of information to 

pass to response personnel in the event 

of a reportable discharge; 

(v) A description of response personnel capabilities, including the duties of persons at the facility during a 

response action and their response 

times and qualifications; 

(vi) A description of the facility’s response equipment, the location of the 

equipment, and equipment testing; 

(vii) Plans for evacuation of the facility and a reference to community evacuation plans, as appropriate; 

(viii) A diagram of evacuation routes; 

and 

(ix) A description of the duties of the 

qualified individual identified in paragraph (h)(1) of this section, that include: 

(A) Activate internal alarms and hazard communication systems to notify 

all facility personnel; 

(B) Notify all response personnel, as 

needed; 

(C) Identify the character, exact 

source, amount, and extent of the release, as well as the other items needed 

for notification; 

(D) Notify and provide necessary information to the appropriate Federal, 

State, and local authorities with designated response roles, including the 

National Response Center, State Emergency Response Commission, and Local 

Emergency Planning Committee; 

(E) Assess the interaction of the discharged substance with water and/or 

other substances stored at the facility 

and notify response personnel at the 

scene of that assessment; 

(F) Assess the possible hazards to 

human health and the environment due 

to the release. This assessment must 

consider both the direct and indirect 


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§ 112.20 40 CFR Ch. I (7–1–15 Edition) 

effects of the release (i.e., the effects of 

any toxic, irritating, or asphyxiating 

gases that may be generated, or the effects of any hazardous surface water 

runoffs from water or chemical agents 

used to control fire and heat-induced 

explosion); 

(G) Assess and implement prompt removal actions to contain and remove 

the substance released; 

(H) Coordinate rescue and response 

actions as previously arranged with all 

response personnel; 

(I) Use authority to immediately access company funding to initiate cleanup activities; and 

(J) Direct cleanup activities until 

properly relieved of this responsibility. 

(4) Hazard evaluation. The response 

plan shall discuss the facility’s known 

or reasonably identifiable history of 

discharges reportable under 40 CFR 

part 110 for the entire life of the facility and shall identify areas within the 

facility where discharges could occur 

and what the potential effects of the 

discharges would be on the affected environment. To assess the range of areas 

potentially affected, owners or operators shall, where appropriate, consider 

the distance calculated in paragraph 

(f)(1)(ii) of this section to determine 

whether a facility could, because of its 

location, reasonably be expected to 

cause substantial harm to the environment by discharging oil into or on the 

navigable waters or adjoining shorelines. 

(5) Response planning levels. The response plan shall include discussion of 

specific planning scenarios for: 

(i) A worst case discharge, as calculated using the appropriate worksheet in appendix D to this part. In 

cases where the Regional Administrator determines that the worst case 

discharge volume calculated by the facility is not appropriate, the Regional 

Administrator may specify the worst 

case discharge amount to be used for 

response planning at the facility. For 

complexes, the worst case planning 

quantity shall be the larger of the 

amounts calculated for each component of the facility; 

(ii) A discharge of 2,100 gallons or 

less, provided that this amount is less 

than the worst case discharge amount. 

For complexes, this planning quantity 

shall be the larger of the amounts calculated for each component of the facility; and 

(iii) A discharge greater than 2,100 

gallons and less than or equal to 36,000 

gallons or 10 percent of the capacity of 

the largest tank at the facility, whichever is less, provided that this amount 

is less than the worst case discharge 

amount. For complexes, this planning 

quantity shall be the larger of the 

amounts calculated for each component of the facility. 

(6) Discharge detection systems. The response plan shall describe the procedures and equipment used to detect discharges. 

(7) Plan implementation. The response 

plan shall describe: 

(i) Response actions to be carried out 

by facility personnel or contracted personnel under the response plan to ensure the safety of the facility and to 

mitigate or prevent discharges described in paragraph (h)(5) of this section or the substantial threat of such 

discharges; 

(ii) A description of the equipment to 

be used for each scenario; 

(iii) Plans to dispose of contaminated 

cleanup materials; and 

(iv) Measures to provide adequate 

containment and drainage of discharged oil. 

(8) Self-inspection, drills/exercises, and 

response training. The response plan 

shall include: 

(i) A checklist and record of inspections for tanks, secondary containment, and response equipment; 

(ii) A description of the drill/exercise 

program to be carried out under the response plan as described in §112.21; 

(iii) A description of the training program to be carried out under the response plan as described in §112.21; and 

(iv) Logs of discharge prevention 

meetings, training sessions, and drills/ 

exercises. These logs may be maintained as an annex to the response 

plan. 

(9) Diagrams. The response plan shall 

include site plan and drainage plan diagrams. 

(10) Security systems. The response 

plan shall include a description of facility security systems. 

(11) Response plan cover sheet. The response plan shall include a completed 


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Environmental Protection Agency § 112.21 

response plan cover sheet provided in 

section 2.0 of appendix F to this part. 

(i)(1) In the event the owner or operator of a facility does not agree with 

the Regional Administrator’s determination that the facility could, because of its location, reasonably be expected to cause substantial harm or 

significant and substantial harm to the 

environment by discharging oil into or 

on the navigable waters or adjoining 

shorelines, or that amendments to the 

facility response plan are necessary 

prior to approval, such as changes to 

the worst case discharge planning volume, the owner or operator may submit a request for reconsideration to 

the Regional Administrator and provide additional information and data in 

writing to support the request. The request and accompanying information 

must be submitted to the Regional Administrator within 60 days of receipt of 

notice of the Regional Administrator’s 

original decision. The Regional Administrator shall consider the request and 

render a decision as rapidly as practicable. 

(2) In the event the owner or operator 

of a facility believes a change in the facility’s classification status is warranted because of an unplanned event 

or change in the facility’s characteristics (i.e., substantial harm or significant and substantial harm), the owner 

or operator may submit a request for 

reconsideration to the Regional Administrator and provide additional information and data in writing to support the request. The Regional Administrator shall consider the request and 

render a decision as rapidly as practicable. 

(3) After a request for reconsideration under paragraph (i)(1) or (i)(2) of 

this section has been denied by the Regional Administrator, an owner or operator may appeal a determination 

made by the Regional Administrator. 

The appeal shall be made to the EPA 

Administrator and shall be made in 

writing within 60 days of receipt of the 

decision from the Regional Administrator that the request for reconsideration was denied. A complete copy of 

the appeal must be sent to the Regional Administrator at the time the 

appeal is made. The appeal shall contain a clear and concise statement of 

the issues and points of fact in the 

case. It also may contain additional information from the owner or operator, 

or from any other person. The EPA Administrator may request additional information from the owner or operator, 

or from any other person. The EPA Administrator shall render a decision as 

rapidly as practicable and shall notify 

the owner or operator of the decision. 

[59 FR 34098, July 1, 1994, as amended at 65 

FR 40798, June 30, 2000; 66 FR 34560, June 29, 

2001; 67 FR 47151, July 17, 2002] 

§ 112.21 Facility response training and 

drills/exercises. 

(a) The owner or operator of any facility required to prepare a facility response plan under §112.20 shall develop 

and implement a facility response 

training program and a drill/exercise 

program that satisfy the requirements 

of this section. The owner or operator 

shall describe the programs in the response plan as provided in §112.20(h)(8). 

(b) The facility owner or operator 

shall develop a facility response training program to train those personnel 

involved in oil spill response activities. 

It is recommended that the training 

program be based on the USCG’s Training Elements for Oil Spill Response, as 

applicable to facility operations. An alternative program can also be acceptable subject to approval by the Regional Administrator. 

(1) The owner or operator shall be responsible for the proper instruction of 

facility personnel in the procedures to 

respond to discharges of oil and in applicable oil spill response laws, rules, 

and regulations. 

(2) Training shall be functional in nature according to job tasks for both supervisory and non-supervisory operational personnel. 

(3) Trainers shall develop specific lesson plans on subject areas relevant to 

facility personnel involved in oil spill 

response and cleanup. 

(c) The facility owner or operator 

shall develop a program of facility response drills/exercises, including evaluation procedures. A program that follows the National Preparedness for Response Exercise Program (PREP) (see 

appendix E to this part, section 13, for 


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Pt. 112, App. A 40 CFR Ch. I (7–1–15 Edition) 

availability) will be deemed satisfactory for purposes of this section. An alternative program can also be acceptable subject to approval by the Regional Administrator. 

[59 FR 34101, July 1, 1994, as amended at 65 

FR 40798, June 30, 2000] 

APPENDIX A TO PART 112—MEMORANDUM

OF UNDERSTANDING BETWEEN THE

SECRETARY OF TRANSPORTATION AND

THE ADMINISTRATOR OF THE ENVIRONMENTAL PROTECTION AGENCY

SECTION II—DEFINITIONS

The Environmental Protection Agency and 

the Department of Transportation agree that 

for the purposes of Executive Order 11548, the 

term: 

(1) Non-transportation-related onshore and 

offshore facilities means: 

(A) Fixed onshore and offshore oil well 

drilling facilities including all equipment 

and appurtenances related thereto used in 

drilling operations for exploratory or development wells, but excluding any terminal facility, unit or process integrally associated 

with the handling or transferring of oil in 

bulk to or from a vessel. 

(B) Mobile onshore and offshore oil well 

drilling platforms, barges, trucks, or other 

mobile facilities including all equipment and 

appurtenances related thereto when such 

mobile facilities are fixed in position for the 

purpose of drilling operations for exploratory 

or development wells, but excluding any terminal facility, unit or process integrally associated with the handling or transferring of 

oil in bulk to or from a vessel. 

(C) Fixed onshore and offshore oil production structures, platforms, derricks, and rigs 

including all equipment and appurtenances 

related thereto, as well as completed wells 

and the wellhead separators, oil separators, 

and storage facilities used in the production 

of oil, but excluding any terminal facility, 

unit or process integrally associated with 

the handling or transferring of oil in bulk to 

or from a vessel. 

(D) Mobile onshore and offshore oil production facilities including all equipment and 

appurtenances related thereto as well as 

completed wells and wellhead equipment, 

piping from wellheads to oil separators, oil 

separators, and storage facilities used in the 

production of oil when such mobile facilities 

are fixed in position for the purpose of oil 

production operations, but excluding any 

terminal facility, unit or process integrally 

associated with the handling or transferring 

of oil in bulk to or from a vessel. 

(E) Oil refining facilities including all 

equipment and appurtenances related thereto as well as in-plant processing units, storage units, piping, drainage systems and 

waste treatment units used in the refining of 

oil, but excluding any terminal facility, unit 

or process integrally associated with the 

handling or transferring of oil in bulk to or 

from a vessel. 

(F) Oil storage facilities including all 

equipment and appurtenances related thereto as well as fixed bulk plant storage, terminal oil storage facilities, consumer storage, pumps and drainage systems used in the 

storage of oil, but excluding inline or breakout storage tanks needed for the continuous 

operation of a pipeline system and any terminal facility, unit or process integrally associated with the handling or transferring of 

oil in bulk to or from a vessel. 

(G) Industrial, commercial, agricultural or 

public facilities which use and store oil, but 

excluding any terminal facility, unit or process integrally associated with the handling 

or transferring of oil in bulk to or from a 

vessel. 

(H) Waste treatment facilities including 

in-plant pipelines, effluent discharge lines, 

and storage tanks, but excluding waste 

treatment facilities located on vessels and 

terminal storage tanks and appurtenances 

for the reception of oily ballast water or 

tank washings from vessels and associated 

systems used for off-loading vessels. 

(I) Loading racks, transfer hoses, loading 

arms and other equipment which are appurtenant to a nontransportation-related facility or terminal facility and which are used 

to transfer oil in bulk to or from highway vehicles or railroad cars. 

(J) Highway vehicles and railroad cars 

which are used for the transport of oil exclusively within the confines of a nontransportation-related facility and which are not 

intended to transport oil in interstate or 

intrastate commerce. 

(K) Pipeline systems which are used for the 

transport of oil exclusively within the confines of a nontransportation-related facility 

or terminal facility and which are not intended to transport oil in interstate or intrastate commerce, but excluding pipeline systems used to transfer oil in bulk to or from 

a vessel. 

(2) Transportation-related onshore and offshore facilities means: 

(A) Onshore and offshore terminal facilities including transfer hoses, loading arms 

and other equipment and appurtenances used 

for the purpose of handling or transferring 

oil in bulk to or from a vessel as well as storage tanks and appurtenances for the reception of oily ballast water or tank washings 

from vessels, but excluding terminal waste 

treatment facilities and terminal oil storage 

facilities. 

(B) Transfer hoses, loading arms and other 

equipment appurtenant to a non-transportation-related facility which is used to transfer oil in bulk to or from a vessel. 


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59 

Environmental Protection Agency Pt. 112, App. B 

(C) Interstate and intrastate onshore and 

offshore pipeline systems including pumps 

and appurtenances related thereto as well as 

in-line or breakout storage tanks needed for 

the continuous operation of a pipeline system, and pipelines from onshore and offshore 

oil production facilities, but excluding onshore and offshore piping from wellheads to 

oil separators and pipelines which are used 

for the transport of oil exclusively within 

the confines of a nontransportation-related 

facility or terminal facility and which are 

not intended to transport oil in interstate or 

intrastate commerce or to transfer oil in 

bulk to or from a vessel. 

(D) Highway vehicles and railroad cars 

which are used for the transport of oil in 

interstate or intrastate commerce and the 

equipment and appurtenances related thereto, and equipment used for the fueling of locomotive units, as well as the rights-of-way 

on which they operate. Excluded are highway vehicles and railroad cars and motive 

power used exclusively within the confines of 

a nontransportation-related facility or terminal facility and which are not intended for 

use in interstate or intrastate commerce. 

APPENDIX B TO PART 112—MEMORANDUM

OF UNDERSTANDING AMONG THE SECRETARY OF THE INTERIOR, SECRETARY OF TRANSPORTATION, AND

ADMINISTRATOR OF THE ENVIRONMENTAL PROTECTION AGENCY

PURPOSE

This Memorandum of Understanding 

(MOU) establishes the jurisdictional responsibilities for offshore facilities, including 

pipelines, pursuant to section 311 (j)(1)(c), 

(j)(5), and (j)(6)(A) of the Clean Water Act 

(CWA), as amended by the Oil Pollution Act 

of 1990 (Public Law 101–380). The Secretary of 

the Department of the Interior (DOI), Secretary of the Department of Transportation 

(DOT), and Administrator of the Environmental Protection Agency (EPA) agree to 

the division of responsibilities set forth 

below for spill prevention and control, response planning, and equipment inspection 

activities pursuant to those provisions. 

BACKGROUND

Executive Order (E.O.) 12777 (56 FR 54757) 

delegates to DOI, DOT, and EPA various responsibilities identified in section 311(j) of 

the CWA. Sections 2(b)(3), 2(d)(3), and 2(e)(3) 

of E.O. 12777 assigned to DOI spill prevention 

and control, contingency planning, and 

equipment inspection activities associated 

with offshore facilities. Section 311(a)(11) defines the term ‘‘offshore facility’’ to include 

facilities of any kind located in, on, or under 

navigable waters of the United States. By 

using this definition, the traditional DOI 

role of regulating facilities on the Outer 

Continental Shelf is expanded by E.O. 12777 

to include inland lakes, rivers, streams, and 

any other inland waters. 

RESPONSIBILITIES

Pursuant to section 2(i) of E.O. 12777, DOI 

redelegates, and EPA and DOT agree to assume, the functions vested in DOI by sections 2(b)(3), 2(d)(3), and 2(e)(3) of E.O. 12777 

as set forth below. For purposes of this MOU, 

the term ‘‘coast line’’ shall be defined as in 

the Submerged Lands Act (43 U.S.C. 1301(c)) 

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.’’ 

1. To EPA, DOI redelegates responsibility 

for non-transportation-related offshore facilities located landward of the coast line. 

2. To DOT, DOI redelegates responsibility 

for transportation-related facilities, including pipelines, located landward of the coast 

line. The DOT retains jurisdiction for deepwater ports and their associated seaward 

pipelines, as delegated by E.O. 12777. 

3. The DOI retains jurisdiction over facilities, including pipelines, located seaward of 

the coast line, except for deepwater ports 

and associated seaward pipelines delegated 

by E.O. 12777 to DOT. 

EFFECTIVE DATE

This MOU is effective on the date of the 

final execution by the indicated signatories. 

LIMITATIONS

1. The DOI, DOT, and EPA may agree in 

writing to exceptions to this MOU on a facility-specific basis. Affected parties will receive notification of the exceptions. 

2. Nothing in this MOU is intended to replace, supersede, or modify any existing 

agreements between or among DOI, DOT, or 

EPA. 

MODIFICATION AND TERMINATION

Any party to this agreement may propose 

modifications by submitting them in writing 

to the heads of the other agency/department. 

No modification may be adopted except with 

the consent of all parties. All parties shall 

indicate their consent to or disagreement 

with any proposed modification within 60 

days of receipt. Upon the request of any 

party, representatives of all parties shall 

meet for the purpose of considering exceptions or modifications to this agreement. 

This MOU may be terminated only with the 

mutual consent of all parties. 

Dated: November 8, 1993. 

Bruce Babbitt, 

Secretary of the Interior. 

Dated: December 14, 1993. 

Federico Pen ̃ a, 

Secretary of Transportation. 


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Pt. 112, App. C 40 CFR Ch. I (7–1–15 Edition) 

Dated: February 3, 1994. 

Carol M. Browner, 

Administrator, Environmental Protection 

Agency. 

[59 FR 34102, July 1, 1994] 

APPENDIX C TO PART 112—SUBSTANTIAL

HARM CRITERIA

1.0 INTRODUCTION

The flowchart provided in Attachment C–I 

to this appendix shows the decision tree 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.’’ In addition, the Regional Administrator has the discretion to 

identify facilities that must prepare and submit facility-specific response plans to EPA. 

1.1 Definitions 

1.1.1 Great Lakes means Lakes Superior, 

Michigan, Huron, Erie, and Ontario, their 

connecting and tributary waters, the Saint 

Lawrence River as far as Saint Regis, and 

adjacent port areas. 

1.1.2 Higher Volume Port Areas include 

(1) Boston, MA; 

(2) New York, NY; 

(3) Delaware Bay and River to Philadelphia, PA; 

(4) St. Croix, VI; 

(5) Pascagoula, MS; 

(6) Mississippi River from Southwest Pass, 

LA to Baton Rouge, LA; 

(7) Louisiana Offshore Oil Port (LOOP), 

LA; 

(8) Lake Charles, LA; 

(9) Sabine-Neches River, TX; 

(10) Galveston Bay and Houston Ship Channel, TX; 

(11) Corpus Christi, TX; 

(12) Los Angeles/Long Beach Harbor, CA; 

(13) San Francisco Bay, San Pablo Bay, 

Carquinez Strait, and Suisun Bay to Antioch, CA; 

(14) Straits of Juan de Fuca from Port Angeles, WA to and including Puget Sound, 

WA; 

(15) Prince William Sound, AK; and 

(16) Others as specified by the Regional Administrator for any EPA Region. 

1.1.3 Inland Area means the area shoreward of the boundary lines defined in 46 CFR 

part 7, except in the Gulf of Mexico. In the 

Gulf of Mexico, it means the area shoreward 

of the lines of demarcation (COLREG lines as 

defined in 33 CFR 80.740–80.850). The inland 

area does not include the Great Lakes. 

1.1.4 Rivers and Canals means a body of 

water confined within the inland area, including the Intracoastal Waterways and 

other waterways artificially created for 

navigating that have project depths of 12 feet 

or less. 

2.0 DESCRIPTION OF SCREENING CRITERIA FOR

THE SUBSTANTIAL HARM FLOWCHART

A facility that has the potential to cause 

substantial harm to the environment in the 

event of a discharge must prepare and submit a facility-specific response plan to EPA 

in accordance with appendix F to this part. 

A description of the screening criteria for 

the substantial harm flowchart is provided 

below: 

2.1 Non-Transportation-Related Facilities 

With a Total Oil Storage Capacity Greater Than 

or Equal to 42,000 Gallons Where Operations Include Over-Water Transfers of Oil. A nontransportation-related facility with a total 

oil storage capacity greater than or equal to 

42,000 gallons that transfers oil over water to 

or from vessels must submit a response plan 

to EPA. Daily oil transfer operations at 

these types of facilities occur between barges 

and vessels and onshore bulk storage tanks 

over open water. These facilities are located 

adjacent to navigable water. 

2.2 Lack of Adequate Secondary Containment at Facilities With a Total Oil Storage Capacity Greater Than or Equal to 1 Million Gallons. Any facility with a total oil storage capacity greater than or equal to 1 million gallons without secondary containment sufficiently large to contain the capacity of the 

largest aboveground oil storage tank within 

each area plus sufficient freeboard to allow 

for precipitation must submit a response 

plan to EPA. Secondary containment structures that meet the standard of good engineering practice for the purposes of this part 

include berms, dikes, retaining walls, curbing, culverts, gutters, or other drainage systems. 

2.3 Proximity to Fish and Wildlife and Sensitive Environments at Facilities With a Total 

Oil Storage Capacity Greater Than or Equal to 

1 Million Gallons. A facility with a total oil 

storage capacity greater than or equal to 1 

million gallons must submit its response 

plan if it is located at a distance such that 

a discharge from the facility could cause injury (as defined at 40 CFR 112.2) 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: Fish and Wildlife 

and Sensitive Environments’’ (see appendix 

E to this part, section 13, for availability) 

and the applicable Area Contingency Plan. 

Facility owners or operators must determine 

the distance at which an oil discharge could 

cause injury to fish and wildlife and sensitive environments using the appropriate 

formula presented in Attachment C–III to 

this appendix or a comparable formula. 


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Environmental Protection Agency Pt. 112, App. C 

2.4 Proximity to Public Drinking Water Intakes at Facilities with a Total Oil Storage Capacity Greater than or Equal to 1 Million Gallons A facility with a total oil storage capacity greater than or equal to 1 million gallons 

must submit its response plan if it is located 

at a distance such that a discharge from the 

facility would shut down a public drinking 

water intake, which is analogous to a public 

water system as described at 40 CFR 143.2(c). 

The distance at which an oil discharge from 

an SPCC-regulated facility would shut down 

a public drinking water intake shall be calculated using the appropriate formula presented in Attachment C–III to this appendix 

or a comparable formula. 

2.5 Facilities That Have Experienced Reportable Oil Discharges in an Amount Greater Than 

or Equal to 10,000 Gallons Within the Past 5 

Years and That Have a Total Oil Storage Capacity Greater Than or Equal to 1 Million Gallons. A facility’s oil spill history within the 

past 5 years shall be considered in the evaluation for substantial harm. Any facility 

with a total oil storage capacity greater 

than or equal to 1 million gallons that has 

experienced a reportable oil discharge in an 

amount greater than or equal to 10,000 gallons within the past 5 years must submit a 

response plan to EPA. 

3.0 CERTIFICATION FOR FACILITIES THAT DO

NOT POSE SUBSTANTIAL HARM

If the facility does not meet the substantial harm criteria listed in Attachment C–I 

to this appendix, the owner or operator shall 

complete and maintain at the facility the 

certification form contained in Attachment 

C–II to this appendix. In the event an alternative formula that is comparable to the one 

in this appendix is used to evaluate the substantial harm criteria, the owner or operator 

shall attach documentation to the certification form that demonstrates the reliability and analytical soundness of the comparable formula and shall notify the Regional Administrator in writing that an alternative formula was used. 

4.0 REFERENCES

Chow, V.T. 1959. Open Channel Hydraulics. 

McGraw Hill. 

USCG IFR (58 FR 7353, February 5, 1993). 

This document is available through EPA’s 

rulemaking docket as noted in appendix E to 

this part, section 13. 


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Pt. 112, App. C 40 CFR Ch. I (7–1–15 Edition) 

ATTACHMENTS TO APPENDIX C 


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Environmental Protection Agency Pt. 112, App. C 

1 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). 

