28.4.1 Professional Engineering (PE) Certification
Except for the exception identified below, Spill Prevention Control and Countermeasures (SPCC) plans need to be certified by a Professional Engineer (PE)[1].
28.4.2 Self-Certification of Spill Prevention Control and Countermeasures (SPCC) Plans
In recent years, the Environmental Protection Agency (EPA) has made several changes to the Spill Prevention, Control, and Countermeasure (SPCC) regulation, including allowing certain facilities to self-certify their Spill Prevention, Control, and Countermeasure (SPCC) Plan instead of obtaining certification from a Professional Engineer (PE). According to the EPA, this option was introduced to reduce the financial burden on smaller or lower-risk facilities.
However, state engineering boards may view the development of an Spill Prevention, Control, and Countermeasure (SPCC) Plan as falling under the practice of engineering, which could require PE involvement regardless of the Environmental Protection Agency’s (EPA) self-certification allowance. The EPA acknowledged this in the Federal Register on December 26, 2006, stating that the rule change:
“does not pre-empt any State or local requirements.”
Because the EPA does not have authority over state licensing boards, the determination of whether Spill Prevention, Control, and Countermeasure (SPCC) Plan preparation requires a PE is left to each individual state. If a state board defines Spill Prevention, Control, and Countermeasure (SPCC) plan preparation as the practice of engineering, then a PE must be involved—even if the facility qualifies for Environmental Protection Agency’s (EPA) self-certification option. The required level of Professional Engineer (PE) involvement (e.g., whether a Professional Engineer (PE) must sign and seal the plan or simply oversee its preparation) may vary from state to state.
I have discussed this issue with several states, many of which confirmed that Spill Prevention, Control, and Countermeasure (SPCC) Plan preparation is considered the practice of engineering and therefore must be performed under a Professional Engineer’s (PE) direction. However, since one state later reversed its position, I have chosen not to list specific states here. To ensure compliance, I recommend that facilities consult their respective state engineering boards for the most current and applicable requirements.
28.4.3 Professional Engineer (PE) Discipline
The United States Environmental Protection Agency does not require that the Professional Engineer certifying a Spill Prevention, Control, and Countermeasure (SPCC) Plan be licensed in a specific engineering discipline. Similarly, most state engineering boards I have worked with do not mandate a particular discipline for Professional Engineers who certify SPCC Plans.
State regulations generally allow a licensed Professional Engineer to work across different areas of practice, provided they possess the necessary education, experience, and competency in the subject matter. In my experience, the technical content of SPCC Plans—such as containment design and spill response planning—does not typically involve complex calculations that would be challenging for a licensed engineer.
That said, certain aspects of SPCC Plans – such as evaluating tank and piping inspection protocols, testing requirements, and corrosion control – may benefit from the involvement of an engineer with relevant background or experience in mechanical or materials engineering.
28.4.4 Professional Engineer (PE) Site Visits
Another common issue related to Spill Prevention, Control, and Countermeasure (SPCC) Plans is whether a licensed Professional Engineer is required to conduct a site visit to the facility covered by the plan. The United States Environmental Protection Agency has clarified that a site visit must be conducted by the Professional Engineer or by someone acting under their direction.
“…. Environmental Protection Agency (EPA) ‘‘believes the current regulatory language (e.g., requiring the engineer to examine the facility) clearly requires the certifying Engineer to visit the facility prior to certifying the SPCC Plan.’’ We added that the proposed change ‘‘clarifies this requirement by specifying that the Professional Engineer must be physically present to examine the facility.’’
In general. Environmental Protection Agency (EPA) agrees that the rule should not necessarily require a site visit by a certifying PE, but we believe that a site visit should occur before the PE certifies the Plan. We have modified proposed § 112.3(d)(ii) to reflect this position. The PE’s agent may perform the visit. We agree that customary engineering practice allows someone under the PE’s employ such as an engineering technician, technologist, graduate engineer, or other qualified person to prepare preliminary reports, studies, and evaluations after visiting the site. Then the Professional Engineer (PE) could legitimately certify the Plan. Nevertheless, in all cases the Professional Engineer (PE) must ensure that his certification represents an exercise of good engineering judgment. If that requires a personal site visit, the PE must visit the facility himself before certifying the Plan.”[2]
It is also important to note that, in addition to the requirements of the Spill Prevention, Control, and Countermeasure (SPCC) regulation, licensed Professional Engineers are subject to applicable state engineering licensure laws and regulations, which may also address the requirement for site visits or other aspects of SPCC Plan certification.
28.4.5 Technical Amendments to the Spill Prevention Control and Countermeasures Plan
The original Spill Prevention, Control, and Countermeasure (SPCC) regulation, issued in 1974, technically required a licensed Professional Engineer to conduct a site visit for any change to the SPCC Plan—including administrative updates such as a change in phone number.
To address this burden, the United States Environmental Protection Agency proposed relaxing the SPCC Plan amendment requirements in the Federal Register on October 22, 1991 (Volume 56, Number 204). The final rule revising these requirements was published in the Federal Register on July 17, 2002.
According to the United States Environmental Protection Agency, a licensed Professional Engineer—or an individual working under their supervision—is required to conduct a site visit only for technical amendments to an SPCC Plan that involve the application of sound engineering judgment. The Environmental Protection Agency clarified this intent with the following statement:
“We believe that Professional Engineer (PE)certification is necessary for any technical amendment that requires the application of good engineering practice. We believe that the value of such certification justifies the cost, in that good engineering practice is essential to help prevent discharges. Therefore, we have amended the rule to require Professional Engineer (PE)certification for technical changes only. Non-technical changes not requiring the exercise of good engineering practice do not require PE certification. Such non-technical changes include but are not limited to such items as: changes to the contact list; more stringent requirements for stormwater discharges to comply with NPDES rules; phone numbers; product changes if the new product is compatible with conditions in the existing tank and secondary containment; and, any other changes which do not materially affect the facility’s potential to discharge oil. If the owner or operator is not sure whether the change is technical or non-technical, he should have it certified.“[3]
In the October 22, 1991 proposed SPCC rulemaking, the United States Environmental Protection Agency identified specific examples of technical amendments that would require certification by a licensed Professional Engineer, including:
- Commissioning or decommissioning of tanks
- Replacement, reconstruction, or relocation of tanks
- Reconstruction, replacement, or installation of piping systems
- Construction or demolition activities that affect secondary containment structures
- Revisions to standard operating procedures or maintenance practices[4].
28.4.6 Certification of Spill Prevention Control and Countermeasures (SPCC) Plans in Non-Licensed States
In the proposed Spill Prevention, Control, and Countermeasure (SPCC) regulations published on October 22, 1991, the United States Environmental Protection Agency requested public comment on whether a licensed Professional Engineer should be required to hold a license in the state where the SPCC Plan facility is located. Ultimately, the Environmental Protection Agency chose not to include this requirement in the final version of the SPCC regulation.
However, as with the self-certification issue discussed earlier, state engineering licensure laws typically require a Professional Engineer to be licensed in the state where the work is performed. As a result, even though the Environmental Protection Agency did not mandate this in the federal SPCC regulation, most states do require that a Professional Engineer certifying an SPCC Plan be licensed in that specific state.
Some states offer temporary or limited practice exemptions for out-of-state engineers, but these usually require a formal application or registration with the state licensing board.
[1] July 17, 2002 Federal Register, Volume 67, Number 137, page 47093
[2] October 22, 1991 Federal Register, Volume 56, Number 204, page 54619
[3] July 17, 2002 Federal Register, Volume 67, Number 137, Page 47054
[4] 40 Code of Federal Regulations 112.3(d)