49 CFR Part 192, Subpart N

As a result of an investigation of the TexasEastern Gas Pipeline Company ruptures andfires at Beaumont, KY, on April 27, 1985, andLancaster, KY on February 21, 1986, the NTSBissued a Pipeline Accident Report on February18, 1987 (NTSB/PAR-87/01). In that report,the Safety Board recommended that Researchand Special Programs Administration (RSPA):

“Amend 49 CFR Parts 192 and 195 to requirethat operators of pipelines develop andconduct selection, training, and testingprograms to annually qualify employees forcorrectly carrying out each assignedresponsibility, which is necessary forcomplying with 49 CFR Parts 192 or 195, asappropriate.”

On December 17, 2002, Congress enactedthe Pipeline Safety Improvement Act of 2002,which amended the Pipeline Safety Laws, Title49. Transportation. Subtitle VIII. Pipelines.Chapter 601. Safety. Section 60131,Verification of Pipeline QualificationPrograms, was added to the laws by this act,and set forth requirements for pipelinefacility operators to develop and adopt aqualification program for individualsperforming covered tasks.

Covered Task: For the purpose of this subpart, a covered

task is an activity, identified by the operator,that:

(1) Is performed on a pipeline facility; (2) Is an operations or maintenance task; (3) Is performed as a requirement of this

part; and (4) Affects the operation or integrity of the

pipeline.

Abnormal Operating Condition:

Abnormal operating condition means acondition identified by the operator that mayindicate a malfunction of a component ordeviation from normal operations that may:

(a) Indicate a condition exceeding designlimits; or

(b) Result in a hazard(s) to persons, property,or the environment.

Direct Observation:

Observation of an unqualified individual(s)during the performance of a covered task byan individual who is qualified to perform thetask at hand. The observer must be in directvisual and verbal contact with theindividual(s) and must be able to takeimmediate and effective corrective action ifincorrect procedures or abnormal operatingconditions are observed.

Evaluator:

Persons performing evaluations should possessthe required knowledge (1) to ascertain anindividual's ability to perform the covered tasksand (2) to substantiate an individual's ability torecognize and react to abnormal operatingconditions that might surface while performingthose activities. This does not necessarily meanthat the person performing the evaluationsshould be physically able to perform the coveredtasks themselves.

Element 1 - Document Program Plan,Implementing Procedures and QualificationCriteria

Element 2 - Identify Covered Tasks andRelated Evaluation Methods

Element 3 - Identify Individuals PerformingCovered Tasks

Element 4 - Evaluate and Qualify IndividualsPerforming Covered Tasks

Element 5 - Continued/Periodic Evaluation ofIndividuals Performing Covered Tasks

Element 6 - Monitor Program Performance;Seek Improvement Opportunities

Element 7 - Maintain Program Records

Element 8 - Manage Change

Element 9 - Field Verification

The objective of the protocols is to ensurethat the prescriptive requirements of the rulehave been followed by operators.

This objective will be accomplished byrigorously inspecting each operator's recordsto ensure that all persons performing coveredtasks on pipeline facilities are properlyqualified and that sufficient documentation ismaintained for these individuals.

Verify that the operator’s written qualification programwas established by April 27, 2001. [Enforceable]

Verify that the written qualification program identified allcovered tasks for the operator’s operations andmaintenance functions being conducted as of October 28,2002. [Enforceable]

Verify that the written qualification program established anevaluation method(s) to be used in the initial qualificationof individuals performing covered tasks as of October 28,2002. [Enforceable]

Verify that all individuals performing covered tasks as ofOctober 28, 2002, and not otherwise directed or observedby a qualified individual were qualified in accordance withthe operator’s written qualification program. [Enforceable]

Verify that the operator applied the four-part test to determinewhether 49 CFR Part 192 or 49 CFR Part 195 O&M activitiesapplicable to the operator are covered tasks. [Enforceable]

Verify that the operator has identified and documented allapplicable covered tasks. [Enforceable]

Verify what evaluation method(s) has been established anddocumented for each covered task. [Enforceable]

Verify that the operator’s evaluation program ensures thatindividuals can perform assigned covered tasks. [Enforceable]