ATTACHMENT C-II—CERTIFICATION OF THE APPLICABILITY OF THE SUBSTANTIAL HARM CRITERIA

Facility Name: lllllllllllllll

Facility Address: llllllllllllll

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 lll No lll

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 lll No lll

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 (as calculated using the appropriate 

formula in Attachment C–III to this appendix or a comparable formula 1) 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: 

Fish and Wildlife and Sensitive Environments’’ (see appendix E to this part, section 

13, for availability) and the applicable Area 

Contingency Plan. 

Yes lll No lll

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 (as calculated using the appropriate 

formula in Attachment C-III to this appendix 

or a comparable formula 1) such that a discharge from the facility would shut down a 

public drinking water intake? 2

Yes lll No lll

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 discharge in an amount greater 

than or equal to 10,000 gallons within the last 

5 years? 

Yes lll No lll

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. 

llllllllllllllllllllllll

Signature 

llllllllllllllllllllllll

Name (please type or print) 

llllllllllllllllllllllll

Title 

llllllllllllllllllllllll

Date 

ATTACHMENT C-III—CALCULATION OF THE

PLANNING DISTANCE

1.0 Introduction 

1.1 The facility owner or operator must 

evaluate whether the facility is located at a 

distance such that a discharge from the facility could cause injury to fish and wildlife 

and sensitive environments or disrupt operations at a public drinking water intake. To 

quantify that distance, EPA considered oil 

transport mechanisms over land and on still, 

tidal influence, and 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. The still water formula accounts for 

the spread of discharged oil over the surface 

of the water. The method to determine oil 

transport on tidal influence areas is based on 

the type of oil discharged and the distance 

down current during ebb tide and up current 

during flood tide to the point of maximum 

tidal influence. 

1.2 EPA’s formulas were designed to be 

simple to use. However, facility owners or 

operators may calculate planning distances 

using more sophisticated formulas, which 

take into account broader scientific or engineering principles, or local conditions. Such 

comparable formulas may result in different 

planning distances than EPA’s formulas. In 

the event that an alternative formula that is 

comparable to one contained in this appendix is used to evaluate the criterion in 40 

CFR 112.20(f)(1)(ii)(B) or (f)(1)(ii)(C), the 

owner or operator shall attach documentation to the response plan cover sheet contained in appendix F to this part that demonstrates the reliability and analytical 

soundness of the alternative formula and 

shall notify the Regional Administrator in 


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Pt. 112, App. C 40 CFR Ch. I (7–1–15 Edition) 

1For persistent oils or non-persistent oils, 

a worst case trajectory model (i.e., an alternative formula) may be substituted for the 

distance formulas described in still, moving, 

and tidal waters, subject to Regional Administrator’s review of the model. An example of 

an alternative formula that is comparable to 

the one contained in this appendix would be 

a worst case trajectory calculation based on 

credible adverse winds, currents, and/or river 

stages, over a range of seasons, weather conditions, and river stages. Based on historical 

information or a spill trajectory model, the 

Agency may require that additional fish and 

wildlife and sensitive environments or public 

drinking water intakes also be protected. 

writing that an alternative formula was 

used. 1

1.3 A regulated facility may meet the criteria for the potential to cause substantial 

harm to the environment without having to 

perform a planning distance calculation. For 

facilities that meet the substantial harm criteria because of inadequate secondary containment or oil spill history, as listed in the 

flowchart in Attachment C–I to this appendix, calculation of the planning distance is 

unnecessary. For facilities that do not meet 

the substantial harm criteria for secondary 

containment or oil spill history as listed in 

the flowchart, calculation of a planning distance for proximity to fish and wildlife and 

sensitive environments and public drinking 

water intakes is required, unless it is clear 

without performing the calculation (e.g., the 

facility is located in a wetland) that these 

areas would be impacted. 

1.4 A facility owner or operator who must 

perform a planning distance calculation on 

navigable water is only required to do so for 

the type of navigable water conditions (i.e., 

moving water, still water, or tidal- influenced water) applicable to the facility. If a 

facility owner or operator determines that 

more than one type of navigable water condition applies, then the facility owner or operator is required to perform a planning distance calculation for each navigable water 

type to determine the greatest single distance that oil may be transported. As a result, the final planning distance for oil 

transport on water shall be the greatest individual distance rather than a summation of 

each calculated planning distance. 

1.5 The planning distance formula for 

transport on moving waterways contains 

three variables: the velocity of the navigable 

water (v), the response time interval (t), and 

a conversion factor (c). The velocity, v, is determined by using the Chezy-Manning equation, which, in this case, models the flood 

flow rate of water in open channels. The 

Chezy-Manning equation contains three variables which must be determined by facility 

owners or operators. Manning’s Roughness 

Coefficient (for flood flow rates), n, can be 

determined from Table 1 of this attachment. 

The hydraulic radius, r, can be estimated 

using the average mid-channel depth from 

charts provided by the sources listed in 

Table 2 of this attachment. The average 

slope of the river, s, can be determined using 

topographic maps that can be ordered from 

the U.S. Geological Survey, as listed in 

Table 2 of this attachment. 

1.6 Table 3 of this attachment contains 

specified time intervals for estimating the 

arrival of response resources at the scene of 

a discharge. Assuming no prior planning, response resources should be able to arrive at 

the discharge site within 12 hours of the discovery of any oil discharge in Higher Volume 

Port Areas and within 24 hours in Great 

Lakes and all other river, canal, inland, and 

nearshore areas. The specified time intervals 

in Table 3 of appendix C are to be used only 

to aid in the identification of whether a facility could cause substantial harm to the 

environment. Once it is determined that a 

plan must be developed for the facility, the 

owner or operator shall reference appendix E 

to this part to determine appropriate resource levels and response times. The specified time intervals of this appendix include a 

3-hour time period for deployment of boom 

and other response equipment. The Regional 

Administrator may identify additional areas 

as appropriate. 

2.0 Oil Transport on Moving Navigable Waters 

2.1 The facility owner or operator must 

use the following formula or a comparable 

formula as described in §112.20(a)(3) to calculate the planning distance for oil transport 

on moving navigable water: 

d=v×t×c; where 

d: the distance downstream from a facility 

within which fish and wildlife and sensitive environments could be injured or a 

public drinking water intake would be 

shut down in the event of an oil discharge (in miles); 

v: the velocity of the river/navigable water of 

concern (in ft/sec) as determined by 

Chezy-Manning’s equation (see below and 

Tables 1 and 2 of this attachment); 

t: the time interval specified in Table 3 based 

upon the type of water body and location 

(in hours); and 

c: constant conversion factor 0.68 secw mile/ 

hrw ft (3600 sec/hr ÷ 5280 ft/mile). 

2.2 Chezy-Manning’s equation is used to determine velocity: 

v=1.5/n×r2⁄3×s1⁄2; where 

v=the velocity of the river of concern (in ft/ 

sec); 

n=Manning’s Roughness Coefficient from 

Table 1 of this attachment; 

r=the hydraulic radius; the hydraulic radius 

can be approximated for parabolic channels by multiplying the average midVerDate Sep<11>2014 10:27 Sep 02, 2015 Jkt 235172 PO 00000 Frm 00074 Fmt 8010 Sfmt 8002 Y:\SGML\235172.XXX 235172

Lhorne on DSK5TPTVN1PROD with CFR
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Environmental Protection Agency Pt. 112, App. C 

channel depth of the river (in feet) by 

0.667 (sources for obtaining the mid-channel depth are listed in Table 2 of this attachment); and 

s=the average slope of the river (unitless) obtained from U.S. Geological Survey topographic maps at the address listed in 

Table 2 of this attachment. 

TABLE 1—MANNING’S ROUGHNESS COEFFICIENT

FOR NATURAL STREAMS

[NOTE: Coefficients are presented for high flow rates at or 

near flood stage.] 

Stream description 

Roughness coefficient 

(n) 

Minor Streams (Top Width <100 ft.) 

Clean: 

Straight ............................................................. 0.03 

Winding ............................................................. 0.04 

Sluggish (Weedy, deep pools): 

No trees or brush ............................................. 0.06 

Trees and/or brush ........................................... 0.10 

Major Streams (Top Width >100 ft.) 

Regular section: 

(No boulders/brush) .......................................... 0.035 

Irregular section: 

(Brush) .............................................................. 0.05 

TABLE 2—SOURCES OF R AND S FOR THE CHEZYMANNING EQUATION

All of the charts and related publications for 

navigational waters may be ordered from: 

Distribution Branch 

(N/CG33) 

National Ocean Service 

Riverdale, Maryland 20737–1199 

Phone: (301) 436–6990 

There will be a charge for materials ordered 

and a VISA or Mastercard will be accepted. 

The mid-channel depth to be used in the calculation of the hydraulic radius (r) can be 

obtained directly from the following sources: 

Charts of Canadian Coastal and Great Lakes 

Waters: 

Canadian Hydrographic Service 

Department of Fisheries and Oceans Institute 

P.O. Box 8080 

1675 Russell Road 

Ottawa, Ontario KIG 3H6 

Canada 

Phone: (613) 998–4931 

Charts and Maps of Lower Mississippi River 

(Gulf of Mexico to Ohio River and St. 

Francis, White, Big Sunflower, 

Atchafalaya, and other rivers): 

U.S. Army Corps of Engineers 

Vicksburg District 

P.O. Box 60 

Vicksburg, Mississippi 39180 

Phone: (601) 634–5000 

Charts of Upper Mississippi River and Illinois Waterway to Lake Michigan: 

U.S. Army Corps of Engineers 

Rock Island District 

P.O. Box 2004 

Rock Island, Illinois 61204 

Phone: (309) 794–5552 

Charts of Missouri River: 

U.S. Army Corps of Engineers 

Omaha District 

6014 U.S. Post Office and Courthouse 

Omaha, Nebraska 68102 

Phone: (402) 221–3900 

Charts of Ohio River: 

U.S. Army Corps of Engineers 

Ohio River Division 

P.O. Box 1159 

Cincinnati, Ohio 45201 

Phone: (513) 684–3002 

Charts of Tennessee Valley Authority Reservoirs, Tennessee River and Tributaries: 

Tennessee Valley Authority 

Maps and Engineering Section 

416 Union Avenue 

Knoxville, Tennessee 37902 

Phone: (615) 632–2921 

Charts of Black Warrior River, Alabama 

River, Tombigbee River, Apalachicola 

River and Pearl River: 

U.S. Army Corps of Engineers 

Mobile District 

P.O. Box 2288 

Mobile, Alabama 36628–0001 

Phone: (205) 690–2511 

The average slope of the river (s) may be obtained from topographic maps: 

U.S. Geological Survey 

Map Distribution 

Federal Center 

Bldg. 41 

Box 25286 

Denver, Colorado 80225 

Additional information can be obtained from 

the following sources: 

1. The State’s Department of Natural Resources (DNR) or the State’s Aids to Navigation office; 

2. A knowledgeable local marina operator; or 

3. A knowledgeable local water authority 

(e.g., State water commission) 

2.3 The average slope of the river (s) can 

be determined from the topographic maps 

using the following steps: 

(1) Locate the facility on the map. 

(2) Find the Normal Pool Elevation at the 

point of discharge from the facility into the 

water (A). 

(3) Find the Normal Pool Elevation of the 

public drinking water intake or fish and 

wildlife and sensitive environment located 

downstream (B) (Note: The owner or operator should use a minimum of 20 miles downstream as a cutoff to obtain the average 

slope if the location of a specific public 

drinking water intake or fish and wildlife 

and sensitive environment is unknown). 

(4) If the Normal Pool Elevation is not 

available, the elevation contours can be used 

to find the slope. Determine elevation of the 

water at the point of discharge from the facility (A). Determine the elevation of the 


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Pt. 112, App. C 40 CFR Ch. I (7–1–15 Edition) 

water at the appropriate distance downstream (B). The formula presented below can 

be used to calculate the slope. 

(5) Determine the distance (in miles) between the facility and the public drinking 

water intake or fish and wildlife and sensitive environments (C). 

(6) Use the following formula to find the 

slope, which will be a unitless value: Average 

Slope=[(A¥B) (ft)/C (miles)] × [1 mile/5280 

feet] 

2.4 If it is not feasible to determine the 

slope and mid-channel depth by the ChezyManning equation, then the river velocity 

can be approximated on- site. A specific 

length, such as 100 feet, can be marked off 

along the shoreline. A float can be dropped 

into the stream above the mark, and the 

time required for the float to travel the distance can be used to determine the velocity 

in feet per second. However, this method will 

not yield an average velocity for the length 

of the stream, but a velocity only for the 

specific location of measurement. In addition, the flow rate will vary depending on 

weather conditions such as wind and rainfall. 

It is recommended that facility owners or 

operators repeat the measurement under a 

variety of conditions to obtain the most accurate estimate of the surface water velocity 

under adverse weather conditions. 

2.5 The planning distance calculations for 

moving and still navigable waters are based 

on worst case discharges of persistent oils. 

Persistent oils are of concern because they 

can remain in the water for significant periods of time and can potentially exist in large 

quantities downstream. Owners or operators 

of facilities that store persistent as well as 

non-persistent oils may use a comparable 

formula. The volume of oil discharged is not 

included as part of the planning distance calculation for moving navigable waters. Facilities that will meet this substantial harm criterion are those with facility capacities 

greater than or equal to 1 million gallons. It 

is assumed that these facilities are capable 

of having an oil discharge of sufficient quantity to cause injury to fish and wildlife and 

sensitive environments or shut down a public 

drinking water intake. While owners or operators of transfer facilities that store greater 

than or equal to 42,000 gallons are not required to use a planning distance formula for 

purposes of the substantial harm criteria, 

they should use a planning distance calculation in the development of facility-specific 

response plans. 

TABLE 3—SPECIFIED TIME INTERVALS

Operating 

areas Substantial harm planning time (hrs) 

Higher volume 

port area.

12 hour arrival+3 hour deployment=15 

hours. 

Great Lakes ... 24 hour arrival+3 hour deployment=27 

hours. 

TABLE 3—SPECIFIED TIME INTERVALS— 

Continued 

Operating 

areas Substantial harm planning time (hrs) 

All other rivers 

and canals, 

inland, and 

nearshore 

areas.

24 hour arrival+3 hour deployment=27 

hours. 

2.6 Example of the Planning Distance Calculation for Oil Transport on Moving Navigable 

Waters. The following example provides a 

sample calculation using the planning distance formula for a facility discharging oil 

into the Monongahela River: 

(1) Solve for v by evaluating n, r, and s for 

the Chezy-Manning equation: 

Find the roughness coefficient, n, on Table 

1 of this attachment for a regular section of 

a major stream with a top width greater 

than 100 feet. The top width of the river can 

be found from the topographic map. 

n = 0.035. 

Find slope, s, where A = 727 feet, B = 710 feet, 

and C = 25 miles. 

Solving: 

s = [(727 ft ¥ 1710 ft) / 25 miles] × [1 mile/5280 

feet] = 1.3 × 10¥4

The average mid-channel depth is found by 

averaging the mid-channel depth for each 

mile along the length of the river between 

the facility and the public drinking water intake or the fish or wildlife or sensitive environment (or 20 miles downstream if applicable). This value is multiplied by 0.667 to obtain the hydraulic radius. The mid-channel 

depth is found by obtaining values for r and 

s from the sources shown in Table 2 for the 

Monongahela River. 

Solving: 

r = 0.667 × 20 feet = 13.33 feet 

Solve for v using: 

v = 1.5/n × r2⁄3 × s1⁄2: 

v = [1.5/0.035] × (13.33)2⁄3 × (1.3 × 10¥4)1⁄2

v = 2.73 feet/second 

(2) Find t from Table 3 of this attachment. 

The Monongahela River’s resource response 

time is 27 hours. 

(3) Solve for planning distance, d: 

d = v × t × c 

d = (2.73 ft/sec) × (27 hours) × (0.68 secw mile/ 

hrw ft) 

d = 50 miles 

Therefore, 50 miles downstream is the appropriate planning distance for this facility. 

3.0 Oil Transport on Still Water 

3.1 For bodies of water including lakes or 

ponds that do not have a measurable velocity, the spreading of the oil over the surface 

must be considered. Owners or operators of 

facilities located next to still water bodies 

may use a comparable means of calculating 


Lhorne on DSK5TPTVN1PROD with CFR
67 

Environmental Protection Agency Pt. 112, App. C 

2 Huang, J.C. and Monastero, F.C., 1982. Review of the State-of-the-Art of Oil Pollution 

Models. Final report submitted to the American Petroleum Institute by Raytheon Ocean 

Systems, Co., East Providence, Rhode Island. 3 Oil Spill Prevention & Control. National 

Spill Control School, Corpus Christi State 

University, Thirteenth Edition, May 1990. 

the planning distance. If a comparable formula is used, documentation of the reliability and analytical soundness of the comparable calculation must be attached to the 

response plan cover sheet. 

3.2 Example of the Planning Distance Calculation for Oil Transport on Still Water. To assist those facilities which could potentially 

discharge into a still body of water, the following analysis was performed to provide an 

example of the type of formula that may be 

used to calculate the planning distance. For 

this example, a worst case discharge of 

2,000,000 gallons is used. 

(1) The surface area in square feet covered 

by an oil discharge on still water, A1, can be 

determined by the following formula, 2 where 

V is the volume of the discharge in gallons 

and C is a constant conversion factor: 

A1 = 105×V3⁄4×C 

C=0.1643 

A1 = 105×(2,000,000 gallons)3⁄4×(0.1643) 

A1 = 8.74×108 ft2

(2) The spreading formula is based on the 

theoretical condition that the oil will spread 

uniformly in all directions forming a circle. 

In reality, the outfall of the discharge will 

direct the oil to the surface of the water 

where it intersects the shoreline. Although 

the oil will not spread uniformly in all directions, it is assumed that the discharge will 

spread from the shoreline into a semi-circle 

(this assumption does not account for winds 

or wave action). 

(3) The area of a circle=† r2

(4) To account for the assumption that oil 

will spread in a semi-circular shape, the area 

of a circle is divided by 2 and is designated as 

A2. 

A2 = († r2)/2 

Solving for the radius, r, using the relationship A1 = A2: 8.74×108 ft2 = (†2)/2 

Therefore, r=23,586 ft 

r=23,586 ft÷5,280 ft/mile=4.5 miles 

Assuming a 20 knot wind under storm conditions: 

1 knot=1.15 miles/hour 

20 knots×1.15 miles/hour/knot=23 miles/hr 

Assuming that the oil slick moves at 3 percent of the wind’s speed: 3

23 miles/hour×0.03=0.69 miles/hour 

(5) To estimate the distance that the oil 

will travel, use the times required for response resources to arrive at different geographic locations as shown in Table 3 of this 

attachment. 

For example: 

For Higher Volume Port Areas: 15 hrs×0.69 

miles/hr=10.4 miles 

For Great Lakes and all other areas: 27 

hrs×0.69 miles/hr=18.6 miles 

(6) The total distance that the oil will 

travel from the point of discharge, including 

the distance due to spreading, is calculated 

as follows: 

Higher Volume Port Areas: d=10.4+4.5 miles 

or approximately 15 miles 

Great Lakes and all other areas: d=18.6+4.5 

miles or approximately 23 miles 

4.0 Oil Transport on Tidal-Influence Areas 

4.1 The planning distance method for 

tidal influence navigable water is based on 

worst case discharges of persistent and nonpersistent oils. Persistent oils are of primary 

concern because they can potentially cause 

harm over a greater distance. For persistent 

oils discharged into tidal waters, the planning distance is 15 miles from the facility 

down current during ebb tide and to the 

point of maximum tidal influence or 15 

miles, whichever is less, during flood tide. 

4.2 For non-persistent oils discharged into 

tidal waters, the planning distance is 5 miles 

from the facility down current during ebb 

tide and to the point of maximum tidal influence or 5 miles, whichever is less, during 

flood tide. 

4.3 Example of Determining the Planning 

Distance for Two Types of Navigable Water 

Conditions. Below is an example of how to determine the proper planning distance when a 

facility could impact two types of navigable 

water conditions: moving water and tidal 

water. 

(1) Facility X stores persistent oil and is 

located downstream from locks along a slow 

moving river which is affected by tides. The 

river velocity, v, is determined to be 0.5 feet/ 

second from the Chezy-Manning equation 

used to calculate oil transport on moving 

navigable waters. The specified time interval, t, obtained from Table 3 of this attachment for river areas is 27 hours. Therefore, 

solving for the planning distance, d: 

d=v×t×c 

d=(0.5 ft/sec)×(27 hours)×(0.68 secmile/hrft) 

d=9.18 miles. 

(2) However, the planning distance for 

maximum tidal influence down current during ebb tide is 15 miles, which is greater than 

the calculated 9.18 miles. Therefore, 15 miles 

downstream is the appropriate planning distance for this facility. 

5.0 Oil Transport Over Land 

5.1 Facility owners or operators must 

evaluate the potential for oil to be transported over land to navigable waters of the 

United States. The owner or operator must 

evaluate the likelihood that portions of a 

worst case discharge would reach navigable 


Lhorne on DSK5TPTVN1PROD with CFR
68 

Pt. 112, App. C 40 CFR Ch. I (7–1–15 Edition) 

4The design velocities were obtained from 

Howard County, Maryland Department of 

Public Works’ Storm Drainage Design Manual. 

waters via open channel flow or from sheet 

flow across the land, or be prevented from 

reaching navigable waters when trapped in 

natural or man-made depressions excluding 

secondary containment structures. 

5.2 As discharged oil travels over land, it 

may enter a storm drain or open concrete 

channel intended for drainage. It is assumed 

that once oil reaches such an inlet, it will 

flow into the receiving navigable water. During a storm event, it is highly probable that 

the oil will either flow into the drainage 

structures or follow the natural contours of 

the land and flow into the navigable water. 

Expected minimum and maximum velocities 

are provided as examples of open concrete 

channel and pipe flow. The ranges listed 

below reflect minimum and maximum velocities used as design criteria. 4 The calculation below demonstrates that the time required for oil to travel through a storm drain 

or open concrete channel to navigable water 

is negligible and can be considered instantaneous. The velocities are: 

For open concrete channels: 

maximum velocity=25 feet per second 

minimum velocity=3 feet per second 

For storm drains: 

maximum velocity=25 feet per second 

minimum velocity=2 feet per second 

5.3 Assuming a length of 0.5 mile from the 

point of discharge through an open concrete 

channel or concrete storm drain to a navigable water, the travel times (distance/velocity) are: 

1.8 minutes at a velocity of 25 feet per second 

14.7 minutes at a velocity of 3 feet per second 

22.0 minutes for at a velocity of 2 feet per 

second 

5.4 The distances that shall be considered 

to determine the planning distance are illustrated in Figure C-I of this attachment. The 

relevant distances can be described as follows: 

D1=Distance from the nearest opportunity 

for discharge, X1, to a storm drain or an 

open concrete channel leading to navigable water. 

D2=Distance through the storm drain or 

open concrete channel to navigable 

water. 

D3=Distance downstream from the outfall 

within which fish and wildlife and sensitive environments could be injured or a 

public drinking water intake would be 

shut down as determined by the planning 

distance formula. 

D4=Distance from the nearest opportunity 

for discharge, X2, to fish and wildlife and 

sensitive environments not bordering 

navigable water. 

5.5 A facility owner or operator whose 

nearest opportunity for discharge is located 

within 0.5 mile of a navigable water must 

complete the planning distance calculation 

(D3) for the type of navigable water near the 

facility or use a comparable formula. 