Verify that the evaluation method is not limited to observation ofon-the-job performance, except with respect to tasks for whichOPS has determined that such observation is the best method ofexamining or testing qualifications. The results of any suchobservations shall be documented in writing. [Enforceable]

Verify that the operator’s qualification programhas documented the evaluation of individualsperforming covered tasks. [Enforceable]

Verify that the operator’s qualification programhas documented the qualifications of individualsperforming covered tasks. [Enforceable]

Verify that the operator’s program includesprovisions for the performance of a covered taskby a non-qualified individual under the directionand observation by a qualified individual.[Enforceable]

Verify that after October 28, 2002, workperformance history is not used as a soleevaluation method. [Enforceable]

Verify that individuals beginning work on coveredtasks after October 26, 1999 have not beenqualified using work performance history reviewas the sole method of evaluation. [Enforceable]

Verify that individuals performing covered taskshave been qualified in recognizing and reactingto AOCs they may encounter in performing suchtasks. [Enforceable]

Verify that the operator’s program ensuresevaluation of individuals whose performance of acovered task may have contributed to an incidentor accident. [Enforceable]

Verify that the operator has establishedprovisions for determining whether an individualis no longer qualified to perform a covered task,and requires reevaluation [Enforceable]

Verify that the operator has established intervalsfor reevaluating individuals performing coveredtasks. [Enforceable]

Does the operator have provisions to evaluateperformance of its OQ program andimplement improvements to enhance theeffectiveness of its program? [Non-Enforceable]

Verify that qualification records for all individualsperforming covered tasks include the informationidentified in the regulations. [Enforceable]

Verify that the operator’s program ensures theretention of records of prior qualification andrecords of individuals no longer performingcovered tasks for at least five years. [Enforceable]

Verify that the operator’s program ensures theavailability of qualification records of individuals(employees and contractors) currently performingcovered tasks, or who have previously performedcovered tasks. [Enforceable]

Verify that the operator’s program identifies changes that affectcovered tasks and how those changes are communicated, whenappropriate, to affected individuals. [Enforceable]

Verify that the operator’s program identifies and incorporateschanges that affect covered tasks. [Enforceable]

Verify that the operator’s program includes provisions for thecommunication of changes (e.g., who, what, when, where, why)in the qualification program to the affected individuals.[Enforceable]

Verify that the operator incorporates changes into initial andsubsequent evaluations. [Enforceable]

Verify that contractors supplying individuals to perform coveredtasks for the operator are notified of changes that affect taskperformance and thereby the qualification of these individuals.[Enforceable]

9.01 Are field/job supervisors aware of their responsibilities as defined under the operator'sOQ program?

9.02 Are the observed covered task(s) performed in accordance with appropriate operator-approved procedures, and are the procedures present at the job site?

9.03 Are the individuals performing the observed covered task(s) adhering to the operator-approved procedures as written?

9.04 Are the proper tools, techniques and processes detailed in the operator-approvedprocedures employed in the performance of the observed covered task(s)?

9.05 Are the qualifications of all individuals involved in performing the covered task(s) verifiedat the job site? Is this verification process performed as detailed in the operator's OQ programplan? Is this verification process applied to employees and contractors alike?

9.06 Are the qualified individuals performing the observed covered task(s) knowledgeable ofhow to recognize the applicable AOCs and what their expected reaction to the AOCs should be?

9.07 Are individuals not qualified to perform a covered task performing a covered task? If so,are the non-qualified individuals being directly observed by a qualified individual in accordancewith the requirements of the regulation?

9.08 How are field/job supervisors informed of changes that affect theperformance of covered tasks under their responsibility?

9.09 In cases where the field office is part of a subsidiary or separatedistrict, is implementation of OQ program requirements consistent withother districts and the overall organization's OQ program?

9.10 How is performance of the covered task(s) reviewed/inspected inthe field by internal auditors or third party inspectors?

9.11 What problems have been experienced in the field in implementingthe operator's OQ program? If problems have been experienced, howhave they been communicated back to the individual responsible for theOQ program?

9.12 How are Control Center operations coordinated with remoteoperations that are conducted with other operations personnel? Arethese 'other operations personnel' qualified to perform the covered tasksbeing performed?