5.6 A facility that is located at a distance 

greater than 0.5 mile from a navigable water 

must also calculate a planning distance (D3) 

if it is in close proximity (i.e., D1 is less than 

0.5 mile and other factors are conducive to 

oil travel over land) to storm drains that 

flow to navigable waters. Factors to be considered in assessing oil transport over land 

to storm drains shall include the topography 

of the surrounding area, drainage patterns, 

man-made barriers (excluding secondary 

containment structures), and soil distribution and porosity. Storm drains or concrete 

drainage channels that are located in close 

proximity to the facility can provide a direct 

pathway to navigable waters, regardless of 

the length of the drainage pipe. If D1 is less 

than or equal to 0.5 mile, a discharge from 

the facility could pose substantial harm because the time to travel the distance from 

the storm drain to the navigable water (D2) 

is virtually instantaneous. 

5.7 A facility’s proximity to fish and wildlife and sensitive environments not bordering a navigable water, as depicted as D4 

in Figure C–I of this attachment, must also 

be considered, regardless of the distance 

from the facility to navigable waters. Factors to be considered in assessing oil transport over land to fish and wildlife and sensitive environments should include the topography of the surrounding area, drainage 

patterns, man-made barriers (excluding secondary containment structures), and soil distribution and porosity. 

5.8 If a facility is not found to pose substantial harm to fish and wildlife and sensitive environments not bordering navigable 

waters via oil transport on land, then supporting documentation should be maintained 

at the facility. However, such documentation 

should be submitted with the response plan 

if a facility is found to pose substantial 

harm. 


Lhorne on DSK5TPTVN1PROD with CFR
69 

Environmental Protection Agency Pt. 112, App. C 

[59 FR 34102, July 1, 1994, as amended at 65 FR 40798, June 30, 2000; 67 FR 47152, July 17, 2002] 


Lhorne on DSK5TPTVN1PROD with CFREC01MR92.010</GPH>
70 

Pt. 112, App. D 40 CFR Ch. I (7–1–15 Edition) 

1 ‘‘Storage facilities’’ represent all facilities subject to this part, excluding oil production facilities. 

APPENDIX D TO PART 112—DETERMINATION OF A WORST CASE DISCHARGE

PLANNING VOLUME

1.0 Instructions 

1.1 An owner or operator is required to 

complete this worksheet if the facility meets 

the criteria, as presented in appendix C to 

this part, or it is determined by the RA that 

the facility could cause substantial harm to 

the environment. The calculation of a worst 

case discharge planning volume is used for 

emergency planning purposes, and is required in 40 CFR 112.20 for facility owners or 

operators who must prepare a response plan. 

When planning for the amount of resources 

and equipment necessary to respond to the 

worst case discharge planning volume, adverse weather conditions must be taken into 

consideration. An owner or operator is required to determine the facility’s worst case 

discharge planning volume from either part 

A of this appendix for an onshore storage facility, or part B of this appendix for an onshore production facility. The worksheet 

considers the provision of adequate secondary containment at a facility. 

1.2 For onshore storage facilities and production facilities, permanently manifolded 

oil storage tanks are defined as tanks that 

are designed, installed, and/or operated in 

such a manner that the multiple tanks function as one storage unit (i.e., multiple tank 

volumes are equalized). In a worst case discharge scenario, a single failure could cause 

the discharge of the contents of more than 

one tank. The owner or operator must provide evidence in the response plan that tanks 

with common piping or piping systems are 

not operated as one unit. If such evidence is 

provided and is acceptable to the RA, the 

worst case discharge planning volume would 

be based on the capacity of the largest oil 

storage tank within a common secondary 

containment area or the largest oil storage 

tank within a single secondary containment 

area, whichever is greater. For permanently 

manifolded tanks that function as one oil 

storage unit, the worst case discharge planning volume would be based on the combined 

oil storage capacity of all manifolded tanks 

or the capacity of the largest single oil storage tank within a secondary containment 

area, whichever is greater. For purposes of 

this rule, permanently manifolded tanks 

that are separated by internal divisions for 

each tank are considered to be single tanks 

and individual manifolded tank volumes are 

not combined. 

1.3 For production facilities, the presence 

of exploratory wells, production wells, and 

oil storage tanks must be considered in the 

calculation. Part B of this appendix takes 

these additional factors into consideration 

and provides steps for their inclusion in the 

total worst case discharge planning volume. 

Onshore oil production facilities may include 

all wells, flowlines, separation equipment, 

storage facilities, gathering lines, and auxiliary non-transportation-related equipment 

and facilities in a single geographical oil or 

gas field operated by a single operator. Although a potential worst case discharge 

planning volume is calculated within each 

section of the worksheet, the final worst 

case amount depends on the risk parameter 

that results in the greatest volume. 

1.4 Marine transportation-related transfer 

facilities that contain fixed aboveground onshore structures used for bulk oil storage are 

jointly regulated by EPA and the U.S. Coast 

Guard (USCG), and are termed ‘‘complexes.’’ 

Because the USCG also requires response 

plans from transportation-related facilities 

to address a worst case discharge of oil, a 

separate calculation for the worst case discharge planning volume for USCG-related facilities is included in the USCG IFR (see appendix E to this part, section 13, for availability). All complexes that are jointly regulated by EPA and the USCG must compare 

both calculations for worst case discharge 

planning volume derived by using the EPA 

and USCG methodologies and plan for whichever volume is greater. 

PART A: WORST CASE DISCHARGE PLANNING VOLUME CALCULATION FOR ONSHORE STORAGE FACILITIES 1

Part A of this worksheet is to be completed by the owner or operator of an SPCCregulated facility (excluding oil production 

facilities) if the facility meets the criteria as 

presented in appendix C to this part, or if it 

is determined by the RA that the facility 

could cause substantial harm to the environment. If you are the owner or operator of a 

production facility, please proceed to part B 

of this worksheet. 

A.1 SINGLE-TANK FACILITIES 

For facilities containing only one aboveground oil storage tank, the worst case discharge planning volume equals the capacity 

of the oil storage tank. If adequate secondary containment (sufficiently large to 

contain the capacity of the aboveground oil 

storage tank plus sufficient freeboard to 

allow for precipitation) exists for the oil 

storage tank, multiply the capacity of the 

tank by 0.8. 

(1) FINAL WORST CASE VOLUME: 

llll GAL 

(2) Do not proceed further. 


Lhorne on DSK5TPTVN1PROD with CFR
71 

Environmental Protection Agency Pt. 112, App. D 

2 Secondary containment is described in 40 

CFR part 112, subparts A through C. Acceptable methods and structures for containment 

are also given in 40 CFR 112.7(c)(1). 3 All complexes that are jointly regulated 

by EPA and the USCG must also calculate 

the worst case discharge planning volume for 

the transportation-related portions of the facility and plan for whichever volume is 

greater. 

A.2 SECONDARY CONTAINMENT— 

MULTIPLE-TANK FACILITIES 

Are all aboveground oil storage tanks or 

groups of aboveground oil storage tanks at 

the facility without adequate secondary containment? 2

llll (Y/N) 

A.2.1 If the answer is yes, the final worst 

case discharge planning volume equals the 

total aboveground oil storage capacity at the facility. 

(1) FINAL WORST CASE VOLUME: 

llll GAL 

(2) Do not proceed further. 

A.2.2 If the answer is no, calculate the 

total aboveground oil storage capacity of 

tanks without adequate secondary containment. If all aboveground oil storage tanks or 

groups of aboveground oil storage tanks at 

the facility have adequate secondary containment, ENTER ‘‘0’’ (zero). 

llll GAL 

A.2.3 Calculate the capacity of the largest 

single aboveground oil storage tank within 

an adequate secondary containment area or 

the combined capacity of a group of aboveground oil storage tanks permanently 

manifolded together, whichever is greater, 

PLUS THE VOLUME FROM QUESTION 

A.2.2. 

FINAL WORST CASE VOLUME: 3 llll 

GAL 

PART B: WORST CASE DISCHARGE PLANNING VOLUME CALCULATION FOR ONSHORE PRODUCTION FACILITIES 

Part B of this worksheet is to be completed 

by the owner or operator of an SPCC-regulated oil production facility if the facility 

meets the criteria presented in appendix C to 

this part, or if it is determined by the RA 

that the facility could cause substantial 

harm. A production facility consists of all 

wells (producing and exploratory) and related equipment in a single geographical oil 

or gas field operated by a single operator. 

B.1 SINGLE-TANK FACILITIES 

B.1.1 For facilities containing only one 

aboveground oil storage tank, the worst case 

discharge planning volume equals the capacity of the aboveground oil storage tank plus 

the production volume of the well with the 

highest output at the facility. If adequate 

secondary containment (sufficiently large to 

contain the capacity of the aboveground oil 

storage tank plus sufficient freeboard to 

allow for precipitation) exists for the storage 

tank, multiply the capacity of the tank by 

0.8. 

B.1.2 For facilities with production wells 

producing by pumping, if the rate of the well 

with the highest output is known and the 

number of days the facility is unattended 

can be predicted, then the production volume 

is equal to the pumping rate of the well multiplied by the greatest number of days the 

facility is unattended. 

B.1.3 If the pumping rate of the well with 

the highest output is estimated or the maximum number of days the facility is unattended is estimated, then the production volume is determined from the pumping rate of 

the well multiplied by 1.5 times the greatest 

number of days that the facility has been or 

is expected to be unattended. 

B.1.4 Attachment D–1 to this appendix 

provides methods for calculating the production volume for exploratory wells and production wells producing under pressure. 

(1) FINAL WORST CASE VOLUME: 

llll GAL 

(2) Do not proceed further. 

B.2 SECONDARY CONTAINMENT— 

MULTIPLE-TANK FACILITIES 

Are all aboveground oil storage tanks or 

groups of aboveground oil storage tanks at 

the facility without adequate secondary containment? 

lll (Y/N) 

B.2.1 If the answer is yes, the final worst 

case volume equals the total aboveground oil 

storage capacity without adequate secondary 

containment plus the production volume of 

the well with the highest output at the facility. 

(1) For facilities with production wells producing by pumping, if the rate of the well 

with the highest output is known and the 

number of days the facility is unattended 

can be predicted, then the production volume 

is equal to the pumping rate of the well multiplied by the greatest number of days the 

facility is unattended. 

(2) If the pumping rate of the well with the 

highest output is estimated or the maximum 

number of days the facility is unattended is 

estimated, then the production volume is determined from the pumping rate of the well 

multiplied by 1.5 times the greatest number 

of days that the facility has been or is expected to be unattended. 

(3) Attachment D–1 to this appendix provides methods for calculating the production 

volumes for exploratory wells and production wells producing under pressure. 

(A) FINAL WORST CASE VOLUME: 

llll GAL 

(B) Do not proceed further. 


Lhorne on DSK5TPTVN1PROD with CFR
72 

Pt. 112, App. D 40 CFR Ch. I (7–1–15 Edition) 

4 All complexes that are jointly regulated 

by EPA and the USCG must also calculate 

the worst case discharge planning volume for 

the transportation-related portions of the facility and plan for whichever volume is 

greater. 

B.2.2 If the answer is no, calculate the 

total aboveground oil storage capacity of 

tanks without adequate secondary containment. If all aboveground oil storage tanks or 

groups of aboveground oil storage tanks at 

the facility have adequate secondary containment, ENTER ‘‘0’’ (zero). 

llll GAL 

B.2.3 Calculate the capacity of the largest 

single aboveground oil storage tank within 

an adequate secondary containment area or 

the combined capacity of a group of aboveground oil storage tanks permanently 

manifolded together, whichever is greater, 

plus the production volume of the well with 

the highest output, PLUS THE VOLUME 

FROM QUESTION B.2.2. Attachment D–1 

provides methods for calculating the production volumes for exploratory wells and production wells producing under pressure. 

(1) FINAL WORST CASE VOLUME: 4

llll GAL 

(2) Do not proceed further. 

ATTACHMENTS TO APPENDIX D 

ATTACHMENT D–I—METHODS TO CALCULATE

PRODUCTION VOLUMES FOR PRODUCTION FACILITIES WITH EXPLORATORY WELLS OR PRODUCTION WELLS PRODUCING UNDER PRESSURE

1.0 Introduction 

The owner or operator of a production facility with exploratory wells or production 

wells producing under pressure shall compare the well rate of the highest output well 

(rate of well), in barrels per day, to the ability of response equipment and personnel to 

recover the volume of oil that could be discharged (rate of recovery), in barrels per day. 

The result of this comparison will determine 

the method used to calculate the production 

volume for the production facility. This production volume is to be used to calculate the 

worst case discharge planning volume in part 

B of this appendix. 

2.0 Description of Methods 

2.1 Method A 

If the well rate would overwhelm the response efforts (i.e., rate of well/rate of recovery ≥1), then the production volume would be 

the 30-day forecasted well rate for a well 

10,000 feet deep or less, or the 45-day forecasted well rate for a well deeper than 10,000 

feet. 

(1) For wells 10,000 feet deep or less: 

Production volume=30 days × rate of well. 

(2) For wells deeper than 10,000 feet: 

Production volume=45 days × rate of well. 

2.2 Method B 

2.2.1 If the rate of recovery would be 

greater than the well rate (i.e., rate of well/ 

rate of recovery <1), then the production volume would equal the sum of two terms: 

Production volume=discharge volume1 + discharge volume2

2.2.2 The first term represents the volume 

of the oil discharged from the well between 

the time of the blowout and the time the response resources are on scene and recovering 

oil (discharge volume1). 

Discharge volume1 = (days unattended+days 

to respond) × (rate of well) 

2.2.3 The second term represents the volume of oil discharged from the well after the 

response resources begin operating until the 

discharge is stopped, adjusted for the recovery rate of the response resources (discharge 

volume2). 

(1) For wells 10,000 feet deep or less: 

Discharge volume2 = [30 days¥(days unattended + days to respond)] × (rate of well) 

× (rate of well/rate of recovery) 

(2) For wells deeper than 10,000 feet: 

Discharge volume2 = [45 days¥(days unattended + days to respond)] × (rate of well) 

× (rate of well/rate of recovery) 

3.0 Example 

3.1 A facility consists of two production 

wells producing under pressure, which are 

both less than 10,000 feet deep. The well rate 

of well A is 5 barrels per day, and the well 

rate of well B is 10 barrels per day. The facility is unattended for a maximum of 7 days. 

The facility operator estimates that it will 

take 2 days to have response equipment and 

personnel on scene and responding to a blowout, and that the projected rate of recovery 

will be 20 barrels per day. 

(1) First, the facility operator determines 

that the highest output well is well B. The 

facility operator calculates the ratio of the 

rate of well to the rate of recovery: 

10 barrels per day/20 barrels per day=0.5 Because the ratio is less than one, the facility operator will use Method B to calculate the production volume. 

(2) The first term of the equation is: 

Discharge volume1 = (7 days + 2 days) × (10 

barrels per day)=90 barrels 

(3) The second term of the equation is: 

Discharge volume2 = [30 days—(7 days + 2 

days)] × (10 barrels per day) × (0.5)=105 

barrels 

(4) Therefore, the production volume is: 

Production volume=90 barrels + 105 

barrels=195 barrels 


Lhorne on DSK5TPTVN1PROD with CFR
73 

Environmental Protection Agency Pt. 112, App. E 

3.2 If the recovery rate was 5 barrels per 

day, the ratio of rate of well to rate of recovery would be 2, so the facility operator would 

use Method A. The production volume would 

have been: 

30 days × 10 barrels per day=300 barrels 

[59 FR 34110, July 1, 1994; 59 FR 49006, Sept. 

26, 1994, as amended at 65 FR 40800, June 30, 

2000; 67 FR 47152, July 17, 2002] 

APPENDIX E TO PART 112—DETERMINATION AND EVALUATION OF REQUIRED

RESPONSE RESOURCES FOR FACILITY

RESPONSE PLANS

1.0 Purpose and Definitions 

1.1 The purpose of this appendix is to describe the procedures to identify response resources to meet the requirements of §112.20. 

To identify response resources to meet the 

facility response plan requirements of 40 

CFR 112.20(h), owners or operators shall follow this appendix or, where not appropriate, 

shall clearly demonstrate in the response 

plan why use of this appendix is not appropriate at the facility and make comparable 

arrangements for response resources. 

1.2 Definitions. 

1.2.1 Animal fat means a non-petroleum 

oil, fat, or grease of animal, fish, or marine 

mammal origin. Animal fats are further 

classified based on specific gravity as follows: 

(1) Group A—specific gravity less than 0.8. 

(2) Group B—specific gravity equal to or 

greater than 0.8 and less than 1.0. 

(3) Group C—specific gravity equal to or 

greater than 1.0. 

1.2.2 Nearshore is an operating area defined as extending seaward 12 miles from the 

boundary lines defined in 46 CFR part 7, except in the Gulf of Mexico. In the Gulf of 

Mexico, it means the area extending 12 miles 

from the line of demarcation (COLREG lines) 

defined in 49 CFR 80.740 and 80.850. 

1.2.3 Non-persistent oils or Group 1 oils include: 

(1) A petroleum-based oil that, at the time 

of shipment, consists of hydrocarbon fractions: 

(A) At least 50 percent of which by volume, 

distill at a temperature of 340 degrees C (645 

degrees F); and 

(B) At least 95 percent of which by volume, 

distill at a temperature of 370 degrees C (700 

degrees F); and 

(2) A non-petroleum oil, other than an animal fat or vegetable oil, with a specific gravity less than 0.8. 

1.2.4 Non-petroleum oil means oil of any 

kind that is not petroleum-based, including 

but not limited to: fats, oils, and greases of 

animal, fish, or marine mammal origin; and 

vegetable oils, including oils from seeds, 

nuts, fruits, and kernels. 

1.2.5 Ocean means the nearshore area. 

1.2.6 Operating area means Rivers and Canals, Inland, Nearshore, and Great Lakes geographic location(s) in which a facility is 

handling, storing, or transporting oil. 

1.2.7 Operating environment means Rivers 

and Canals, Inland, Great Lakes, or Ocean. 

These terms are used to define the conditions in which response equipment is designed to function. 

1.2.8 Persistent oils include: 

(1) A petroleum-based oil that does not 

meet the distillation criteria for a non-persistent oil. Persistent oils are further classified based on specific gravity as follows: 

(A) Group 2—specific gravity less than 0.85; 

(B) Group 3—specific gravity equal to or 

greater than 0.85 and less than 0.95; 

(C) Group 4—specific gravity equal to or 

greater than 0.95 and less than 1.0; or 

(D) Group 5—specific gravity equal to or 

greater than 1.0. 

(2) A non-petroleum oil, other than an animal fat or vegetable oil, with a specific gravity of 0.8 or greater. These oils are further 

classified based on specific gravity as follows: 

(A) Group 2—specific gravity equal to or 

greater than 0.8 and less than 0.85; 

(B) Group 3—specific gravity equal to or 

greater than 0.85 and less than 0.95; 

(C) Group 4—specific gravity equal to or 

greater than 0.95 and less than 1.0; or 

(D) Group 5—specific gravity equal to or 

greater than 1.0. 

1.2.9 Vegetable oil means a non-petroleum 

oil or fat of vegetable origin, including but 

not limited to oils and fats derived from 

plant seeds, nuts, fruits, and kernels. Vegetable oils are further classified based on specific gravity as follows: 

(1) Group A—specific gravity less than 0.8. 

(2) Group B—specific gravity equal to or 

greater than 0.8 and less than 1.0. 

(3) Group C—specific gravity equal to or 

greater than 1.0. 

1.2.10 Other definitions are included in 

§112.2, section 1.1 of appendix C, and section 

3.0 of appendix F. 

2.0 Equipment Operability and Readiness 

2.1 All equipment identified in a response 

plan must be designed to operate in the conditions expected in the facility’s geographic 

area (i.e., operating environment). These 

conditions vary widely based on location and 

season. Therefore, it is difficult to identify a 

single stockpile of response equipment that 

will function effectively in each geographic 

location (i.e., operating area). 

2.2 Facilities handling, storing, or transporting oil in more than one operating environment as indicated in Table 1 of this appendix must identify equipment capable of 

successfully functioning in each operating 

environment. 


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2.3 When identifying equipment for the 

response plan (based on the use of this appendix), a facility owner or operator must 

consider the inherent limitations of the 

operability of equipment components and response systems. The criteria in Table 1 of 

this appendix shall be used to evaluate the 

operability in a given environment. These 

criteria reflect the general conditions in certain operating environments. 

2.3.1 The Regional Administrator may require documentation that the boom identified in a facility response plan meets the criteria in Table 1 of this appendix. Absent acceptable documentation, the Regional Administrator may require that the boom be 

tested to demonstrate that it meets the criteria in Table 1 of this appendix. Testing 

must be in accordance with ASTM F 715, 

ASTM F 989, or other tests approved by EPA 

as deemed appropriate (see appendix E to 

this part, section 13, for general availability 

of documents). 

2.4 Table 1 of this appendix lists criteria 

for oil recovery devices and boom. All other 

equipment necessary to sustain or support 

response operations in an operating environment must be designed to function in the 

same conditions. For example, boats that deploy or support skimmers or boom must be 

capable of being safely operated in the significant wave heights listed for the applicable operating environment. 

2.5 A facility owner or operator shall refer 

to the applicable Area Contingency Plan 

(ACP), where available, to determine if ice, 

debris, and weather-related visibility are significant factors to evaluate the operability 

of equipment. The ACP may also identify the 

average temperature ranges expected in the 

facility’s operating area. All equipment identified in a response plan must be designed to 

operate within those conditions or ranges. 

2.6 This appendix provides information on 

response resource mobilization and response 

times. The distance of the facility from the 

storage location of the response resources 

must be used to determine whether the resources can arrive on-scene within the stated 

time. A facility owner or operator shall include the time for notification, mobilization, 

and travel of resources identified to meet the 

medium and Tier 1 worst case discharge requirements identified in sections 4.3 and 9.3 

of this appendix (for medium discharges) and 

section 5.3 of this appendix (for worst case 

discharges). The facility owner or operator 

must plan for notification and mobilization 

of Tier 2 and 3 response resources as necessary to meet the requirements for arrival 

on-scene in accordance with section 5.3 of 

this appendix. An on-water speed of 5 knots 

and a land speed of 35 miles per hour is assumed, unless the facility owner or operator 

can demonstrate otherwise. 

2.7 In identifying equipment, the facility 

owner or operator shall list the storage location, quantity, and manufacturer’s make and 

model. For oil recovery devices, the effective 

daily recovery capacity, as determined using 

section 6 of this appendix, must be included. 

For boom, the overall boom height (draft and 

freeboard) shall be included. A facility owner 

or operator is responsible for ensuring that 

the identified boom has compatible connectors. 

3.0 Determining Response Resources Required 

for Small Discharges—Petroleum Oils and 

Non-Petroleum Oils Other Than Animal Fats 

and Vegetable Oils 

3.1 A facility owner or operator shall 

identify sufficient response resources available, by contract or other approved means as 

described in §112.2, to respond to a small discharge. A small discharge is defined as any 

discharge volume less than or equal to 2,100 

gallons, but not to exceed the calculated 

worst case discharge. The equipment must be 

designed to function in the operating environment at the point of expected use. 

3.2 Complexes that are regulated by EPA 

and the United States Coast Guard (USCG) 

must also consider planning quantities for 

the transportation-related transfer portion 

of the facility. 

3.2.1 Petroleum oils. The USCG planning 

level that corresponds to EPA’s ‘‘small discharge’’ is termed ‘‘the average most probable discharge.’’ A USCG rule found at 33 

CFR 154.1020 defines ‘‘the average most probable discharge’’ as the lesser of 50 barrels 

(2,100 gallons) or 1 percent of the volume of 

the worst case discharge. Owners or operators of complexes that handle, store, or 

transport petroleum oils must compare oil 

discharge volumes for a small discharge and 

an average most probable discharge, and 

plan for whichever quantity is greater. 

3.2.2 Non-petroleum oils other than animal 

fats and vegetable oils. Owners or operators of 

complexes that handle, store, or transport 

non-petroleum oils other than animal fats 

and vegetable oils must plan for oil discharge volumes for a small discharge. There 

is no USCG planning level that directly corresponds to EPA’s ‘‘small discharge.’’ However, the USCG (at 33 CFR 154.545) has requirements to identify equipment to contain 

oil resulting from an operational discharge. 

3.3 The response resources shall, as appropriate, include: 

3.3.1 One thousand feet of containment 

boom (or, for complexes with marine transfer 

components, 1,000 feet of containment boom 

or two times the length of the largest vessel 

that regularly conducts oil transfers to or 

from the facility, whichever is greater), and 

a means of deploying it within 1 hour of the 

discovery of a discharge; 

3.3.2 Oil recovery devices with an effective daily recovery capacity equal to the 

amount of oil discharged in a small discharge or greater which is available at the 


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facility within 2 hours of the detection of an 

oil discharge; and 

3.3.3 Oil storage capacity for recovered 

oily material indicated in section 12.2 of this 

appendix. 

4.0 Determining Response Resources Required 

for Medium Discharges—Petroleum Oils and 

Non-Petroleum Oils Other Than Animal Fats 

and Vegetable Oils 

4.1 A facility owner or operator shall 

identify sufficient response resources available, by contract or other approved means as 

described in §112.2, to respond to a medium 

discharge of oil for that facility. This will require response resources capable of containing and collecting up to 36,000 gallons of 

oil or 10 percent of the worst case discharge, 

whichever is less. All equipment identified 

must be designed to operate in the applicable 

operating environment specified in Table 1 of 

this appendix. 

4.2 Complexes that are regulated by EPA 

and the USCG must also consider planning 

quantities for the transportation-related 

transfer portion of the facility. 

4.2.1 Petroleum oils. The USCG planning 

level that corresponds to EPA’s ‘‘medium 

discharge’’ is termed ‘‘the maximum most 

probable discharge.’’ The USCG rule found at 

33 CFR part 154 defines ‘‘the maximum most 

probable discharge’’ as a discharge of 1,200 

barrels (50,400 gallons) or 10 percent of the 

worst case discharge, whichever is less. Owners or operators of complexes that handle, 

store, or transport petroleum oils must compare calculated discharge volumes for a medium discharge and a maximum most probable discharge, and plan for whichever quantity is greater. 

4.2.2 Non-petroleum oils other than animal 

fats and vegetable oils. Owners or operators of 

complexes that handle, store, or transport 

non-petroleum oils other than animal fats 

and vegetable oils must plan for oil discharge volumes for a medium discharge. For 

non-petroleum oils, there is no USCG planning level that directly corresponds to EPA’s 

‘‘medium discharge.’’ 

4.3 Oil recovery devices identified to meet 

the applicable medium discharge volume 

planning criteria must be located such that 

they are capable of arriving on-scene within 

6 hours in higher volume port areas and the 

Great Lakes and within 12 hours in all other 

areas. Higher volume port areas and Great 

Lakes areas are defined in section 1.1 of appendix C to this part. 

4.4 Because rapid control, containment, 

and removal of oil are critical to reduce discharge impact, the owner or operator must 

determine response resources using an effective daily recovery capacity for oil recovery 

devices equal to 50 percent of the planning 

volume applicable for the facility as determined in section 4.1 of this appendix. The effective daily recovery capacity for oil recovery devices identified in the plan must be determined using the criteria in section 6 of 

this appendix. 

4.5 In addition to oil recovery capacity, 

the plan shall, as appropriate, identify sufficient quantity of containment boom available, by contract or other approved means as 

described in §112.2, to arrive within the required response times for oil collection and 

containment and for protection of 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: Fish and Wildlife 

and Sensitive Environments’’ (see appendix 

E to this part, section 13, for availability) 

and the applicable ACP. Although 40 CFR 

part 112 does not set required quantities of 

boom for oil collection and containment, the 

response plan shall identify and ensure, by 

contract or other approved means as described in §112.2, the availability of the 

quantity of boom identified in the plan for 

this purpose. 

4.6 The plan must indicate the availability of temporary storage capacity to 

meet section 12.2 of this appendix. If available storage capacity is insufficient to meet 

this level, then the effective daily recovery 

capacity must be derated (downgraded) to 

the limits of the available storage capacity. 

4.7 The following is an example of a medium discharge volume planning calculation 

for equipment identification in a higher volume port area: The facility’s largest aboveground storage tank volume is 840,000 gallons. Ten percent of this capacity is 84,000 

gallons. Because 10 percent of the facility’s 

largest tank, or 84,000 gallons, is greater 

than 36,000 gallons, 36,000 gallons is used as 

the planning volume. The effective daily recovery capacity is 50 percent of the planning 

volume, or 18,000 gallons per day. The ability 

of oil recovery devices to meet this capacity 

must be calculated using the procedures in 

section 6 of this appendix. Temporary storage capacity available on-scene must equal 

twice the daily recovery capacity as indicated in section 12.2 of this appendix, or 

36,000 gallons per day. This is the information the facility owner or operator must use 

to identify and ensure the availability of the 

required response resources, by contract or 

other approved means as described in §112.2. 

The facility owner shall also identify how 

much boom is available for use. 

5.0 Determining Response Resources Required 

for the Worst Case Discharge to the Maximum 

Extent Practicable 

5.1 A facility owner or operator shall 

identify and ensure the availability of, by 


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contract or other approved means as described in §112.2, sufficient response resources to respond to the worst case discharge of oil to the maximum extent practicable. Sections 7 and 10 of this appendix describe the method to determine the necessary response resources. Worksheets are 

provided as Attachments E–1 and E–2 at the 

end of this appendix to simplify the procedures involved in calculating the planning 

volume for response resources for the worst 

case discharge. 

5.2 Complexes that are regulated by EPA 

and the USCG must also consider planning 

for the worst case discharge at the transportation-related portion of the facility. The 

USCG requires that transportation-related 

facility owners or operators use a different 

calculation for the worst case discharge in 

the revisions to 33 CFR part 154. Owners or 

operators of complex facilities that are regulated by EPA and the USCG must compare 

both calculations of worst case discharge derived by EPA and the USCG and plan for 

whichever volume is greater. 

5.3 Oil discharge response resources identified in the response plan and available, by 

contract or other approved means as described in §112.2, to meet the applicable 

worst case discharge planning volume must 

be located such that they are capable of arriving at the scene of a discharge within the 

times specified for the applicable response 

tier listed as follows 

Tier 1 

(in hours) 

Tier 2 

(in hours) 

Tier 3 

(in hours) 

Higher volume port areas .............................................................................................. 6 30 54 

Great Lakes ................................................................................................................... 12 36 60 

All other river and canal, inland, and nearshore areas ................................................ 12 36 60 

The three levels of response tiers apply to 

the amount of time in which facility owners 

or operators must plan for response resources to arrive at the scene of a discharge 

to respond to the worst case discharge planning volume. For example, at a worst case 

discharge in an inland area, the first tier of 

response resources (i.e., that amount of onwater and shoreline cleanup capacity necessary to respond to the fraction of the worst 

case discharge as indicated through the series of steps described in sections 7.2 and 7.3 

or sections 10.2 and 10.3 of this appendix) 

would arrive at the scene of the discharge 

within 12 hours; the second tier of response 

resources would arrive within 36 hours; and 

the third tier of response resources would arrive within 60 hours. 

5.4 The effective daily recovery capacity 

for oil recovery devices identified in the response plan must be determined using the 

criteria in section 6 of this appendix. A facility owner or operator shall identify the storage locations of all response resources used 

for each tier. The owner or operator of a facility whose required daily recovery capacity 

exceeds the applicable contracting caps in 

Table 5 of this appendix shall, as appropriate, identify sources of additional equipment, their location, and the arrangements 

made to obtain this equipment during a response. The owner or operator of a facility 

whose calculated planning volume exceeds 

the applicable contracting caps in Table 5 of 

this appendix shall, as appropriate, identify 

sources of additional equipment equal to 

twice the cap listed in Tier 3 or the amount 

necessary to reach the calculated planning 

volume, whichever is lower. The resources 

identified above the cap shall be capable of 

arriving on-scene not later than the Tier 3 

response times in section 5.3 of this appendix. No contract is required. While general 

listings of available response equipment may 

be used to identify additional sources (i.e., 

‘‘public’’ resources vs. ‘‘private’’ resources), 

the response plan shall identify the specific 

sources, locations, and quantities of equipment that a facility owner or operator has 

considered in his or her planning. When listing USCG-classified oil spill removal organization(s) that have sufficient removal capacity to recover the volume above the response 

capacity cap for the specific facility, as specified in Table 5 of this appendix, it is not 

necessary to list specific quantities of equipment. 

5.5 A facility owner or operator shall 

identify the availability of temporary storage capacity to meet section 12.2 of this appendix. If available storage capacity is insufficient, then the effective daily recovery capacity must be derated (downgraded) to the 

limits of the available storage capacity. 

5.6 When selecting response resources necessary to meet the response plan requirements, the facility owner or operator shall, 

as appropriate, ensure that a portion of 

those resources is capable of being used in 

close-to-shore response activities in shallow 

water. For any EPA-regulated facility that 

is required to plan for response in shallow 

water, at least 20 percent of the on-water response equipment identified for the applicable operating area shall, as appropriate, be 

capable of operating in water of 6 feet or less 

depth. 

5.7 In addition to oil spill recovery devices, a facility owner or operator shall identify sufficient quantities of boom that are 

available, by contract or other approved 

means as described in §112.2, to arrive onVerDate Sep<11>2014 10:27 Sep 02, 2015 Jkt 235172 PO 00000 Frm 00086 Fmt 8010 Sfmt 8002 Y:\SGML\235172.XXX 235172

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scene within the specified response times for 

oil containment and collection. The specific 

quantity of boom required for collection and 

containment will depend on the facility-specific information and response strategies employed. A facility owner or operator shall, as 

appropriate, also identify sufficient quantities of oil containment boom to protect 

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: Fish and 

Wildlife and Sensitive Environments’’ (see 

appendix E to this part, section 13, for availability), and the applicable ACP. Refer to 

this guidance document for the number of 

days and geographic areas (i.e., operating environments) specified in Table 2 and Table 6 

of this appendix. 

5.8 A facility owner or operator shall also 

identify, by contract or other approved 

means as described in §112.2, the availability 

of an oil spill removal organization(s) (as described in §112.2) capable of responding to a 

shoreline cleanup operation involving the 

calculated volume of oil and emulsified oil 

that might impact the affected shoreline. 

The volume of oil that shall, as appropriate, 

be planned for is calculated through the application of factors contained in Tables 2, 3, 

6, and 7 of this appendix. The volume calculated from these tables is intended to assist the facility owner or operator to identify 

an oil spill removal organization with sufficient resources and expertise. 

6.0 Determining Effective Daily Recovery 

Capacity for Oil Recovery Devices 

6.1 Oil recovery devices identified by a facility owner or operator must be identified 

by the manufacturer, model, and effective 

daily recovery capacity. These capacities 

must be used to determine whether there is 

sufficient capacity to meet the applicable 

planning criteria for a small discharge, a medium discharge, and a worst case discharge 

to the maximum extent practicable. 

6.2 To determine the effective daily recovery capacity of oil recovery devices, the formula listed in section 6.2.1 of this appendix 

shall be used. This formula considers potential limitations due to available daylight, 

weather, sea state, and percentage of 

emulsified oil in the recovered material. The 

RA may assign a lower efficiency factor to 

equipment listed in a response plan if it is 

determined that such a reduction is warranted. 

6.2.1 The following formula shall be used 

to calculate the effective daily recovery capacity: 

R = T × 24 hours × E 

where: 

R—Effective daily recovery capacity; 

T—Throughput rate in barrels per hour 

(nameplate capacity); and 

E—20 percent efficiency factor (or lower factor as determined by the Regional Administrator). 

6.2.2 For those devices in which the pump 

limits the throughput of liquid, throughput 

rate shall be calculated using the pump capacity. 

6.2.3 For belt or moptype devices, the 

throughput rate shall be calculated using the 

speed of the belt or mop through the device, 

assumed thickness of oil adhering to or collected by the device, and surface area of the 

belt or mop. For purposes of this calculation, 

the assumed thickness of oil will be 1⁄4 inch. 

6.2.4 Facility owners or operators that include oil recovery devices whose throughput 

is not measurable using a pump capacity or 

belt/mop speed may provide information to 

support an alternative method of calculation. This information must be submitted 

following the procedures in section 6.3.2 of 

this appendix. 

6.3 As an alternative to section 6.2 of this 

appendix, a facility owner or operator may 

submit adequate evidence that a different effective daily recovery capacity should be applied for a specific oil recovery device. Adequate evidence is actual verified performance data in discharge conditions or tests 

using American Society of Testing and Materials (ASTM) Standard F 631–99, F 808–83 

(1999), or an equivalent test approved by EPA 

as deemed appropriate (see Appendix E to 

this part, section 13, for general availability 

of documents). 

6.3.1 The following formula must be used 

to calculate the effective daily recovery capacity under this alternative: 

R = D × U 

where: 

R—Effective daily recovery capacity; 

D—Average Oil Recovery Rate in barrels per 

hour (Item 26 in F 808–83; Item 13.2.16 in 

F 631–99; or actual performance data); 

and 

U—Hours per day that equipment can operate under discharge conditions. Ten 

hours per day must be used unless a facility owner or operator can demonstrate 

that the recovery operation can be sustained for longer periods. 

6.3.2 A facility owner or operator submitting a response plan shall provide data that 

supports the effective daily recovery capacities for the oil recovery devices listed. The 

following is an example of these calculations: 

(1) A weir skimmer identified in a response 

plan has a manufacturer’s rated throughput 

at the pump of 267 gallons per minute (gpm). 

267 gpm=381 barrels per hour (bph) 

R=381 bph×24 hr/day×0.2=1,829 barrels per day 


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(2) After testing using ASTM procedures, 

the skimmer’s oil recovery rate is determined to be 220 gpm. The facility owner or 

operator identifies sufficient resources available to support operations for 12 hours per 

day. 

220 gpm=314 bph 

R=314 bph×12 hr/day=3,768 barrels per day 

(3) The facility owner or operator will be 

able to use the higher capacity if sufficient 

temporary oil storage capacity is available. 

Determination of alternative efficiency factors under section 6.2 of this appendix or the 

acceptability of an alternative effective 

daily recovery capacity under section 6.3 of 

this appendix will be made by the Regional 

Administrator as deemed appropriate. 

7.0 Calculating Planning Volumes for a Worst 

Case Discharge—Petroleum Oils and Non-Petroleum Oils Other Than Animal Fats and 

Vegetable Oils 

7.1 A facility owner or operator shall plan 

for a response to the facility’s worst case discharge. The planning for on-water oil recovery must take into account a loss of some oil 

to the environment due to evaporative and 

natural dissipation, potential increases in 

volume due to emulsification, and the potential for deposition of oil on the shoreline. 

The procedures for non-petroleum oils other 

than animal fats and vegetable oils are discussed in section 7.7 of this appendix. 

7.2 The following procedures must be used 

by a facility owner or operator in determining the required on-water oil recovery 

capacity: 

7.2.1 The following must be determined: 

the worst case discharge volume of oil in the 

facility; the appropriate group(s) for the 

types of oil handled, stored, or transported 

at the facility [persistent (Groups 2, 3, 4, 5) 

or non-persistent (Group 1)]; and the facility’s specific operating area. See sections 1.2.3 

and 1.2.8 of this appendix for the definitions 

of non-persistent and persistent oils, respectively. Facilities that handle, store, or transport oil from different oil groups must calculate each group separately, unless the oil 

group constitutes 10 percent or less by volume of the facility’s total oil storage capacity. This information is to be used with 

Table 2 of this appendix to determine the 

percentages of the total volume to be used 

for removal capacity planning. Table 2 of 

this appendix divides the volume into three 

categories: oil lost to the environment; oil 

deposited on the shoreline; and oil available 

for on-water recovery. 

7.2.2 The on-water oil recovery volume 

shall, as appropriate, be adjusted using the 

appropriate emulsification factor found in 

Table 3 of this appendix. Facilities that handle, store, or transport oil from different petroleum groups must compare the on-water 

recovery volume for each oil group (unless 

the oil group constitutes 10 percent or less 

by volume of the facility’s total storage capacity) and use the calculation that results 

in the largest on-water oil recovery volume 

to plan for the amount of response resources 

for a worst case discharge. 

7.2.3 The adjusted volume is multiplied by 

the on-water oil recovery resource mobilization factor found in Table 4 of this appendix 

from the appropriate operating area and response tier to determine the total on-water 

oil recovery capacity in barrels per day that 

must be identified or contracted to arrive 

on-scene within the applicable time for each 

response tier. Three tiers are specified. For 

higher volume port areas, the contracted 

tiers of resources must be located such that 

they are capable of arriving on-scene within 

6 hours for Tier 1, 30 hours for Tier 2, and 54 

hours for Tier 3 of the discovery of an oil discharge. For all other rivers and canals, inland, nearshore areas, and the Great Lakes, 

these tiers are 12, 36, and 60 hours. 

7.2.4 The resulting on-water oil recovery 

capacity in barrels per day for each tier is 

used to identify response resources necessary 

to sustain operations in the applicable operating area. The equipment shall be capable 

of sustaining operations for the time period 

specified in Table 2 of this appendix. The facility owner or operator shall identify and 

ensure the availability, by contract or other 

approved means as described in §112.2, of sufficient oil spill recovery devices to provide 

the effective daily oil recovery capacity required. If the required capacity exceeds the 

applicable cap specified in Table 5 of this appendix, then a facility owner or operator 

shall ensure, by contract or other approved 

means as described in §112.2, only for the 

quantity of resources required to meet the 

cap, but shall identify sources of additional 

resources as indicated in section 5.4 of this 

appendix. The owner or operator of a facility 

whose planning volume exceeded the cap in 

1993 must make arrangements to identify 

and ensure the availability, by contract or 

other approved means as described in §112.2, 

for additional capacity to be under contract 

by 1998 or 2003, as appropriate. For a facility 

that handles multiple groups of oil, the required effective daily recovery capacity for 

each oil group is calculated before applying 

the cap. The oil group calculation resulting 

in the largest on-water recovery volume 

must be used to plan for the amount of response resources for a worst case discharge, 

unless the oil group comprises 10 percent or 

less by volume of the facility’s total oil storage capacity. 

7.3 The procedures discussed in sections 

7.3.1–7.3.3 of this appendix must be used to 

calculate the planning volume for identifying shoreline cleanup capacity (for Group 1 

through Group 4 oils). 

7.3.1 The following must be determined: 

the worst case discharge volume of oil for 


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the facility; the appropriate group(s) for the 

types of oil handled, stored, or transported 

at the facility [persistent (Groups 2, 3, or 4) 

or non-persistent (Group 1)]; and the geographic area(s) in which the facility operates 

(i.e., operating areas). For a facility handling, storing, or transporting oil from different groups, each group must be calculated 

separately. Using this information, Table 2 

of this appendix must be used to determine 

the percentages of the total volume to be 

used for shoreline cleanup resource planning. 

7.3.2 The shoreline cleanup planning volume must be adjusted to reflect an emulsification factor using the same procedure as 

described in section 7.2.2 of this appendix. 

7.3.3 The resulting volume shall be used 

to identify an oil spill removal organization 

with the appropriate shoreline cleanup capability. 

7.4 A response plan must identify response resources with fire fighting capability. The owner or operator of a facility 

that handles, stores, or transports Group 1 

through Group 4 oils that does not have adequate fire fighting resources located at the 

facility or that cannot rely on sufficient 

local fire fighting resources must identify 

adequate fire fighting resources. The facility 

owner or operator shall ensure, by contract 

or other approved means as described in 

§112.2, the availability of these resources. 

The response plan must also identify an individual located at the facility to work with 

the fire department for Group 1 through 

Group 4 oil fires. This individual shall also 

verify that sufficient well-trained fire fighting resources are available within a reasonable response time to a worst case scenario. 

The individual may be the qualified individual identified in the response plan or another appropriate individual located at the 

facility. 

7.5 The following is an example of the procedure described above in sections 7.2 and 7.3 

of this appendix: A facility with a 270,000 barrel (11.3 million gallons) capacity for #6 oil 

(specific gravity 0.96) is located in a higher 

volume port area. The facility is on a peninsula and has docks on both the ocean and 

bay sides. The facility has four aboveground 

oil storage tanks with a combined total capacity of 80,000 barrels (3.36 million gallons) 

and no secondary containment. The remaining facility tanks are inside secondary containment structures. The largest aboveground oil storage tank (90,000 barrels or 3.78 

million gallons) has its own secondary containment. Two 50,000 barrel (2.1 million gallon) tanks (that are not connected by a 

manifold) are within a common secondary 

containment tank area, which is capable of 

holding 100,000 barrels (4.2 million gallons) 

plus sufficient freeboard. 

7.5.1 The worst case discharge for the facility is calculated by adding the capacity of 

all aboveground oil storage tanks without 

secondary containment (80,000 barrels) plus 

the capacity of the largest aboveground oil 

storage tank inside secondary containment. 

The resulting worst case discharge volume is 

170,000 barrels or 7.14 million gallons. 

7.5.2 Because the requirements for Tiers 1, 

2, and 3 for inland and nearshore exceed the 

caps identified in Table 5 of this appendix, 

the facility owner will contract for a response to 10,000 barrels per day (bpd) for Tier 

1, 20,000 bpd for Tier 2, and 40,000 bpd for Tier 

3. Resources for the remaining 7,850 bpd for 

Tier 1, 9,750 bpd for Tier 2, and 7,600 bpd for 

Tier 3 shall be identified but need not be contracted for in advance. The facility owner or 

operator shall, as appropriate, also identify 

or contract for quantities of boom identified 

in their response plan for the protection of 

fish and wildlife and sensitive environments 

within the area potentially impacted by a 

worst case discharge from the facility. 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: Fish and 

Wildlife and Sensitive Environments,’’ (see 

appendix E to this part, section 13, for availability) and the applicable ACP. Attachment 

C–III to Appendix C provides a method for 

calculating a planning distance to fish and 

wildlife and sensitive environments and public drinking water intakes that may be impacted in the event of a worst case discharge. 

7.6 The procedures discussed in sections 

7.6.1–7.6.3 of this appendix must be used to 

determine appropriate response resources for 

facilities with Group 5 oils. 

7.6.1 The owner or operator of a facility 

that handles, stores, or transports Group 5 

oils shall, as appropriate, identify the response resources available by contract or 

other approved means, as described in §112.2. 

The equipment identified in a response plan 

shall, as appropriate, include: 

(1) Sonar, sampling equipment, or other 

methods for locating the oil on the bottom 

or suspended in the water column; 

(2) Containment boom, sorbent boom, silt 

curtains, or other methods for containing 

the oil that may remain floating on the surface or to reduce spreading on the bottom; 

(3) Dredges, pumps, or other equipment 

necessary to recover oil from the bottom and 

shoreline; 

(4) Equipment necessary to assess the impact of such discharges; and 

(5) Other appropriate equipment necessary 

to respond to a discharge involving the type 

of oil handled, stored,, or transported. 

7.6.2 Response resources identified in a response plan for a facility that handles, 

stores, or transports Group 5 oils under section 7.6.1 of this appendix shall be capable of 

being deployed (on site) within 24 hours of 

discovery of a discharge to the area where 

the facility is operating. 


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7.6.3 A response plan must identify response resources with fire fighting capability. The owner or operator of a facility 

that handles, stores, or transports Group 5 

oils that does not have adequate fire fighting 

resources located at the facility or that cannot rely on sufficient local fire fighting resources must identify adequate fire fighting 

resources. The facility owner or operator 

shall ensure, by contract or other approved 

means as described in §112.2, the availability 

of these resources. The response plan shall 

also identify an individual located at the facility to work with the fire department for 

Group 5 oil fires. This individual shall also 

verify that sufficient well-trained fire fighting resources are available within a reasonable response time to respond to a worst case 

discharge. The individual may be the qualified individual identified in the response 

plan or another appropriate individual located at the facility. 