1.9 What requirements exist related to thequalification of persons participating in mutualassistance agreements?

Mutual assistance agreements are typicallydesigned to clarify the conditions under whichpipeline operators support each other in the saferestoration of services following a significantoutage. It is the responsibility of the operatorwhose system is being restored to ensure that allindividuals performing covered tasks pursuant tomutual assistance agreements are qualified in amanner consistent with the operator’s OQProgram requirements

1.10 Can individuals be qualified without beingrequired to undergo training?

Yes. The purpose of this rule is to ensure thatthose persons performing covered tasks on thepipeline have been evaluated and determined tobe qualified both to perform covered tasks andto recognize and react to abnormal operatingconditions. Training may be an integral step inpreparing for evaluation; however, it is notrequired under the current provisions of this rule(but – see FAQ 1.11).

1.11 How should training be incorporated in an operator's programplan?

Training is a means to ensure that a person performing a covered taskhas the knowledge and skills needed to perform the task. As such, itshould be incorporated in practices leading to the development andqualification of new employees, as well as in refreshing the knowledgeand skills of persons with considerable experience. In particular, anysignificant change in the procedures on which covered tasks are basedshould be the subject of new training for all persons performing coveredtasks. In addition, qualified persons who fail initial evaluation orreevaluation testing may be provided with remedial training in theirareas of deficiency. While training is not required, the Pipeline Safety Law(as amended December 17, 2002 by Public Law No. 107-355) doesrequire operators to include “training, as appropriate, to ensure thatindividuals performing covered tasks have the necessary knowledge andskills to perform” covered tasks as an element of their OQ program.Consequently, a future amendment to the OQ regulations willincorporate language very similar to that contained in the Pipeline SafetyLaw. Furthermore, the law requires operators to act to fulfill thisrequirement no later than December 17, 2005 should OPS fail to issue aFinal Rule addressing training requirements in a timely manner.

2.3 How should an operator differentiate between O&M tasks and newconstruction tasks?

The purpose of maintenance is to preserve the serviceability of existingpipelines. If a pipeline segment cannot fully and safely operate asdesigned without the completion of a certain task, then that task shouldbe considered maintenance. Repairs to a pipeline, including replacementof one or more pipe joints, necessitated by threats such as corrosion orthird party damage, should be considered maintenance.

New construction is the act of building a pipeline facility, or expandingan existing pipeline segment (as in looping a pipeline segment, whichmay also be done to meet increased load requirements or to enhancereliability of the system) in order to provide new service to a customer(s)or in order to meet increased demand. The tie-in of a new pipeline orsegment to an existing pipeline is an O&M task; any task carried out onthat new pipeline or segment thereafter is also an O&M task. Companyaccounting practices that differentiate between capital projects and O&Mexpenditures are irrelevant in the determination of whether a task iscovered.

1.3 Will contractors be required to have a written OQ Program?

Only pipeline operators are subject to the requirements of the DOT Rules. Individualsperforming covered tasks on an operator’s pipeline facility, including its own employees,contractors, sub-contractors, original equipment manufacturer’s (OEM) representatives,temporary help, etc., must be qualified or perform covered tasks under the direct supervisionof a qualified individual. Operators may require contractors which supply individuals toperform covered tasks to:

Have their own OQ Program and provide documentation that these individuals are currentlyqualified to perform the assigned covered tasks.

Belong to a Consortium which provides the required qualification evaluations anddocumentation, or

Qualify those individuals under the Operator’s own OQ Program; or

Have an independent third party evaluate their qualification and provide the requireddocumentation.

Whichever alternative is chosen, the contractor must be operating under an OQ Program thatthe operator has verified as being compatible with its own qualification procedures, including

the recognition of and reaction to AOCs identified by the operator.

The OQ rule requires, at a minimum, that thefollowing records be retained:

identification of qualified individual(s); identification of the covered tasks the individual is

qualified to perform; date(s) of current qualification; and qualification method(s). Records supporting an individual's current

qualification shall be maintained while the individualis performing the covered task. Records of priorqualification and records of individuals no longerperforming covered tasks shall be retained for aperiod of at least five years.