7.7 Non-petroleum oils other than animal 

fats and vegetable oils. The procedures described in sections 7.7.1 through 7.7.5 of this 

appendix must be used to determine appropriate response plan development and evaluation criteria for facilities that handle, 

store, or transport non-petroleum oils other 

than animal fats and vegetable oils. Refer to 

section 11 of this appendix for information 

on the limitations on the use of chemical 

agents for inland and nearshore areas. 

7.7.1 An owner or operator of a facility 

that handles, stores, or transports non-petroleum oils other than animal fats and vegetable oils must provide information in his or 

her plan that identifies: 

(1) Procedures and strategies for responding to a worst case discharge to the maximum extent practicable; and 

(2) Sources of the equipment and supplies 

necessary to locate, recover, and mitigate 

such a discharge. 

7.7.2 An owner or operator of a facility 

that handles, stores, or transports non-petroleum oils other than animal fats and vegetable oils must ensure that any equipment 

identified in a response plan is capable of operating in the conditions expected in the geographic area(s) (i.e., operating environments) in which the facility operates using 

the criteria in Table 1 of this appendix. When 

evaluating the operability of equipment, the 

facility owner or operator must consider limitations that are identified in the appropriate ACPs, including: 

(1) Ice conditions; 

(2) Debris; 

(3) Temperature ranges; and 

(4) Weather-related visibility. 

7.7.3 The owner or operator of a facility 

that handles, stores, or transports non-petroleum oils other than animal fats and vegetable oils must identify the response resources that are available by contract or 

other approved means, as described in §112.2. 

The equipment described in the response 

plan shall, as appropriate, include: 

(1) Containment boom, sorbent boom, or 

other methods for containing oil floating on 

the surface or to protect shorelines from impact; 

(2) Oil recovery devices appropriate for the 

type of non-petroleum oil carried; and 

(3) Other appropriate equipment necessary 

to respond to a discharge involving the type 

of oil carried. 

7.7.4 Response resources identified in a response plan according to section 7.7.3 of this 

appendix must be capable of commencing an 

effective on-scene response within the applicable tier response times in section 5.3 of 

this appendix. 

7.7.5 A response plan must identify response resources with fire fighting capability. The owner or operator of a facility 

that handles, stores, or transports non-petroleum oils other than animal fats and vegetable oils that does not have adequate fire 

fighting resources located at the facility or 

that cannot rely on sufficient local fire 

fighting resources must identify adequate 

fire fighting resources. The owner or operator shall ensure, by contract or other approved means as described in §112.2, the 

availability of these resources. The response 

plan must also identify an individual located 

at the facility to work with the fire department for fires of these oils. This individual 

shall also verify that sufficient well-trained 

fire fighting resources are available within a 

reasonable response time to a worst case scenario. The individual may be the qualified 

individual identified in the response plan or 

another appropriate individual located at 

the facility. 

8.0 Determining Response Resources Required 

for Small Discharges—Animal Fats and Vegetable Oils 

8.1 A facility owner or operator shall 

identify sufficient response resources available, by contract or other approved means as 

described in §112.2, to respond to a small discharge of animal fats or vegetable oils. A 

small discharge is defined as any discharge 

volume less than or equal to 2,100 gallons, 

but not to exceed the calculated worst case 

discharge. The equipment must be designed 

to function in the operating environment at 

the point of expected use. 

8.2 Complexes that are regulated by EPA 

and the USCG must also consider planning 

quantities for the marine transportation-related portion of the facility. 

8.2.1 The USCG planning level that corresponds to EPA’s ‘‘small discharge’’ is 

termed ‘‘the average most probable discharge.’’ A USCG rule found at 33 CFR 

154.1020 defines ‘‘the average most probable 

discharge’’ as the lesser of 50 barrels (2,100 

gallons) or 1 percent of the volume of the 

worst case discharge. Owners or operators of 


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complexes that handle, store, or transport 

animal fats and vegetable oils must compare 

oil discharge volumes for a small discharge 

and an average most probable discharge, and 

plan for whichever quantity is greater. 

8.3 The response resources shall, as appropriate, include: 

8.3.1 One thousand feet of containment 

boom (or, for complexes with marine transfer 

components, 1,000 feet of containment boom 

or two times the length of the largest vessel 

that regularly conducts oil transfers to or 

from the facility, whichever is greater), and 

a means of deploying it within 1 hour of the 

discovery of a discharge; 

8.3.2 Oil recovery devices with an effective daily recovery capacity equal to the 

amount of oil discharged in a small discharge or greater which is available at the 

facility within 2 hours of the detection of a 

discharge; and 

8.3.3 Oil storage capacity for recovered 

oily material indicated in section 12.2 of this 

appendix. 

9.0 Determining Response Resources Required 

for Medium Discharges—Animal Fats and 

Vegetable Oils 

9.1 A facility owner or operator shall 

identify sufficient response resources available, by contract or other approved means as 

described in §112.2, to respond to a medium 

discharge of animal fats or vegetable oils for 

that facility. This will require response resources capable of containing and collecting 

up to 36,000 gallons of oil or 10 percent of the 

worst case discharge, whichever is less. All 

equipment identified must be designed to operate in the applicable operating environment specified in Table 1 of this appendix. 

9.2 Complexes that are regulated by EPA 

and the USCG must also consider planning 

quantities for the transportation-related 

transfer portion of the facility. Owners or 

operators of complexes that handle, store, or 

transport animal fats or vegetable oils must 

plan for oil discharge volumes for a medium 

discharge. For non-petroleum oils, there is 

no USCG planning level that directly corresponds to EPA’s ‘‘medium discharge.’’ Although the USCG does not have planning requirements for medium discharges, they do 

have requirements (at 33 CFR 154.545) to 

identify equipment to contain oil resulting 

from an operational discharge. 

9.3 Oil recovery devices identified to meet 

the applicable medium discharge volume 

planning criteria must be located such that 

they are capable of arriving on-scene within 

6 hours in higher volume port areas and the 

Great Lakes and within 12 hours in all other 

areas. Higher volume port areas and Great 

Lakes areas are defined in section 1.1 of appendix C to this part. 

9.4 Because rapid control, containment, 

and removal of oil are critical to reduce discharge impact, the owner or operator must 

determine response resources using an effective daily recovery capacity for oil recovery 

devices equal to 50 percent of the planning 

volume applicable for the facility as determined in section 9.1 of this appendix. The effective daily recovery capacity for oil recovery devices identified in the plan must be determined using the criteria in section 6 of 

this appendix. 

9.5 In addition to oil recovery capacity, 

the plan shall, as appropriate, identify sufficient quantity of containment boom available, by contract or other approved means as 

described in §112.2, to arrive within the required response times for oil collection and 

containment and for protection of 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: Fish and Wildlife 

and Sensitive Environments’’ (59 FR 14713–22, 

March 29, 1994) and the applicable ACP. Although 40 CFR part 112 does not set required 

quantities of boom for oil collection and containment, the response plan shall identify 

and ensure, by contract or other approved 

means as described in §112.2, the availability 

of the quantity of boom identified in the 

plan for this purpose. 

9.6 The plan must indicate the availability of temporary storage capacity to 

meet section 12.2 of this appendix. If available storage capacity is insufficient to meet 

this level, then the effective daily recovery 

capacity must be derated (downgraded) to 

the limits of the available storage capacity. 

9.7 The following is an example of a medium discharge volume planning calculation 

for equipment identification in a higher volume port area: 

The facility’s largest aboveground storage 

tank volume is 840,000 gallons. Ten percent 

of this capacity is 84,000 gallons. Because 10 

percent of the facility’s largest tank, or 

84,000 gallons, is greater than 36,000 gallons, 

36,000 gallons is used as the planning volume. 

The effective daily recovery capacity is 50 

percent of the planning volume, or 18,000 gallons per day. The ability of oil recovery devices to meet this capacity must be calculated using the procedures in section 6 of 

this appendix. Temporary storage capacity 

available on-scene must equal twice the 

daily recovery capacity as indicated in section 12.2 of this appendix, or 36,000 gallons 

per day. This is the information the facility 

owner or operator must use to identify and 

ensure the availability of the required response resources, by contract or other approved means as described in §112.2. The facility owner shall also identify how much 

boom is available for use. 


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10.0 Calculating Planning Volumes for a Worst 

Case Discharge—Animal Fats and Vegetable 

Oils. 

10.1 A facility owner or operator shall 

plan for a response to the facility’s worst 

case discharge. The planning for on-water oil 

recovery must take into account a loss of 

some oil to the environment due to physical, 

chemical, and biological processes, potential 

increases in volume due to emulsification, 

and the potential for deposition of oil on the 

shoreline or on sediments. The response 

planning procedures for animal fats and vegetable oils are discussed in section 10.7 of 

this appendix. You may use alternate response planning procedures for animal fats 

and vegetable oils if those procedures result 

in environmental protection equivalent to 

that provided by the procedures in section 

10.7 of this appendix. 

10.2 The following procedures must be 

used by a facility owner or operator in determining the required on-water oil recovery 

capacity: 

10.2.1 The following must be determined: 

the worst case discharge volume of oil in the 

facility; the appropriate group(s) for the 

types of oil handled, stored, or transported 

at the facility (Groups A, B, C); and the facility’s specific operating area. See sections 

1.2.1 and 1.2.9 of this appendix for the definitions of animal fats and vegetable oils and 

groups thereof. Facilities that handle, store, 

or transport oil from different oil groups 

must calculate each group separately, unless 

the oil group constitutes 10 percent or less 

by volume of the facility’s total oil storage 

capacity. This information is to be used with 

Table 6 of this appendix to determine the 

percentages of the total volume to be used 

for removal capacity planning. Table 6 of 

this appendix divides the volume into three 

categories: oil lost to the environment; oil 

deposited on the shoreline; and oil available 

for on-water recovery. 

10.2.2 The on-water oil recovery volume 

shall, as appropriate, be adjusted using the 

appropriate emulsification factor found in 

Table 7 of this appendix. Facilities that handle, store, or transport oil from different 

groups must compare the on-water recovery 

volume for each oil group (unless the oil 

group constitutes 10 percent or less by volume of the facility’s total storage capacity) 

and use the calculation that results in the 

largest on-water oil recovery volume to plan 

for the amount of response resources for a 

worst case discharge. 

10.2.3 The adjusted volume is multiplied 

by the on-water oil recovery resource mobilization factor found in Table 4 of this appendix from the appropriate operating area and 

response tier to determine the total on-water 

oil recovery capacity in barrels per day that 

must be identified or contracted to arrive 

on-scene within the applicable time for each 

response tier. Three tiers are specified. For 

higher volume port areas, the contracted 

tiers of resources must be located such that 

they are capable of arriving on-scene within 

6 hours for Tier 1, 30 hours for Tier 2, and 54 

hours for Tier 3 of the discovery of a discharge. For all other rivers and canals, inland, nearshore areas, and the Great Lakes, 

these tiers are 12, 36, and 60 hours. 

10.2.4 The resulting on-water oil recovery 

capacity in barrels per day for each tier is 

used to identify response resources necessary 

to sustain operations in the applicable operating area. The equipment shall be capable 

of sustaining operations for the time period 

specified in Table 6 of this appendix. The facility owner or operator shall identify and 

ensure, by contract or other approved means 

as described in §112.2, the availability of sufficient oil spill recovery devices to provide 

the effective daily oil recovery capacity required. If the required capacity exceeds the 

applicable cap specified in Table 5 of this appendix, then a facility owner or operator 

shall ensure, by contract or other approved 

means as described in §112.2, only for the 

quantity of resources required to meet the 

cap, but shall identify sources of additional 

resources as indicated in section 5.4 of this 

appendix. The owner or operator of a facility 

whose planning volume exceeded the cap in 

1998 must make arrangements to identify 

and ensure, by contract or other approved 

means as described in §112.2, the availability 

of additional capacity to be under contract 

by 2003, as appropriate. For a facility that 

handles multiple groups of oil, the required 

effective daily recovery capacity for each oil 

group is calculated before applying the cap. 

The oil group calculation resulting in the 

largest on-water recovery volume must be 

used to plan for the amount of response resources for a worst case discharge, unless the 

oil group comprises 10 percent or less by volume of the facility’s oil storage capacity. 

10.3 The procedures discussed in sections 

10.3.1 through 10.3.3 of this appendix must be 

used to calculate the planning volume for 

identifying shoreline cleanup capacity (for 

Groups A and B oils). 

10.3.1 The following must be determined: 

the worst case discharge volume of oil for 

the facility; the appropriate group(s) for the 

types of oil handled, stored, or transported 

at the facility (Groups A or B); and the geographic area(s) in which the facility operates 

(i.e., operating areas). For a facility handling, storing, or transporting oil from different groups, each group must be calculated 

separately. Using this information, Table 6 

of this appendix must be used to determine 

the percentages of the total volume to be 

used for shoreline cleanup resource planning. 

10.3.2 The shoreline cleanup planning volume must be adjusted to reflect an emulsification factor using the same procedure as 

described in section 10.2.2 of this appendix. 


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Environmental Protection Agency Pt. 112, App. E 

10.3.3 The resulting volume shall be used 

to identify an oil spill removal organization 

with the appropriate shoreline cleanup capability. 

10.4 A response plan must identify response resources with fire fighting capability 

appropriate for the risk of fire and explosion 

at the facility from the discharge or threat 

of discharge of oil. The owner or operator of 

a facility that handles, stores, or transports 

Group A or B oils that does not have adequate fire fighting resources located at the 

facility or that cannot rely on sufficient 

local fire fighting resources must identify 

adequate fire fighting resources. The facility 

owner or operator shall ensure, by contract 

or other approved means as described in 

§112.2, the availability of these resources. 

The response plan must also identify an individual to work with the fire department for 

Group A or B oil fires. This individual shall 

also verify that sufficient well-trained fire 

fighting resources are available within a reasonable response time to a worst case scenario. The individual may be the qualified 

individual identified in the response plan or 

another appropriate individual located at 

the facility. 

10.5 The following is an example of the 

procedure described in sections 10.2 and 10.3 

of this appendix. A facility with a 37.04 million gallon (881,904 barrel) capacity of several 

types of vegetable oils is located in the Inland Operating Area. The vegetable oil with 

the highest specific gravity stored at the facility is soybean oil (specific gravity 0.922, 

Group B vegetable oil). The facility has ten 

aboveground oil storage tanks with a combined total capacity of 18 million gallons 

(428,571 barrels) and without secondary containment. The remaining facility tanks are 

inside secondary containment structures. 

The largest aboveground oil storage tank (3 

million gallons or 71,428 barrels) has its own 

secondary containment. Two 2.1 million gallon (50,000 barrel) tanks (that are not connected by a manifold) are within a common 

secondary containment tank area, which is 

capable of holding 4.2 million gallons (100,000 

barrels) plus sufficient freeboard. 

10.5.1 The worst case discharge for the facility is calculated by adding the capacity of 

all aboveground vegetable oil storage tanks 

without secondary containment (18.0 million 

gallons) plus the capacity of the largest 

aboveground storage tank inside secondary 

containment (3.0 million gallons). The resulting worst case discharge is 21 million 

gallons or 500,000 barrels. 

10.5.2 With a specific worst case discharge 

identified, the planning volume for on-water 

recovery can be identified as follows: 

Worst case discharge: 21 million gallons 

(500,000 barrels) of Group B vegetable oil 

Operating Area: Inland 

Planned percent recovered floating vegetable 

oil (from Table 6, column Nearshore/Inland/ 

Great Lakes): Inland, Group B is 20% 

Emulsion factor (from Table 7): 2.0 

Planning volumes for on-water recovery: 

21,000,000 gallons × 0.2 × 2.0 = 8,400,000 gallons or 200,000 barrels. 

Determine required resources for on-water 

recovery for each of the three tiers using 

mobilization factors (from Table 4, column 

Inland/Nearshore/Great Lakes) 

Inland Operating Area Tier 1 Tier 2 Tier 3 

Mobilization factor by which you multiply planning volume ............................................................ .15 .25 .40 

Estimated Daily Recovery Capacity (bbls) ...................................................................................... 30,000 50,000 80,000 

10.5.3 Because the requirements for OnWater Recovery Resources for Tiers 1, 2, and 

3 for Inland Operating Area exceed the caps 

identified in Table 5 of this appendix, the facility owner will contract for a response of 

12,500 barrels per day (bpd) for Tier 1, 25,000 

bpd for Tier 2, and 50,000 bpd for Tier 3. Resources for the remaining 17,500 bpd for Tier 

1, 25,000 bpd for Tier 2, and 30,000 bpd for Tier 

3 shall be identified but need not be contracted for in advance. 

10.5.4 With the specific worst case discharge identified, the planning volume of onshore recovery can be identified as follows: 

Worst case discharge: 21 million gallons 

(500,000 barrels) of Group B vegetable oil 

Operating Area: Inland 

Planned percent recovered floating vegetable 

oil from onshore (from Table 6, column 

Nearshore/Inland/Great Lakes): Inland, 

Group B is 65% 

Emulsion factor (from Table 7): 2.0 

Planning volumes for shoreline recovery: 

21,000,000 gallons × 0.65 × 2.0 = 27,300,000 gallons or 650,000 barrels 

10.5.5 The facility owner or operator shall, 

as appropriate, also identify or contract for 

quantities of boom identified in the response 

plan for the protection of fish and wildlife 

and sensitive environments within the area 

potentially impacted by a worst case discharge from the facility. 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: Fish and Wildlife and 

Sensitive Environments,’’ (see Appendix E to 

this part, section 13, for availability) and the 

applicable ACP. Attachment C–III to Appendix C provides a method for calculating a 

planning distance to fish and wildlife and 

sensitive environments and public drinking 


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Pt. 112, App. E 40 CFR Ch. I (7–1–15 Edition) 

water intakes that may be adversely affected 

in the event of a worst case discharge. 

10.6 The procedures discussed in sections 

10.6.1 through 10.6.3 of this appendix must be 

used to determine appropriate response resources for facilities with Group C oils. 

10.6.1 The owner or operator of a facility 

that handles, stores, or transports Group C 

oils shall, as appropriate, identify the response resources available by contract or 

other approved means, as described in §112.2. 

The equipment identified in a response plan 

shall, as appropriate, include: 

(1) Sonar, sampling equipment, or other 

methods for locating the oil on the bottom 

or suspended in the water column; 

(2) Containment boom, sorbent boom, silt 

curtains, or other methods for containing 

the oil that may remain floating on the surface or to reduce spreading on the bottom; 

(3) Dredges, pumps, or other equipment 

necessary to recover oil from the bottom and 

shoreline; 

(4) Equipment necessary to assess the impact of such discharges; and 

(5) Other appropriate equipment necessary 

to respond to a discharge involving the type 

of oil handled, stored, or transported. 

10.6.2 Response resources identified in a 

response plan for a facility that handles, 

stores, or transports Group C oils under section 10.6.1 of this appendix shall be capable of 

being deployed on scene within 24 hours of 

discovery of a discharge. 

10.6.3 A response plan must identify response resources with fire fighting capability. The owner or operator of a facility 

that handles, stores, or transports Group C 

oils that does not have adequate fire fighting 

resources located at the facility or that cannot rely on sufficient local fire fighting resources must identify adequate fire fighting 

resources. The owner or operator shall ensure, by contract or other approved means as 

described in §112.2, the availability of these 

resources. The response plan shall also identify an individual located at the facility to 

work with the fire department for Group C 

oil fires. This individual shall also verify 

that sufficient well-trained fire fighting resources are available within a reasonable response time to respond to a worst case discharge. The individual may be the qualified 

individual identified in the response plan or 

another appropriate individual located at 

the facility. 

10.7 The procedures described in sections 

10.7.1 through 10.7.5 of this appendix must be 

used to determine appropriate response plan 

development and evaluation criteria for facilities that handle, store, or transport animal fats and vegetable oils. Refer to section 

11 of this appendix for information on the 

limitations on the use of chemical agents for 

inland and nearshore areas. 

10.7.1 An owner or operator of a facility 

that handles, stores, or transports animal 

fats and vegetable oils must provide information in the response plan that identifies: 

(1) Procedures and strategies for responding to a worst case discharge of animal fats 

and vegetable oils to the maximum extent 

practicable; and 

(2) Sources of the equipment and supplies 

necessary to locate, recover, and mitigate 

such a discharge. 

10.7.2 An owner or operator of a facility 

that handles, stores, or transports animal 

fats and vegetable oils must ensure that any 

equipment identified in a response plan is capable of operating in the geographic area(s) 

(i.e., operating environments) in which the 

facility operates using the criteria in Table 1 

of this appendix. When evaluating the operability of equipment, the facility owner or 

operator must consider limitations that are 

identified in the appropriate ACPs, including: 

(1) Ice conditions; 

(2) Debris; 

(3) Temperature ranges; and 

(4) Weather-related visibility. 

10.7.3. The owner or operator of a facility 

that handles, stores, or transports animal 

fats and vegetable oils must identify the response resources that are available by contract or other approved means, as described 

in §112.2. The equipment described in the response plan shall, as appropriate, include: 

(1) Containment boom, sorbent boom, or 

other methods for containing oil floating on 

the surface or to protect shorelines from impact; 

(2) Oil recovery devices appropriate for the 

type of animal fat or vegetable oil carried; 

and 

(3) Other appropriate equipment necessary 

to respond to a discharge involving the type 

of oil carried. 

10.7.4 Response resources identified in a 

response plan according to section 10.7.3 of 

this appendix must be capable of commencing an effective on-scene response within the applicable tier response times in section 5.3 of this appendix. 

10.7.5 A response plan must identify response resources with fire fighting capability. The owner or operator of a facility 

that handles, stores, or transports animal 

fats and vegetable oils that does not have 

adequate fire fighting resources located at 

the facility or that cannot rely on sufficient 

local fire fighting resources must identify 

adequate fire fighting resources. The owner 

or operator shall ensure, by contract or 

other approved means as described in §112.2, 

the availability of these resources. The response plan shall also identify an individual 

located at the facility to work with the fire 

department for animal fat and vegetable oil 

fires. This individual shall also verify that 

sufficient well-trained fire fighting resources 

are available within a reasonable response 

time to respond to a worst case discharge. 


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Environmental Protection Agency Pt. 112, App. E 

The individual may be the qualified individual identified in the response plan or another appropriate individual located at the 

facility. 

11.0 Determining the Availability of 

Alternative Response Methods 

11.1 For chemical agents to be identified 

in a response plan, they must be on the NCP 

Product Schedule that is maintained by 

EPA. (Some States have a list of approved 

dispersants for use within State waters. Not 

all of these State-approved dispersants are 

listed on the NCP Product Schedule.) 

11.2 Identification of chemical agents in 

the plan does not imply that their use will be 

authorized. Actual authorization will be governed by the provisions of the NCP and the 

applicable ACP. 

12.0 Additional Equipment Necessary to 

Sustain Response Operations 

12.1 A facility owner or operator shall 

identify sufficient response resources available, by contract or other approved means as 

described in §112.2, to respond to a medium 

discharge of animal fats or vegetables oils 

for that facility. This will require response 

resources capable of containing and collecting up to 36,000 gallons of oil or 10 percent of the worst case discharge, whichever 

is less. All equipment identified must be designed to operate in the applicable operating 

environment specified in Table 1 of this appendix. 

12.2 A facility owner or operator shall 

evaluate the availability of adequate temporary storage capacity to sustain the effective daily recovery capacities from equipment identified in the plan. Because of the 

inefficiencies of oil spill recovery devices, response plans must identify daily storage capacity equivalent to twice the effective daily 

recovery capacity required on-scene. This 

temporary storage capacity may be reduced 

if a facility owner or operator can demonstrate by waste stream analysis that the 

efficiencies of the oil recovery devices, ability to decant waste, or the availability of alternative temporary storage or disposal locations will reduce the overall volume of oily 

material storage. 

12.3 A facility owner or operator shall ensure that response planning includes the capability to arrange for disposal of recovered 

oil products. Specific disposal procedures 

will be addressed in the applicable ACP. 

13.0 References and Availability 

13.1 All materials listed in this section 

are part of EPA’s rulemaking docket and are 

located in the Superfund Docket, 1235 Jefferson Davis Highway, Crystal Gateway 1, Arlington, Virginia 22202, Suite 105 (Docket 

Numbers SPCC–2P, SPCC–3P, and SPCC–9P). 

The docket is available for inspection between 9 a.m. and 4 p.m., Monday through 

Friday, excluding Federal holidays. 

Appointments to review the docket can be 

made by calling 703–603–9232. Docket hours 

are subject to change. As provided in 40 CFR 

part 2, a reasonable fee may be charged for 

copying services. 

13.2 The docket will mail copies of materials to requestors who are outside the Washington, DC metropolitan area. Materials may 

be available from other sources, as noted in 

this section. As provided in 40 CFR part 2, a 

reasonable fee may be charged for copying 

services. The RCRA/Superfund Hotline at 

800–424–9346 may also provide additional information on where to obtain documents. To 

contact the RCRA/Superfund Hotline in the 

Washington, DC metropolitan area, dial 703– 

412–9810. The Telecommunications Device for 

the Deaf (TDD) Hotline number is 800–553– 

7672, or, in the Washington, DC metropolitan 

area, 703–412–3323. 

13.3 Documents 

(1) National Preparedness for Response Exercise Program (PREP). The PREP draft 

guidelines are available from United States 

Coast Guard Headquarters (G-MEP-4), 2100 

Second Street, SW., Washington, DC 20593. 

(See 58 FR 53990–91, October 19, 1993, Notice 

of Availability of PREP Guidelines). 

(2) ‘‘Guidance for Facility and Vessel Response Plans: Fish and Wildlife and Sensitive 

Environments (published in the FEDERAL

REGISTER by DOC/NOAA at 59 FR 14713–22, 

March 29, 1994.). The guidance is available in 

the Superfund Docket (see sections 13.1 and 

13.2 of this appendix). 

(3) ASTM Standards. ASTM F 715, ASTM F 

989, ASTM F 631–99, ASTM F 808–83 (1999). 

The ASTM standards are available from the 

American Society for Testing and Materials, 

100 Barr Harbor Drive, West Conshohocken, 

PA 19428–2959. 

(4) Response Plans for Marine Transportation-Related Facilities, Interim Final 

Rule. Published by USCG, DOT at 58 FR 7330– 

76, February 5, 1993. 

TABLE 1 TO APPENDIX E—RESPONSE RESOURCE OPERATING CRITERIA

Oil Recovery Devices 

Operating environment Significant wave 

height 1 Sea state 

Rivers and Canals ................................................................................................................. ≤1 foot ....................... 1 

Inland ..................................................................................................................................... ≤3 feet ....................... 2 


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TABLE 1 TO APPENDIX E—RESPONSE RESOURCE OPERATING CRITERIA—Continued 

Oil Recovery Devices 

Operating environment Significant wave 

height 1 Sea state 

Great Lakes ........................................................................................................................... ≤4 feet ....................... 2–3 

Ocean .................................................................................................................................... ≤6 feet ....................... 3–4 

Boom 

Boom property 

Use 

Rivers and 

canals Inland Great Lakes Ocean 

Significant Wave Height 1 ............................................................... ≤1 ................ ≤3 ................ ≤4 ................ ≤6 

Sea State ........................................................................................ 1 .................. 2 .................. 2–3 .............. 3–4 

Boom height—inches (draft plus freeboard) ................................... 6–18 ............ 18–42 .......... 18–42 .......... ≥42 

Reserve Buoyancy to Weight Ratio ................................................ 2:1 ............... 2:1 ............... 2:1 ............... 3:1 to 4:1 

Total Tensile Strength—pounds ..................................................... 4,500 ........... 15,000– 

20,000.

15,000– 

20,000.

≥20,000 

Skirt Fabric Tensile Strength—pounds ........................................... 200 .............. 300 .............. 300 .............. 500 

Skirt Fabric Tear Strength—pounds ............................................... 100 .............. 100 .............. 100 .............. 125 

1Oil recovery devices and boom shall be at least capable of operating in wave heights up to and including the values listed in 

Table 1 for each operating environment. 

TABLE 2 TO APPENDIX E—REMOVAL CAPACITY PLANNING TABLE FOR PETROLEUM OILS

Spill location Rivers and canals Nearshore/Inland/Great Lakes 

Sustainability of on-water oil recovery 3 days 4 days 

Oil group 1

Percent natural dissipa- tion Percent recovered 

floating oil 

Percent oil 

onshore 

Percent natural dissipa- tion Percent recovered 

floating oil 

Percent oil 

onshore 

1—Non-persistent oils ........................... 80 10 10 80 20 10 

2—Light crudes ..................................... 40 15 45 50 50 30 

3—Medium crudes and fuels ................ 20 15 65 30 50 50 

4—Heavy crudes and fuels .................. 5 20 75 10 50 70 

1The response resource considerations for non-petroleum oils other than animal fats and vegetable oils are outlined in section 

7.7 of this appendix. NOTE: Group 5 oils are defined in section 1.2.8 of this appendix; the response resource considerations are outlined in section 

7.6 of this appendix. 

TABLE 3 TO APPENDIX E—EMULSIFICATION FACTORS FOR PETROLEUM OIL GROUPS 1

Non-Persistent Oil: 

Group 1 .......................................................................................................................................................................... 1.0 

Persistent Oil: 

Group 2 .......................................................................................................................................................................... 1.8 

Group 3 .......................................................................................................................................................................... 2.0 

Group 4 .......................................................................................................................................................................... 1.4 

Group 5 oils are defined in section 1.2.7 of this appendix; the response resource considerations are outlined in section 

7.6 of this appendix. 

1See sections 1.2.2 and 1.2.7 of this appendix for group designations for non-persistent and persistent oils, respectively. 

TABLE 4 TO APPENDIX E—ON-WATER OIL RECOVERY RESOURCE MOBILIZATION FACTORS

Operating area Tier 1 Tier 2 Tier 3 

Rivers and Canals ............................................................................................. 0.30 0.40 0.60 

Inland/Nearshore Great Lakes .......................................................................... 0.15 0.25 0.40 

Note: These mobilization factors are for total resources mobilized, not incremental response resources. 

TABLE 5 TO APPENDIX E—RESPONSE CAPABILITY CAPS BY OPERATING AREA

Tier 1 Tier 2 Tier 3 

February 18, 1993: 

All except Rivers & Canals, Great Lakes ........................................... 10K bbls/day 20K bbls/day 40K bbls/day. 

Great Lakes ........................................................................................ 5K bbls/day 10K bbls/day 20K bbls/day. 

Rivers & Canals .................................................................................. 1.5K bbls/day 3.0K bbls/day 6.0K bbls/day. 


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Environmental Protection Agency Pt. 112, App. E 

TABLE 5 TO APPENDIX E—RESPONSE CAPABILITY CAPS BY OPERATING AREA—Continued 

Tier 1 Tier 2 Tier 3 

February 18, 1998: 

All except Rivers & Canals, Great Lakes ........................................... 12.5K bbls/day 25K bbls/day 50K bbls/day. 

Great Lakes ........................................................................................ 6.35K bbls/day 12.3K bbls/day 25K bbls/day. 

Rivers & Canals .................................................................................. 1.875K bbls/ 

day 

3.75K bbls/day 7.5K bbls/day. 

February 18, 2003: 

All except Rivers & Canals, Great Lakes ........................................... TBD TBD TBD. 

Great Lakes ........................................................................................ TBD TBD TBD. 

Rivers & Canals .................................................................................. TBD TBD TBD. 

Note: The caps show cumulative overall effective daily recovery capacity, not incremental increases. 

TBD=To Be Determined. 

TABLE 6 TO APPENDIX E—REMOVAL CAPACITY PLANNING TABLE FOR ANIMAL FATS AND VEGETABLE

OILS

Spill location Rivers and canals Nearshore/Inland/Great Lakes 

Sustainability of on-water oil recovery 3 days 4 days 

Oil group 1 Percent natural loss 

Percent recovered 

floating oil 

Percent recovered oil 

from onshore 

Percent natural loss 

Percent recovered 

floating oil 

Percent recovered oil 

from onshore 

Group A ................................................. 40 15 45 50 20 30 

Group B ................................................. 20 15 65 30 20 50 

1Substances with a specific gravity greater than 1.0 generally sink below the surface of the water. Response resource considerations are outlined in section 10.6 of this appendix. The owner or operator of the facility is responsible for determining appro- priate response resources for Group C oils including locating oil on the bottom or suspended in the water column; containment 

boom or other appropriate methods for containing oil that may remain floating on the surface; and dredges, pumps, or other 

equipment to recover animal fats or vegetable oils from the bottom and shoreline. 

NOTE: Group C oils are defined in sections 1.2.1 and 1.2.9 of this appendix; the response resource procedures are discussed 

in section 10.6 of this appendix. 

TABLE 7 TO APPENDIX E—EMULSIFICATION FACTORS FOR ANIMAL FATS AND VEGETABLE OILS

Oil Group 1: 

Group A .......................................................................................................................................................................... 1.0 

Group B .......................................................................................................................................................................... 2.0 

1Substances with a specific gravity greater than 1.0 generally sink below the surface of the water. Response resource considerations are outlined in section 10.6 of this appendix. The owner or operator of the facility is responsible for determining appropriate response resources for Group C oils including locating oil on the bottom or suspended in the water column; containment 

boom or other appropriate methods for containing oil that may remain floating on the surface; and dredges, pumps, or other 

equipment to recover animal fats or vegetable oils from the bottom and shoreline. 

NOTE: Group C oils are defined in sections 1.2.1 and 1.2.9 of this appendix; the response resource procedures are discussed 

in section 10.6 of this appendix. 


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Pt. 112, App. E 40 CFR Ch. I (7–1–15 Edition) 

ATTACHMENTS TO APPENDIX E 


Lhorne on DSK5TPTVN1PROD with CFRER30JN00.062</GPH>
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Environmental Protection Agency Pt. 112, App. E 


Lhorne on DSK5TPTVN1PROD with CFRER30JN00.063</GPH>
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Pt. 112, App. E 40 CFR Ch. I (7–1–15 Edition) 


Lhorne on DSK5TPTVN1PROD with CFRER30JN00.064</GPH>
91 

Environmental Protection Agency Pt. 112, App. E 


Lhorne on DSK5TPTVN1PROD with CFRER30JN00.065</GPH>
92 

Pt. 112, App. E 40 CFR Ch. I (7–1–15 Edition) 


Lhorne on DSK5TPTVN1PROD with CFRER30JN00.066</GPH>
93 

Environmental Protection Agency Pt. 112, App. E 


Lhorne on DSK5TPTVN1PROD with CFRER30JN00.067</GPH>
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Pt. 112, App. E 40 CFR Ch. I (7–1–15 Edition) 


Lhorne on DSK5TPTVN1PROD with CFRER30JN00.068</GPH> ER30JN00.069</GPH>
95 

Environmental Protection Agency Pt. 112, App. F 

[59 FR 34111, July 1, 1994; 59 FR 49006, Sept. 26, 1994, as amended at 65 FR 40806, 40807, June 

30, 2000; 65 FR 47325, Aug. 2, 2000; 66 FR 34560, June 29, 2001] 

APPENDIX F TO PART 112—FACILITYSPECIFIC RESPONSE PLAN

Table of Contents 

1.0 Model Facility-Specific Response Plan 

1.1 Emergency Response Action Plan 

1.2 Facility Information 

1.3 Emergency Response Information 

1.3.1 Notification 

1.3.2 Response Equipment List 

1.3.3 Response Equipment Testing/Deployment 

1.3.4 Personnel 

1.3.5 Evacuation Plans 

1.3.6 Qualified Individual’s Duties 

1.4 Hazard Evaluation 

1.4.1 Hazard Identification 

1.4.2 Vulnerability Analysis 

1.4.3 Analysis of the Potential for an Oil 

Spill 

1.4.4 Facility Reportable Oil Spill History 

1.5 Discharge Scenarios 

1.5.1 Small and Medium Discharges 

1.5.2 Worst Case Discharge 

1.6 Discharge Detection Systems 

1.6.1 Discharge Detection By Personnel 

1.6.2 Automated Discharge Detection 


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Pt. 112, App. F 40 CFR Ch. I (7–1–15 Edition) 

1.7 Plan Implementation 

1.7.1 Response Resources for Small, Medium, and Worst Case Spills 

1.7.2 Disposal Plans 

1.7.3 Containment and Drainage Planning 

1.8 Self-Inspection, Drills/Exercises, and Response Training 

1.8.1 Facility Self-Inspection 

1.8.1.1 Tank Inspection 

1.8.1.2 Response Equipment Inspection 

1.8.1.3 Secondary Containment Inspection 

1.8.2 Facility Drills/Exercises 

1.8.2.1 Qualified Individual Notification 

Drill Logs 

1.8.2.2 Spill Management Team Tabletop 

Exercise Logs 

1.8.3 Response Training 

1.8.3.1 Personnel Response Training Logs 

1.8.3.2 Discharge Prevention Meeting Logs 

1.9 Diagrams 

1.10 Security 

2.0 Response Plan Cover Sheet 

3.0 Acronyms 

4.0 References 

1.0 Model Facility-Specific Response Plan 

(A) Owners or operators of facilities regulated under this part which pose a threat of 

substantial harm to the environment by discharging oil into or on navigable waters or 

adjoining shorelines are required to prepare 

and submit facility-specific response plans to 

EPA in accordance with the provisions in 

this appendix. This appendix further describes the required elements in §112.20(h). 

(B) Response plans must be sent to the appropriate EPA Regional office. Figure F–1 of 

this Appendix lists each EPA Regional office 

and the address where owners or operators 

must submit their response plans. Those facilities deemed by the Regional Administrator (RA) to pose a threat of significant 

and substantial harm to the environment 

will have their plans reviewed and approved 

by EPA. In certain cases, information required in the model response plan is similar 

to information currently maintained in the 

facility’s Spill Prevention, Control, and 

Countermeasures (SPCC) Plan as required by 

40 CFR 112.3. In these cases, owners or operators may reproduce the information and include a photocopy in the response plan. 

(C) A complex may develop a single response plan with a set of core elements for 

all regulating agencies and separate sections 

for the non-transportation-related and transportation-related components, as described 

in §112.20(h). Owners or operators of large facilities that handle, store, or transport oil at 

more than one geographically distinct location (e.g., oil storage areas at opposite ends 

of a single, continuous parcel of property) 

shall, as appropriate, develop separate sections of the response plan for each storage 

area. 


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Environmental Protection Agency Pt. 112, App. F 

1.1 Emergency Response Action Plan 

Several sections of the response plan shall 

be co-located for easy access by response personnel during an actual emergency or oil discharge. This collection of sections shall be 

called the Emergency Response Action Plan. 

The Agency intends that the Action Plan 

contain only as much information as is necessary to combat the discharge and be arranged so response actions are not delayed. 

The Action Plan may be arranged in a number of ways. For example, the sections of the 

Emergency Response Action Plan may be 

photocopies or condensed versions of the 


Lhorne on DSK5TPTVN1PROD with CFREC01MR92.015</GPH>
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Pt. 112, App. F 40 CFR Ch. I (7–1–15 Edition) 

1 A wellhead protection area is defined as 

the surface and subsurface area surrounding 

a water well or wellfield, supplying a public 

water system, through which contaminants 

are reasonably likely to move toward and 

reach such water well or wellfield. For further information regarding State and territory protection programs, facility owners or 

operators may contact the SDWA Hotline at 

1–800–426–4791. 

forms included in the associated sections of 

the response plan. Each Emergency Response 

Action Plan section may be tabbed for quick 

reference. The Action Plan shall be maintained in the front of the same binder that 

contains the complete response plan or it 

shall be contained in a separate binder. In 

the latter case, both binders shall be kept together so that the entire plan can be 

accessed by the qualified individual and appropriate spill response personnel. The 

Emergency Response Action Plan shall be 

made up of the following sections: 

1. Qualified Individual Information (Section 

1.2) partial 

2. Emergency Notification Phone List (Section 1.3.1) partial 

3. Spill Response Notification Form (Section 

1.3.1) partial 

4. Response Equipment List and Location 

(Section 1.3.2) complete 

5. Response Equipment Testing and Deployment (Section 1.3.3) complete 

6. Facility Response Team (Section 1.3.4) 

partial 

7. Evacuation Plan (Section 1.3.5) condensed 

8. Immediate Actions (Section 1.7.1) complete 

9. Facility Diagram (Section 1.9) complete 

1.2 Facility Information 

The facility information form is designed 

to provide an overview of the site and a description of past activities at the facility. 

Much of the information required by this 

section may be obtained from the facility’s 

existing SPCC Plan. 

1.2.1 Facility name and location: Enter facility name and street address. Enter the address of corporate headquarters only if corporate headquarters are physically located 

at the facility. Include city, county, state, 

zip code, and phone number. 

1.2.2 Latitude and Longitude: Enter the 

latitude and longitude of the facility. Include degrees, minutes, and seconds of the 

main entrance of the facility. 

1.2.3 Wellhead Protection Area: Indicate if 

the facility is located in or drains into a 

wellhead protection area as defined by the 

Safe Drinking Water Act of 1986 (SDWA). 1

The response plan requirements in the Wellhead Protection Program are outlined by the 

State or Territory in which the facility resides. 

1.2.4 Owner/operator: Write the name of 

the company or person operating the facility 

and the name of the person or company that 

owns the facility, if the two are different. 

List the address of the owner, if the two are 

different. 

1.2.5 Qualified Individual: Write the name 

of the qualified individual for the entire facility. If more than one person is listed, each 

individual indicated in this section shall 

have full authority to implement the facility 

response plan. For each individual, list: 

name, position, home and work addresses 

(street addresses, not P.O. boxes), emergency 

phone number, and specific response training 

experience. 

1.2.6 Date of Oil Storage Start-up: Enter the 

year which the present facility first started 

storing oil. 

1.2.7 Current Operation: Briefly describe 

the facility’s operations and include the 

North American Industrial Classification 

System (NAICS) code. 

1.2.8 Dates and Type of Substantial Expansion: Include information on expansions that 

have occurred at the facility. Examples of 

such expansions include, but are not limited 

to: Throughput expansion, addition of a 

product line, change of a product line, and 

installation of additional oil storage capacity. The data provided shall include all facility historical information and detail the expansion of the facility. An example of substantial expansion is any material alteration 

of the facility which causes the owner or operator of the facility to re-evaluate and increase the response equipment necessary to 

adequately respond to a worst case discharge 

from the facility. 

Date of Last Update: lll 

FACILITY INFORMATION FORM

Facility Name: lllllllllllllll

Location (Street Address): llllllll

City: lll State: lll Zip: lll 

County: lll Phone Number: ( ) lll 

Latitude: lll Degrees lll Minutes 

lll Seconds 

Longitude: lll Degrees lll Minutes 

lll Seconds 

Wellhead Protection Area: lllllllll

Owner: lllllllllllllllllll

Owner Location (Street Address): llll

(if different from Facility Address) 

City: lll State:lll Zip: lll 

County: lll Phone Number: ( ) lll 

Operator (if not Owner): llllllllll

Qualified Individual(s): (attach additional 

sheets if more than one) 

Name: lllllllllllllllllll

Position: lllllllllllllllll

Work Address: lllllllllllllll

Home Address: llllllllllllll

Emergency Phone Number: ( ) llll


Lhorne on DSK5TPTVN1PROD with CFR
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Environmental Protection Agency Pt. 112, App. F 

Date of Oil Storage Start-up: llllllll

Current Operations: lllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

Date(s) and Type(s) of Substantial Expansion(s): llllllllllllllllll

llllllllllllllllllllllll

(Attach additional sheets if necessary) 

1.3 Emergency Response Information 

(A) The information provided in this section shall describe what will be needed in an 

actual emergency involving the discharge of 

oil or a combination of hazardous substances 

and oil discharge. The Emergency Response 

Information section of the plan must include 

the following components: 

(1) The information provided in the Emergency Notification Phone List in section 

1.3.1 identifies and prioritizes the names and 

phone numbers of the organizations and personnel that need to be notified immediately 

in the event of an emergency. This section 

shall include all the appropriate phone numbers for the facility. These numbers must be 

verified each time the plan is updated. The 

contact list must be accessible to all facility 

employees to ensure that, in case of a discharge, any employee on site could immediately notify the appropriate parties. 

(2) The Spill Response Notification Form 

in section 1.3.1 creates a checklist of information that shall be provided to the National Response Center (NRC) and other response personnel. All information on this 

checklist must be known at the time of notification, or be in the process of being collected. This notification form is based on a 

similar form used by the NRC. Note: Do not 

delay spill notification to collect the information on the list. 

(3) Section 1.3.2 provides a description of 

the facility’s list of emergency response 

equipment and location of the response 

equipment. When appropriate, the amount of 

oil that emergency response equipment can 

handle and any limitations (e.g., launching 

sites) must be described. 

(4) Section 1.3.3 provides information regarding response equipment tests and deployment drills. Response equipment deployment exercises shall be conducted to ensure 

that response equipment is operational and 

the personnel who would operate the equipment in a spill response are capable of deploying and operating it. Only a representative sample of each type of response equipment needs to be deployed and operated, as 

long as the remainder is properly maintained. If appropriate, testing of response 

equipment may be conducted while it is 

being deployed. Facilities without facilityowned response equipment must ensure that 

the oil spill removal organization that is 

identified in the response plan to provide 

this response equipment certifies that the 

deployment exercises have been met. Refer 

to the National Preparedness for Response 

Exercise Program (PREP) Guidelines (see appendix E to this part, section 13, for availability), which satisfy Oil Pollution Act 

(OPA) response exercise requirements. 

(5) Section 1.3.4 lists the facility response 

personnel, including those employed by the 

facility and those under contract to the facility for response activities, the amount of 

time needed for personnel to respond, their 

responsibility in the case of an emergency, 

and their level of response training. Three 

different forms are included in this section. 

The Emergency Response Personnel List 

shall be composed of all personnel employed 

by the facility whose duties involve responding to emergencies, including oil discharges, 

even when they are not physically present at 

the site. An example of this type of person 

would be the Building Engineer-in-Charge or 

Plant Fire Chief. The second form is a list of 

the Emergency Response Contractors (both 

primary and secondary) retained by the facility. Any changes in contractor status 

must be reflected in updates to the response 

plan. Evidence of contracts with response 

contractors shall be included in this section 

so that the availability of resources can be 

verified. The last form is the Facility Response Team List, which shall be composed 

of both emergency response personnel (referenced by job title/position) and emergency 

response contractors, included in one of the 

two lists described above, that will respond 

immediately upon discovery of an oil discharge or other emergency (i.e., the first 

people to respond). These are to be persons 

normally on the facility premises or primary 

response contractors. Examples of these personnel would be the Facility Hazardous Materials (HAZMAT) Spill Team 1, Facility 

Fire Engine Company 1, Production Supervisor, or Transfer Supervisor. Company personnel must be able to respond immediately 

and adequately if contractor support is not 

available. 

(6) Section 1.3.5 lists factors that must, as 

appropriate, be considered when preparing an 

evacuation plan. 

(7) Section 1.3.6 references the responsibilities of the qualified individual for the facility in the event of an emergency. 

(B) The information provided in the emergency response section will aid in the assessment of the facility’s ability to respond to a 

worst case discharge and will identify additional assistance that may be needed. In addition, the facility owner or operator may 

want to produce a wallet-size card containing a checklist of the immediate response and notification steps to be taken in 

the event of an oil discharge. 

1.3.1 Notification 

Date of Last Update: llllllllllll


Lhorne on DSK5TPTVN1PROD with CFR
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Pt. 112, App. F 40 CFR Ch. I (7–1–15 Edition) 

EMERGENCY NOTIFICATION PHONE LIST WHOM

TO NOTIFY

Reporter’s Name: llllllllllllll

Date: llllllllllllllllllll

Facility Name: lllllllllllllll

Owner Name: llllllllllllllll

Facility Identification Number: llllll

Date and Time of Each NRC Notification: l

Organization Phone No. 

1. National Response Center (NRC): 1–800–424–8802 

2. Qualified Individual: 

Evening Phone: 

3. Company Response Team: 

Evening Phone: 

4. Federal On-Scene Coordinator (OSC) 

and/or Regional Response Center 

(RRC): 

Evening Phone(s): 

Pager Number(s): 

5. Local Response Team (Fire Dept./Cooperatives): 

6. Fire Marshall: 

Evening Phone: 

7. State Emergency Response Commission (SERC): 

Evening Phone: 

8. State Police: 

9. Local Emergency Planning Committee 

(LEPC): 

10. Local Water Supply System: 

Evening Phone: 

11. Weather Report: 

12. Local Television/Radio Station for 

Evacuation Notification: 

13. Hospitals: 

SPILL RESPONSE NOTIFICATION FORM

Reporter’s Last Name: lllllllllll

First: llllllllllllllllllll

M.I.: lllllllllllllllllllll

Position: llllllllllllllllll

Phone Numbers: 

Day ( ) – 

Evening ( ) – 

Company: llllllllllllllllll

Organization Type: lllllllllllll

Address: lllllllllllllllllll

llllllllllllllllllllllll

City: lllllllllllllllllllll

State: llllllllllllllllllll

Zip: lllllllllllllllllllll

Were Materials Discharged? lll (Y/N) Confidential? lll (Y/N) 

Meeting Federal Obligations to Report? 

lll (Y/N) Date Called: lll 

Calling for Responsible Party? lll (Y/N) 

Time Called: lll 

Incident Description 

Source and/or Cause of Incident: llllll

llllllllllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

Date of Incident: llllllllllllll

Time of Incident: lll AM/PM 

Incident Address/Location: lllllllll

llllllllllllllllllllllll

Nearest City:llllllll State: lll 

County: llll Zip: llll 

Distance from City: lll Units of Measure: 

lll Direction from City: lll 

Section: llll Township: llll Range: 

llll Borough: llll 

Container Type: lll Tank Oil Storage Capacity: llll Units of Measure: lll 

Facility Oil Storage Capacity: llll Units 

of Measure: lll 

Facility Latitude: lll Degrees lll Minutes lll Seconds 

Facility Longitude: lll Degrees lll 

Minutes lll Seconds 

Material 

CHRIS Code Discharged quantity Unit of measure Material Discharged in water Quantity Unit of measure 


Lhorne on DSK5TPTVN1PROD with CFR
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Environmental Protection Agency Pt. 112, App. F 

Response Action 

Actions Taken to Correct, Control or Mitigate Incident: 

llllllllllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

Impact 

Number of Injuries: lll Number of Deaths: 

lll 

Were there Evacuations? lll (Y/N) Number Evacuated: lll 

Was there any Damage? lll (Y/N) 

Damage in Dollars (approximate): lllll

Medium Affected: llllllllllllll

Description: lllllllllllllllll

More Information about Medium: lllll

llllllllllllllllllllllll

llllllllllllllllllllllll

Additional Information 

Any information about the incident not recorded elsewhere in the report: 

llllllllllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

Caller Notifications 

EPA? lll (Y/N) USCG? lll (Y/N) State? 

lll (Y/N) 

Other? lll (Y/N) Describe: llllll 

1.3.2 Response Equipment List 

Date of Last Update:lll 

FACILITY RESPONSE EQUIPMENT LIST

1. Skimmers/Pumps—Operational Status: l

Type, Model, and Year: llllllllll

llllllllllllllllllllll

Type Model Year 

Number: llllllllllllllllll

Capacity: llll gal./min. 

Daily Effective Recovery Rate: llllll

Storage Location(s): lllllllllll

Date Fuel Last Changed: lllllllll

2. Boom—Operational Status: llllllll

Type, Model, and Year: llllllllll

Type Model Year 

Number: llllllllllllllllll

Size (length): llll ft. 

Containment Area: llll sq. ft. 

Storage Location: lllllllllllll

3. Chemicals Stored (Dispersants listed on 

EPA’s NCP Product Schedule) 

Type Amount Date purchased 

Treatment 

capacity 

Storage 

location 

Were appropriate procedures used to receive approval for use of dispersants in accordance with the NCP (40 CFR 300.910) and 

the Area Contingency Plan (ACP), where applicable?lll (Y/N). 

Name and State of On-Scene Coordinator 

(OSC) authorizing use: lll . 

Date Authorized: lll . 

4. Dispersant Dispensing Equipment—Operational Status: lll . 

Type and year Capacity Storage 

location 

Response 

time 

(minutes) 

5. Sorbents—Operational Status: llllll

Type and Year Purchased: llllllll

Amount: llllllllllllllllll

Absorption Capacity (gal.): llllllll

Storage Location(s): lllllllllll

6. Hand Tools—Operational Status: lllll

Type and year Quantity Storage 

location 


Lhorne on DSK5TPTVN1PROD with CFR
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Pt. 112, App. F 40 CFR Ch. I (7–1–15 Edition) 

Type and year Quantity Storage 

location 

7. Communication Equipment (include operating frequency and channel and/or cellular phone numbers)—Operational Status: 

lll 

Type and year Quantity Storage location/ 

number 

8. Fire Fighting and Personnel Protective 

Equipment—Operational Status: lll 

Type and year Quantity Storage 

location 

9. Other (e.g., Heavy Equipment, Boats and 

Motors)—Operational Status: lll 

Type and year Quantity Storage 

location 

1.3.3 Response Equipment Testing/Deployment 

Date of Last Update:llll 

Response Equipment Testing and 

Deployment Drill Log 

Last Inspection or Response Equipment Test 

Date: lllllllllllllllllll

Inspection Frequency: lllllllllll

Last Deployment Drill Date: llllllll

Deployment Frequency: llllllllll

Oil Spill Removal Organization Certification 

(if applicable): lllllllllllllll

1.3.4 Personnel 

Date of Last Update:llll 

EMERGENCY RESPONSE PERSONNEL

Company Personnel 

Name Phone 1 Response time Responsibility during response action Response training type/date 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

10. 

11. 

12. 

1Phone number to be used when person is not on-site. 

EMERGENCY RESPONSE CONTRACTORS

Date of Last Update: llll 

Contractor Phone Response time Contract responsibility 1

1. 


Lhorne on DSK5TPTVN1PROD with CFR
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Environmental Protection Agency Pt. 112, App. F 

EMERGENCY RESPONSE CONTRACTORS—Continued 

Date of Last Update: llll 

Contractor Phone Response time Contract responsibility 1

2. 

3. 

4. 

1 Include evidence of contracts/agreements with response contractors to ensure the availability of personnel and response 

equipment. 

FACILITY RESPONSE TEAM

Date of Last Update:llll 

Team member Response time (minutes) Phone or pager number (day/evening) 

Qualified Individual: 

/ 

/ 

/ 

/ 

/ 

/ 

/ 

/ 

/ 

/ 

/ 

/ 

/ 

/ 

/ 

/ 

/ 

/ 

NOTE: If the facility uses contracted help in an emergency response situation, the owner or operator must provide the contractors’ names and review the contractors’ capacities to provide adequate personnel and response equipment. 


Lhorne on DSK5TPTVN1PROD with CFR
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Pt. 112, App. F 40 CFR Ch. I (7–1–15 Edition) 

1.3.5 Evacuation Plans 

1.3.5.1 Based on the analysis of the facility, as discussed elsewhere in the plan, a facility-wide evacuation plan shall be developed. In addition, plans to evacuate parts of 

the facility that are at a high risk of exposure in the event of a discharge or other release must be developed. Evacuation routes 

must be shown on a diagram of the facility 

(see section 1.9 of this appendix). When developing evacuation plans, consideration 

must be given to the following factors, as appropriate: 

(1) Location of stored materials; 

(2) Hazard imposed by discharged material; 

(3) Discharge flow direction; 

(4) Prevailing wind direction and speed; 

(5) Water currents, tides, or wave conditions (if applicable); 

(6) Arrival route of emergency response 

personnel and response equipment; 

(7) Evacuation routes; 

(8) Alternative routes of evacuation; 

(9) Transportation of injured personnel to 

nearest emergency medical facility; 

(10) Location of alarm/notification systems; 

(11) The need for a centralized check-in 

area for evacuation validation (roll call); 

(12) Selection of a mitigation command 

center; and 

(13) Location of shelter at the facility as 

an alternative to evacuation. 

1.3.5.2 One resource that may be helpful 

to owners or operators in preparing this section of the response plan is The Handbook of 

Chemical Hazard Analysis Procedures by the 

Federal Emergency Management Agency 

(FEMA), Department of Transportation 

(DOT), and EPA. The Handbook of Chemical 

Hazard Analysis Procedures is available from: 

FEMA , Publication Office, 500 C. Street, 

S.W., Washington, DC 20472, (202) 646–3484. 

1.3.5.3 As specified in §112.20(h)(1)(vi), the 

facility owner or operator must reference existing community evacuation plans, as appropriate. 

1.3.6 Qualified Individual’s Duties 

The duties of the designated qualified individual are specified in §112.20(h)(3)(ix). The 

qualified individual’s duties must be described and be consistent with the minimum 

requirements in §112.20(h)(3)(ix). In addition, 

the qualified individual must be identified 

with the Facility Information in section 1.2 

of the response plan. 

1.4 Hazard Evaluation 

This section requires the facility owner or 

operator to examine the facility’s operations 

closely and to predict where discharges could 

occur. Hazard evaluation is a widely used industry practice that allows facility owners 

or operators to develop a complete understanding of potential hazards and the response actions necessary to address these 

hazards. The Handbook of Chemical Hazard 

Analysis Procedures, prepared by the EPA, 

DOT, and the FEMA and the Hazardous Materials Emergency Planning Guide (NRT–1), prepared by the National Response Team are 

good references for conducting a hazard analysis. Hazard identification and evaluation 

will assist facility owners or operators in 

planning for potential discharges, thereby 

reducing the severity of discharge impacts 

that may occur in the future. The evaluation 

also may help the operator identify and correct potential sources of discharges. In addition, special hazards to workers and emergency response personnel’s health and safety 

shall be evaluated, as well as the facility’s 

oil spill history. 

1.4.1 Hazard Identification 

The Tank and Surface Impoundment (SI) 

forms, or their equivalent, that are part of 

this section must be completed according to 

the directions below. (‘‘Surface Impoundment’’ means a facility or part of a facility 

which is a natural topographic depression, 

man-made excavation, or diked area formed 

primarily of earthen materials (although it 

may be lined with man-made materials), 

which is designed to hold an accumulation of 

liquid wastes or wastes containing free liquids, and which is not an injection well or a 

seepage facility.) Similar worksheets, or 

their equivalent, must be developed for any 

other type of storage containers. 

(1) List each tank at the facility with a 

separate and distinct identifier. Begin aboveground tank identifiers with an ‘‘A’’ and belowground tank identifiers with a ‘‘B’’, or 

submit multiple sheets with the aboveground 

tanks and belowground tanks on separate 

sheets. 

(2) Use gallons for the maximum capacity 

of a tank; and use square feet for the area. 

(3) Using the appropriate identifiers and 

the following instructions, fill in the appropriate forms: 

(a) Tank or SI number—Using the aforementioned identifiers (A or B) or multiple 

reporting sheets, identify each tank or SI at 

the facility that stores oil or hazardous materials. 

(b) Substance Stored—For each tank or SI 

identified, record the material that is stored 

therein. If the tank or SI is used to store 

more than one material, list all of the stored 

materials. 

(c) Quantity Stored—For each material 

stored in each tank or SI, report the average 

volume of material stored on any given day. 

(d) Tank Type or Surface Area/Year—For 

each tank, report the type of tank (e.g., 

floating top), and the year the tank was 

originally installed. If the tank has been refabricated, the year that the latest refabrication was completed must be recorded in parentheses next to the year installed. For 


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Environmental Protection Agency Pt. 112, App. F 

each SI, record the surface area of the impoundment and the year it went into service. 

(e) Maximum Capacity—Record the operational maximum capacity for each tank and 

SI. If the maximum capacity varies with the 

season, record the upper and lower limits. 

(f) Failure/Cause—Record the cause and 

date of any tank or SI failure which has resulted in a loss of tank or SI contents. 

(4) Using the numbers from the tank and 

SI forms, label a schematic drawing of the 

facility. This drawing shall be identical to 

any schematic drawings included in the 

SPCC Plan. 

(5) Using knowledge of the facility and its 

operations, describe the following in writing: 

(a) The loading and unloading of transportation vehicles that risk the discharge of oil 

or release of hazardous substances during 

transport processes. These operations may 

include loading and unloading of trucks, 

railroad cars, or vessels. Estimate the volume of material involved in transfer operations, if the exact volume cannot be determined. 

(b) Day-to-day operations that may 

present a risk of discharging oil or releasing 

a hazardous substance. These activities include scheduled venting, piping repair or replacement, valve maintenance, transfer of 

tank contents from one tank to another, etc. 

(not including transportation-related activities). Estimate the volume of material involved in these operations, if the exact volume cannot be determined. 

(c) The secondary containment volume associated with each tank and/or transfer point 

at the facility. The numbering scheme developed on the tables, or an equivalent system, 

must be used to identify each containment 

area. Capacities must be listed for each individual unit (tanks, slumps, drainage traps, 

and ponds), as well as the facility total. 

(d) Normal daily throughput for the facility and any effect on potential discharge volumes that a negative or positive change in 

that throughput may cause. 

HAZARD IDENTIFICATION TANKS 1

Date of Last Update: llll 

Tank No. 

Substance Stored 

(Oil and Hazardous 

Substance) 

Quantity Stored 

(gallons) Tank Type/Year Maximum Capacity (gallons) Failure/Cause 

1Tank = any container that stores oil. 

Attach as many sheets as necessary. 

HAZARD IDENTIFICATION SURFACE IMPOUNDMENTS (SIS) 

Date of Last Update: llll 

SI No. Substance Stored Quantity Stored 

(gallons) Surface Area/Year Maximum Capacity (gallons) Failure/Cause 


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Pt. 112, App. F 40 CFR Ch. I (7–1–15 Edition) 

2 Refer to the DOC/NOAA ‘‘Guidance for 

Facility and Vessel Response Plans: Fish and 

Wildlife and Sensitive Environments’’ (See 

appendix E to this part, section 13, for availability). 

3 As described in 40 CFR part 110, reportable oil spills are those that: (a) violate applicable water quality standards, or (b) cause 

a film or sheen upon or discoloration of the 

surface of the water or adjoining shorelines 

or cause a sludge or emulsion to be deposited 

beneath the surface of the water or upon adjoining shorelines. 

HAZARD IDENTIFICATION SURFACE IMPOUNDMENTS (SIS)—Continued 

Date of Last Update: llll 

SI No. Substance Stored Quantity Stored 

(gallons) Surface Area/Year Maximum Capacity (gallons) Failure/Cause 

Attach as many sheets as necessary. 

1.4.2 Vulnerability Analysis 

The vulnerability analysis shall address 

the potential effects (i.e., to human health, 

property, or the environment) of an oil discharge. Attachment C–III to Appendix C to 

this part provides a method that owners or 

operators shall use to determine appropriate 

distances from the facility to fish and wildlife and sensitive environments. Owners or 

operators can use a comparable formula that 

is considered acceptable by the RA. If a comparable formula is used, documentation of 

the reliability and analytical soundness of 

the formula must be attached to the response plan cover sheet. This analysis must 

be prepared for each facility and, as appropriate, must discuss the vulnerability of: 

(1) Water intakes (drinking, cooling, or 

other); 

(2) Schools; 

(3) Medical facilities; 

(4) Residential areas; 

(5) Businesses; 

(6) Wetlands or other sensitive environments; 2

(7) Fish and wildlife; 

(8) Lakes and streams; 

(9) Endangered flora and fauna; 

(10) Recreational areas; 

(11) Transportation routes (air, land, and 

water); 

(12) Utilities; and 

(13) Other areas of economic importance 

(e.g., beaches, marinas) including terrestrially sensitive environments, aquatic environments, and unique habitats. 

1.4.3 Analysis of the Potential for an Oil 

Discharge 

Each owner or operator shall analyze the 

probability of a discharge occurring at the 

facility. This analysis shall incorporate factors such as oil discharge history, horizontal 

range of a potential discharge, and vulnerability to natural disaster, and shall, as appropriate, incorporate other factors such as 

tank age. This analysis will provide information for developing discharge scenarios for a 

worst case discharge and small and medium 

discharges and aid in the development of 

techniques to reduce the size and frequency 

of discharges. The owner or operator may 

need to research the age of the tanks the oil 

discharge history at the facility. 

1.4.4 Facility Reportable Oil Spill History 

Briefly describe the facility’s reportable 

oil spill 3 history for the entire life of the facility to the extent that such information is 

reasonably identifiable, including: 

(1) Date of discharge(s); 

(2) List of discharge causes; 

(3) Material(s) discharged; 

(4) Amount discharged in gallons; 

(5) Amount of discharge that reached navigable waters, if applicable; 

(6) Effectiveness and capacity of secondary 

containment; 

(7) Clean-up actions taken; 

(8) Steps taken to reduce possibility of recurrence; 

(9) Total oil storage capacity of the tank(s) 

or impoundment(s) from which the material 

discharged; 

(10) Enforcement actions; 

(11) Effectiveness of monitoring equipment; and 

(12) Description(s) of how each oil discharge was detected. 


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Environmental Protection Agency Pt. 112, App. F 

The information solicited in this section 

may be similar to requirements in 40 CFR 

112.4(a). Any duplicate information required 

by §112.4(a) may be photocopied and inserted. 

1.5 Discharge Scenarios 

In this section, the owner or operator is required to provide a description of the facility’s worst case discharge, as well as a small 

and medium discharge, as appropriate. A 

multi-level planning approach has been chosen because the response actions to a discharge (i.e., necessary response equipment, 

products, and personnel) are dependent on 

the magnitude of the discharge. Planning for 

lesser discharges is necessary because the 

nature of the response may be qualitatively 

different depending on the quantity of the 

discharge. The facility owner or operator 

shall discuss the potential direction of the 

discharge pathway. 

1.5.1 Small and Medium Discharges 

1.5.1.1 To address multi-level planning requirements, the owner or operator must consider types of facility-specific discharge scenarios that may contribute to a small or medium discharge. The scenarios shall account 

for all the operations that take place at the 

facility, including but not limited to: 

(1) Loading and unloading of surface transportation; 

(2) Facility maintenance; 

(3) Facility piping; 

(4) Pumping stations and sumps; 

(5) Oil storage tanks; 

(6) Vehicle refueling; and 

(7) Age and condition of facility and components. 

1.5.1.2 The scenarios shall also consider 

factors that affect the response efforts required by the facility. These include but are 

not limited to: 

(1) Size of the discharge; 

(2) Proximity to downgradient wells, waterways, and drinking water intakes; 

(3) Proximity to fish and wildlife and sensitive environments; 

(4) Likelihood that the discharge will travel offsite (i.e., topography, drainage); 

(5) Location of the material discharged 

(i.e., on a concrete pad or directly on the 

soil); 

(6) Material discharged; 

(7) Weather or aquatic conditions (i.e., 

river flow); 

(8) Available remediation equipment; 

(9) Probability of a chain reaction of failures; and 

(10) Direction of discharge pathway. 

1.5.2 Worst Case Discharge 

1.5.2.1 In this section, the owner or operator must identify the worst case discharge 

volume at the facility. Worksheets for production and non-production facility owners 

or operators to use when calculating worst 

case discharge are presented in appendix D 

to this part. When planning for the worst 

case discharge response, all of the aforementioned factors listed in the small and medium discharge section of the response plan 

shall be addressed. 

1.5.2.2 For onshore storage facilities and 

production facilities, permanently 

manifolded oil storage tanks are defined as 

tanks that are designed, installed, and/or operated in such a manner that the multiple 

tanks function as one storage unit (i.e., multiple tank volumes are equalized). In this 

section of the response plan, owners or operators must provide evidence that oil storage 

tanks with common piping or piping systems 

are not operated as one unit. If such evidence 

is provided and is acceptable to the RA, the 

worst case discharge volume shall be based 

on the combined oil storage capacity of all 

manifold tanks or the oil storage capacity of 

the largest single oil storage tank within the 

secondary containment area, whichever is 

greater. For permanently manifolded oil 

storage tanks that function as one storage 

unit, the worst case discharge shall be based 

on the combined oil storage capacity of all 

manifolded tanks or the oil storage capacity 

of the largest single tank within a secondary 

containment area, whichever is greater. For 

purposes of the worst case discharge calculation, permanently manifolded oil storage 

tanks that are separated by internal divisions for each tank are considered to be single tanks and individual manifolded tank 

volumes are not combined. 

1.6 Discharge Detection Systems 

In this section, the facility owner or operator shall provide a detailed description of 

the procedures and equipment used to detect 

discharges. A section on discharge detection 

by personnel and a discussion of automated 

discharge detection, if applicable, shall be 

included for both regular operations and 

after hours operations. In addition, the facility owner or operator shall discuss how the 

reliability of any automated system will be 

checked and how frequently the system will 

be inspected. 

1.6.1 Discharge Detection by Personnel 

In this section, facility owners or operators shall describe the procedures and personnel that will detect any discharge of oil 

or release of a hazardous substance. A thorough discussion of facility inspections must 

be included. In addition, a description of initial response actions shall be addressed. This 

section shall reference section 1.3.1 of the response plan for emergency response information. 


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Pt. 112, App. F 40 CFR Ch. I (7–1–15 Edition) 

1.6.2 Automated Discharge Detection 

In this section, facility owners or operators must describe any automated discharge 

detection equipment that the facility has in 

place. This section shall include a discussion 

of overfill alarms, secondary containment 

sensors, etc. A discussion of the plans to 

verify an automated alarm and the actions 

to be taken once verified must also be included. 

1.7 Plan Implementation 

In this section, facility owners or operators must explain in detail how to implement the facility’s emergency response plan 

by describing response actions to be carried 

out under the plan to ensure the safety of 

the facility and to mitigate or prevent discharges described in section 1.5 of the response plan. This section shall include the 

identification of response resources for 

small, medium, and worst case discharges; 

disposal plans; and containment and drainage planning. A list of those personnel who 

would be involved in the cleanup shall be 

identified. Procedures that the facility will 

use, where appropriate or necessary, to update their plan after an oil discharge event 

and the time frame to update the plan must 

be described. 

1.7.1 Response Resources for Small, Medium, 

and Worst Case Discharages 

1.7.1.1 Once the discharge scenarios have 

been identified in section 1.5 of the response 

plan, the facility owner or operator shall 

identify and describe implementation of the 

response actions. The facility owner or operator shall demonstrate accessibility to the 

proper response personnel and equipment to 

effectively respond to all of the identified 

discharge scenarios. The determination and 

demonstration of adequate response capability are presented in appendix E to this 

part. In addition, steps to expedite the cleanup of oil discharges must be discussed. At a 

minimum, the following items must be addressed: 

(1) Emergency plans for spill response; 

(2) Additional response training; 

(3) Additional contracted help; 

(4) Access to additional response equipment/experts; and 

(5) Ability to implement the plan including 

response training and practice drills. 

1.7.1.2A recommended form detailing immediate actions follows. 

OIL SPILL RESPONSE—IMMEDIATE ACTIONS

1. Stop the product flow Act quickly to secure 

pumps, close valves, 

etc. 

OIL SPILL RESPONSE—IMMEDIATE ACTIONS— 

Continued 

2. Warn personnel .......... Enforce safety and security measures. 

3. Shut off ignition 

sources.

Motors, electrical circuits, 

open flames, etc. 

4. Initiate containment .... Around the tank and/or in 

the water with oil 

boom. 

5. Notify NRC ................. 1–800–424–8802 

6. Notify OSC 

7. Notify, as appropriate 

Source: FOSS, Oil Spill Response—Emergency Procedures, Revised December 3, 1992. 

1.7.2 Disposal Plans 

1.7.2.1 Facility owners or operators must 

describe how and where the facility intends 

to recover, reuse, decontaminate, or dispose 

of materials after a discharge has taken 

place. The appropriate permits required to 

transport or dispose of recovered materials 

according to local, State, and Federal requirements must be addressed. Materials 

that must be accounted for in the disposal 

plan, as appropriate, include: 

(1) Recovered product; 

(2) Contaminated soil; 

(3) Contaminated equipment and materials, including drums, tank parts, valves, 

and shovels; 

(4) Personnel protective equipment; 

(5) Decontamination solutions; 

(6) Adsorbents; and 

(7) Spent chemicals. 

1.7.2.2 These plans must be prepared in accordance with Federal (e.g., the Resource 

Conservation and Recovery Act [RCRA]), 

State, and local regulations, where applicable. A copy of the disposal plans from the facility’s SPCC Plan may be inserted with this 

section, including any diagrams in those 

plans. 

Material Disposal facility Location RCRA permit/manifest 

1. 

2. 

3. 

4. 

1.7.3 Containment and Drainage Planning 

A proper plan to contain and control a discharge through drainage may limit the 

threat of harm to human health and the environment. This section shall describe how 

to contain and control a discharge through 

drainage, including: 


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Environmental Protection Agency Pt. 112, App. F 

(1) The available volume of containment 

(use the information presented in section 

1.4.1 of the response plan); 

(2) The route of drainage from oil storage 

and transfer areas; 

(3) The construction materials used in 

drainage troughs; 

(4) The type and number of valves and separators used in the drainage system; 

(5) Sump pump capacities; 

(6) The containment capacity of weirs and 

booms that might be used and their location 

(see section 1.3.2 of this appendix); and 

(7) Other cleanup materials. 

In addition, a facility owner or operator 

must meet the inspection and monitoring requirements for drainage contained in 40 CFR 

part 112, subparts A through C. A copy of the 

containment and drainage plans that are required in 40 CFR part 112, subparts A 

through C may be inserted in this section, 

including any diagrams in those plans. 

NOTE: The general permit for stormwater 

drainage may contain additional requirements. 

1.8 Self-Inspection, Drills/Exercises, and 

Response Training 

The owner or operator must develop programs for facility response training and for 

drills/exercises according to the requirements of 40 CFR 112.21. Logs must be kept for 

facility drills/exercises, personnel response 

training, and spill prevention meetings. 

Much of the recordkeeping information required by this section is also contained in 

the SPCC Plan required by 40 CFR 112.3. 

These logs may be included in the facility response plan or kept as an annex to the facility response plan. 

1.8.1 Facility Self-Inspection 

Under 40 CFR 112.7(e), you must include 

the written procedures and records of inspections for each facility in the SPCC Plan. You 

must include the inspection records for each 

container, secondary containment, and item 

of response equipment at the facility. You 

must cross-reference the records of inspections of each container and secondary containment required by 40 CFR 112.7(e) in the 

facility response plan. The inspection record 

of response equipment is a new requirement 

in this plan. Facility self-inspection requires 

two-steps: (1) a checklist of things to inspect; and (2) a method of recording the actual inspection and its findings. You must 

note the date of each inspection. You must 

keep facility response plan records for five 

years. You must keep SPCC records for three 

years. 

1.8.1.1. Tank Inspection 

The tank inspection checklist presented 

below has been included as guidance during 

inspections and monitoring. Similar requirements exist in 40 CFR part 112, subparts A 

through C. Duplicate information from the 

SPCC Plan may be photocopied and inserted 

in this section. The inspection checklist consists of the following items: 

TANK INSPECTION CHECKLIST

1. Check tanks for leaks, specifically looking 

for: 

A. drip marks; 

B. discoloration of tanks; 

C. puddles containing spilled or leaked material; 

D. corrosion; 

E. cracks; and 

F. localized dead vegetation. 

2. Check foundation for: 

A. cracks; 

B. discoloration; 

C. puddles containing spilled or leaked material; 

D. settling; 

E. gaps between tank and foundation; and 

F. damage caused by vegetation roots. 

3. Check piping for: 

A. droplets of stored material; 

B. discoloration; 

C. corrosion; 

D. bowing of pipe between supports; 

E. evidence of stored material seepage 

from valves or seals; and 

F. localized dead vegetation. 

TANK/SURFACE IMPOUNDMENT INSPECTION LOG

Inspector Tank or SI# Date Comments 


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Pt. 112, App. F 40 CFR Ch. I (7–1–15 Edition) 

TANK/SURFACE IMPOUNDMENT INSPECTION LOG—Continued 

Inspector Tank or SI# Date Comments 

1.8.1.2 Response Equipment Inspection 

Using the Emergency Response Equipment 

List provided in section 1.3.2 of the response 

plan, describe each type of response equipment, checking for the following: 

Response Equipment Checklist 

1. Inventory (item and quantity); 

2. Storage location; 

3. Accessibility (time to access and respond); 

4. Operational status/condition; 

5. Actual use/testing (last test date and frequency of testing); and 

6. Shelf life (present age, expected replacement date). 

Please note any discrepancies between this 

list and the available response equipment. 

RESPONSE EQUIPMENT INSPECTION LOG

[Use section 1.3.2 of the response plan as a checklist] 

Inspector Date Comments 


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Environmental Protection Agency Pt. 112, App. F 

RESPONSE EQUIPMENT INSPECTION LOG—Continued 

[Use section 1.3.2 of the response plan as a checklist] 

Inspector Date Comments 

1.8.1.3 Secondary Containment Inspection 

Inspect the secondary containment (as described in sections 1.4.1 and 1.7.2 of the response plan), checking the following: 

Secondary Containment Checklist 

1. Dike or berm system. 

A. Level of precipitation in dike/available 

capacity; 

B. Operational status of drainage valves; 

C. Dike or berm permeability; 

D. Debris; 

E. Erosion; 

F. Permeability of the earthen floor of 

diked area; and 

G. Location/status of pipes, inlets, drainage beneath tanks, etc. 

2. Secondary containment 

A. Cracks; 

B. Discoloration; 

C. Presence of spilled or leaked material 

(standing liquid); 

D. Corrosion; and 

E. Valve conditions. 

3. Retention and drainage ponds 

A. Erosion; 

B. Available capacity; 

C. Presence of spilled or leaked material; 

D. Debris; and 

E. Stressed vegetation. 

The tank inspection checklist presented 

below has been included as guidance during 

inspections and monitoring. Similar requirements exist in 40 CFR part 112, subparts A 

through C. Similar requirements exist in 40 

CFR 112.7(e). Duplicate information from the 

SPCC Plan may be photocopied and inserted 

in this section. 

1.8.2 Facility Drills/Exercises 

(A) CWA section 311(j)(5), as amended by 

OPA, requires the response plan to contain a 

description of facility drills/exercises. According to 40 CFR 112.21(c), the facility 

owner or operator shall develop a program of 

facility response drills/exercises, including 

evaluation procedures. Following the PREP 

guidelines (see appendix E to this part, section 13, for availability) would satisfy a facility’s requirements for drills/exercises 

under this part. Alternately, under §112.21(c), 

a facility owner or operator may develop a 

program that is not based on the PREP 

guidelines. Such a program is subject to approval by the Regional Administrator based 

on the description of the program provided 

in the response plan. 

(B) The PREP Guidelines specify that the 

facility conduct internal and external drills/ 

exercises. The internal exercises include: 

qualified individual notification drills, spill 

management team tabletop exercises, equipment deployment exercises, and unannounced exercises. External exercises include Area Exercises. Credit for an Area or 

Facility-specific Exercise will be given to 

the facility for an actual response to a discharge in the area if the plan was utilized for 

response to the discharge and the objectives 

of the Exercise were met and were properly 

evaluated, documented, and self-certified. 

(C) Section 112.20(h)(8)(ii) requires the facility owner or operator to provide a description of the drill/exercise program to be carried out under the response plan. Qualified 

Individual Notification Drill and Spill Management Team Tabletop Drill logs shall be 

provided in sections 1.8.2.1 and 1.8.2.2, respectively. These logs may be included in the facility response plan or kept as an annex to 

the facility response plan. See section 1.3.3 of 

this appendix for Equipment Deployment 

Drill Logs. 


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Pt. 112, App. F 40 CFR Ch. I (7–1–15 Edition) 

1.8.2.1 Qualified Individual Notification Drill 

Logs 

Qualified Individual Notification Drill Log 

Date: llllllllllllllllllll

Company: llllllllllllllllll

Qualified Individual(s): lllllllllll

Emergency Scenario: llllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

Evaluation: lllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

Changes to be Implemented: llllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

Time Table for Implementation: llllll

llllllllllllllllllllllll

1.8.2.2 Spill Management Team Tabletop 

Exercise Logs 

Spill Management Team Tabletop Exercise 

Log 

Date: llllllllllllllllllll

Company: llllllllllllllllll

Qualified Individual(s): lllllllllll

Emergency Scenario: llllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

Evaluation: lllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

Changes to be Implemented: llllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

Time Table for Implementation: llllll

1.8.3 Response Training 

Section 112.21(a) requires facility owners or 

operators to develop programs for facility response training. Facility owners or operators 

are required by §112.20(h)(8)(iii) to provide a 

description of the response training program 

to be carried out under the response plan. A 

facility’s training program can be based on 

the USCG’s Training Elements for Oil Spill 

Response, to the extent applicable to facility 

operations, or another response training program acceptable to the RA. The training elements are available from the USCG Office of 

Response (G-MOR) at (202) 267–0518 or fax 

(202) 267–4085. Personnel response training 

logs and discharge prevention meeting logs 

shall be included in sections 1.8.3.1 and 1.8.3.2 

of the response plan respectively. These logs 

may be included in the facility response plan 

or kept as an annex to the facility response 

plan. 

1.8.3.1 Personnel Response Training Logs 

PERSONNEL RESPONSE TRAINING LOG

Name Response training/date and number of hours 

Prevention training/date and number of hours 

1.8.3.2 Discharge Prevention Meetings Logs 

DISCHARGE PREVENTION MEETING LOG

Date: llllllllllllllllllll

Attendees: llllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll

llllllllllllllllllllllll


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Environmental Protection Agency Pt. 112, App. F 

Subject/issue identified Required action Implementation date 

1.9 Diagrams 

The facility-specific response plan shall include the following diagrams. Additional diagrams that would aid in the development of 

response plan sections may also be included. 

(1) The Site Plan Diagram shall, as appropriate, include and identify: 

(A) the entire facility to scale; 

(B) above and below ground bulk oil storage tanks; 

(C) the contents and capacities of bulk oil 

storage tanks; 

(D) the contents and capacity of drum oil 

storage areas; 

(E) the contents and capacities of surface 

impoundments; 

(F) process buildings; 

(G) transfer areas; 

(H) secondary containment systems (location and capacity); 

(I) 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; and 

(L) for complexes only, the interface(s) 

(i.e., valve or component) between the 

portion of the facility regulated by EPA 

and the portion(s) regulated by other 

Agencies. In most cases, this interface is 

defined as the last valve inside secondary 

containment before piping leaves the secondary containment area to connect to 

the transportation-related portion of the 

facility (i.e., the structure used or intended to be used to transfer oil to or 

from a vessel or pipeline). In the absence 

of secondary containment, this interface 

is the valve manifold adjacent to the 

tank nearest the transfer structure as described above. The interface may be defined differently at a specific facility if 

agreed to by the RA and the appropriate 

Federal official. 

(2) The Site Drainage Plan Diagram shall, as 

appropriate, include: 

(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) response equipment transportation 

routes; and 

(H) direction of discharge flow from discharge points. 

(3) The Site Evacuation Plan Diagram shall, 

as appropriate, include: 

(A) site plan diagram with evacuation 

route(s); and 

(B) location of evacuation regrouping 

areas. 

1.10 Security 

According to 40 CFR 112.7(g) facilities are 

required to maintain a certain level of security, as appropriate. In this section, a description of the facility security shall be provided and include, as appropriate: 

(1) emergency cut-off locations (automatic 

or manual valves); 

(2) enclosures (e.g., fencing, etc.); 

(3) guards and their duties, day and night; 

(4) lighting; 

(5) valve and pump locks; and 

(6) pipeline connection caps. 

The SPCC Plan contains similar information. Duplicate information may be 

photocopied and inserted in this section. 

2.0 Response Plan Cover Sheet 

A three-page form has been developed to be 

completed and submitted to the RA by owners or operators who are required to prepare 

and submit a facility-specific response plan. 

The cover sheet (Attachment F–1) must accompany the response plan to provide the 

Agency with basic information concerning 

the facility. This section will describe the 

Response Plan Cover Sheet and provide instructions for its completion. 

2.1 General Information 

Owner/Operator of Facility: Enter the name 

of the owner of the facility (if the owner is 

the operator). Enter the operator of the facility if otherwise. If the owner/operator of 


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the facility is a corporation, enter the name 

of the facility’s principal corporate executive. Enter as much of the name as will fit in 

each section. 

(1) Facility Name: Enter the proper name of 

the facility. 

(2) Facility Address: Enter the street address, city, State, and zip code. 

(3) Facility Phone Number: Enter the phone 

number of the facility. 

(4) Latitude and Longitude: Enter the facility latitude and longitude in degrees, minutes, and seconds. 

(5) Dun and Bradstreet Number: Enter the 

facility’s Dun and Bradstreet number if 

available (this information may be obtained 

from public library resources). 

(6) North American Industrial Classification System (NAICS) Code: Enter the facility’s NAICS code as determined by the Office 

of Management and Budget (this information 

may be obtained from public library resources.) 

(7) Largest Oil Storage Tank Capacity: Enter 

the capacity in GALLONS of the largest 

aboveground oil storage tank at the facility. 

(8) Maximum Oil Storage Capacity: Enter the 

total maximum capacity in GALLONS of all 

aboveground oil storage tanks at the facility. 

(9) Number of Oil Storage Tanks: Enter the 

number of all aboveground oil storage tanks 

at the facility. 

(10) Worst Case Discharge Amount: Using information from the worksheets in appendix 

D, enter the amount of the worst case discharge in GALLONS. 

(11) Facility Distance to Navigable Waters: 

Mark the appropriate line for the nearest 

distance between an opportunity for discharge (i.e., oil storage tank, piping, or 

flowline) and a navigable water. 

2.2 Applicability of Substantial Harm Criteria 

Using the flowchart provided in Attachment C–I to appendix C to this part, mark 

the appropriate answer to each question. Explanations of referenced terms can be found 

in Appendix C to this part. If a comparable 

formula to the ones described in Attachment 

C–III to appendix C to this part is used to 

calculate the planning distance, documentation of the reliability and analytical soundness of the formula must be attached to the 

response plan cover sheet. 

2.3 Certification 

Complete this block after all other questions have been answered. 

3.0 Acronyms 

ACP: Area Contingency Plan 

ASTM: American Society of Testing Materials 

bbls: Barrels 

bpd: Barrels per Day 

bph: Barrels per Hour 

CHRIS: Chemical Hazards Response Information System 

CWA: Clean Water Act 

DOI: Department of Interior 

DOC: Department of Commerce 

DOT: Department of Transportation 

EPA: Environmental Protection Agency 

FEMA: Federal Emergency Management 

Agency 

FR: Federal Register 

gal: Gallons 

gpm: Gallons per Minute 

HAZMAT: Hazardous Materials 

LEPC: Local Emergency Planning Committee 

MMS: Minerals Management Service (part of 

DOI) 

NAICS: North American Industrial Classification System 

NCP: National Oil and Hazardous Substances 

Pollution Contingency Plan 

NOAA: National Oceanic and Atmospheric 

Administration (part of DOC) 

NRC: National Response Center 

NRT: National Response Team 

OPA: Oil Pollution Act of 1990 

OSC: On-Scene Coordinator 

PREP: National Preparedness for Response 

Exercise Program 

RA: Regional Administrator 

RCRA: Resource Conservation and Recovery 

Act 

RRC: Regional Response Centers 

RRT: Regional Response Team 

RSPA: Research and Special Programs Administration 

SARA: Superfund Amendments and Reauthorization Act 

SERC: State Emergency Response Commission 

SDWA: Safe Drinking Water Act of 1986 

SI: Surface Impoundment 

SPCC: Spill Prevention, Control, and Countermeasures 

USCG: United States Coast Guard 

4.0 References 

CONCAWE. 1982. Methodologies for Hazard 

Analysis and Risk Assessment in the Petroleum Refining and Storage Industry. Prepared by CONCAWE’s Risk Assessment Adhoc Group. 

U.S. Department of Housing and Urban Development. 1987. Siting of HUD-Assisted 

Projects Near Hazardous Facilities: Acceptable Separation Distances from Explosive 

and Flammable Hazards. Prepared by the Office of Environment and Energy, Environmental Planning Division, Department of 

Housing and Urban Development. Washington, DC. 

U.S. DOT, FEMA and U.S. EPA. Handbook 

of Chemical Hazard Analysis Procedures. 

U.S. DOT, FEMA and U.S. EPA. Technical 

Guidance for Hazards Analysis: Emergency 


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Environmental Protection Agency Pt. 112, App. F 

1These numbers may be obtained from public library resources. 

2Explanations of the above-referenced 

terms can be found in appendix C to this 

part. If a comparable formula to the ones 

contained in Attachment C–III is used to establish the appropriate distance to fish and 

wildlife and sensitive environments or public 

drinking water intakes, documentation of 

the reliability and analytical soundness of 

the formula must be attached to this form. 3For 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: Fish and 

Wildlife and Sensitive Environments’’ (see 

appendix E to this part, section 13, for availability) and the applicable ACP. 

Planning for Extremely Hazardous Substances. 

The National Response Team. 1987. Hazardous Materials Emergency Planning 

Guide. Washington, DC. 

The National Response Team. 1990. Oil 

Spill Contingency Planning, National Status: A Report to the President. Washington, 

DC. U.S. Government Printing Office. 

Offshore Inspection and Enforcement Division. 1988. Minerals Management Service, 

Offshore Inspection Program: National Potential Incident of Noncompliance (PINC) 

List. Reston, VA. 

ATTACHMENTS TO APPENDIX F 

Attachment F–1—Response Plan Cover Sheet 

This cover sheet will provide EPA with 

basic information concerning the facility. It 

must accompany a submitted facility response plan. Explanations and detailed instructions can be found in appendix F. Please 

type or write legibly in blue or black ink. 

Public reporting burden for the collection of 

this information is estimated to vary from 1 

hour to 270 hours per response in the first 

year, with an average of 5 hours per response. This estimate includes time for reviewing instructions, searching existing data 

sources, gathering the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate of this information, including 

suggestions for reducing this burden to: 

Chief, Information Policy Branch, Mail Code: 

PM–2822, U.S. Environmental Protection 

Agency, Ariel Rios Building, 1200 Pennsylvania Avenue, NW., Washington, DC 20460; 

and to the Office of Information and Regulatory Affairs, Office of Management and 

Budget, Washington D.C. 20503. 

GENERAL INFORMATION

Owner/Operator of Facility: lllllllll

Facility Name: lllllllllllllll

Facility Address (street address or route): l

City, State, and U.S. Zip Code: lllllll

Facility Phone No.: lllllllllllll

Latitude (Degrees: North): lllllllll

degrees, minutes, seconds llllllllll

Dun & Bradstreet Number: 1 llllllll

Largest Aboveground Oil Storage Tank Capacity (Gallons): lllllllllllll

Number of Aboveground Oil Storage Tanks: 

llllllllllllllllllllllll

Longitude (Degrees: West): 

llllllllllllllllllllllll

degrees, minutes, seconds llllllllll

North American Industrial Classification 

System (NAICS) Code: 1 llllllllll

Maximum Oil Storage Capacity (Gallons): l

Worst Case Oil Discharge Amount (Gallons): 

Facility Distance to Navigable Water. Mark 

the appropriate line. lllllllllll

0–1⁄4 mile ll 1⁄4–1⁄2 mile ll 1⁄2–1 mile ll >1 

mile ll 

APPLICABILITY OF SUBSTANTIAL HARM

CRITERIA

Does the facility transfer oil over-water 2

to or from vessels and does the facility have 

a total oil storage capacity greater than or 

equal to 42,000 gallons? 

Yes lllllllllllllllllllll

No llllllllllllllllllllll

Does the facility have a total oil storage 

capacity greater than or equal to 1 million 

gallons and, within any storage area, does 

the facility lack secondary containment 2

that is sufficiently large to contain the capacity of the largest aboveground oil storage 

tank plus sufficient freeboard to allow for 

precipitation? 

Yes lllllllllllllllllllll

No llllllllllllllllllllll

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 2 (as calculated using the appropriate 

formula in appendix C or a comparable formula) such that a discharge from the facility 

could cause injury to fish and wildlife and 

sensitive environments? 3

Yes lllllllllllllllllllll

No llllllllllllllllllllll

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 2 (as calculated using the appropriate 

formula in appendix C or a comparable formula) such that a discharge from the facility would shut down a public drinking 

water intake? 2 llllllllllllll

Yes lllllllllllllllllllll


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No llllllllllllllllllllll

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 2 in an amount greater than 

or equal to 10,000 gallons within the last 5 

years? 

Yes lllllllllllllllllllll

No llllllllllllllllllllll

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 information, I believe that the submitted information is true, accurate, and complete. 

Signature: llllllllllllllllll

Name (Please type or print): llllllll

Title: llllllllllllllllllll

Date: llllllllllllllllllll

[59 FR 34122, July 1, 1994; 59 FR 49006, Sept. 

26, 1994, as amended at 65 FR 40816, June 30, 

2000; 65 FR 43840, July 14, 2000; 66 FR 34561, 

June 29, 2001; 67 FR 47152, July 17, 2002] 

APPENDIX G TO PART 112—TIER I 

QUALIFIED FACILITY SPCC PLAN


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Pt. 113 40 CFR Ch. I (7–1–15 Edition) 

[74 FR 58811, Nov. 13, 2009] 

PART 113—LIABILITY LIMITS FOR 

SMALL ONSHORE STORAGE FACILITIES 

Subpart A—Oil Storage Facilities 

Sec. 

113.1 Purpose. 

113.2 Applicability. 

113.3 Definitions. 

113.4 Size classes and associated liability 

limits for fixed onshore oil storage facilities, 1,000 barrels or less capacity. 

113.5 Exclusions. 

113.6 Effect on other laws. 

AUTHORITY: Sec. 311(f)(2), 86 Stat. 867 (33 

U.S.C. 1251 (1972)). 

SOURCE: 38 FR 25440, Sept. 13, 1973, unless 

otherwise noted. 

Subpart A—Oil Storage Facilities 

§ 113.1 Purpose. 

This subpart establishes size classifications and associated liability limits 

for small onshore oil storage facilities 

with fixed capacity of 1,000 barrels or 

less. 

§ 113.2 Applicability. 

This subpart applies to all onshore 

oil storage facilities with fixed capacity of 1,000 barrels or less. When a discharge to the waters of the United 

States occurs from such facilities and 

when removal of said discharge is performed by the United States Government pursuant to the provisions of subsection 311(c)(1) of the Act, the liability 


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