This section prescribes the minimum requirements for operator qualification and requalification of operator employees and contractor workers who perform covered tasks on a pipeline facility.
(a) Each operator shall have and follow a written qualification program. The program shall include provisions that:
(1) Identify covered tasks and abnormal operating conditions on the operator’s system with sufficient specificity to that system;
(2) Detail the training requirements, including the minimum training needed per covered task, to ensure that each individual performing a covered task is provided the knowledge and skills to be qualified and requalified, when necessary, prior to the individual performing the covered task. Training shall include hands-on learning or simulations unless an effective alternative has been documented and justified;
(3) Ensure through evaluation that each individual performing a covered tasks has gained the knowledge and skills needed to perform the covered task in accordance with the operator’s procedures and on the type of equipment used by the operator for the task for which the individual is deemed qualified provided that:
(i) Review of work performance history is not used as a sole evaluation method;
(ii) Evaluations shall not be conducted within 48 hours of training;
(iii) Written tests to confirm knowledge of elements of covered tasks and abnormal operating conditions are given in a secure location under secure procedures;
(iv) A passing grade on an evaluation shall not be awarded if the individual incorrectly answered any question about an abnormal operating condition; and
(v) Observation of on-the-job performance is not used as a sole method of evaluation. However, when on-the-job performance is used as an evaluation method for a covered task, the operator qualification procedure must define the measures used to determine successful completion of the on-the-job performance evaluation;
(4) Includes operator evaluations or third-party evaluations. Operators retain full responsibility for testing or evaluation performed by a third-party. Any such third-party evaluation process offered to qualify individuals for any operator shall comply with this subpart;
(5) Allows individuals who are not qualified pursuant to this Section to perform a covered task if directed and observed by a qualified individual within the limitations of the span of control for the particular task, as long as the individual observing completion of the task is qualified for that task according to the operator’s procedures and on the type of equipment used by the operator for the task;
(6) Evaluate an individual's qualifications, if the operator has reason to believe that the individual's performance of a covered task contributed to an incident requiring the submission of a report pursuant to Section 255.801(d) of this Part or is otherwise significant in the judgement of the operator;
(7) Evaluates an individual’s qualifications, if the operator has reason to believe that the individual is no longer qualified to perform a covered task;
(8) Establishes and maintains a Management of Change program that will address and communicate significant changes in procedures, specifications, tools, materials of construction, and technology, that affect covered tasks to individuals performing or within the span of control for those covered tasks;
(i) The operator shall determine what constitutes a significant change;
(ii) The operator shall determine whether, and which, changes require suspension of operator qualification and requalification due to the change;
(iii) The operator shall determine what supplemental training is required for individuals when such significant changes affect the covered task;
(9) Provides supplemental training for individuals when significant changes are made to procedures and specifications for the covered task;
(10) Identifies all covered tasks and the intervals at which reevaluation of each individual’s qualifications are needed for each covered task;
(11) Provide training to ensure that any individual performing covered tasks has the necessary knowledge, skills, and abilities to perform the tasks in a manner that ensures the safe operation of pipeline facilities;
(12) Establishes the requirements to be an Evaluator, including the necessary training;
(13) Includes a Mutual Aid training and evaluation plan. Operator contingencies must be in place for the use of outside operator qualified resources when the operator is responding to events that exceed in-house capabilities. During Mutual Aid situations, operators may petition the Commission to suspend any of the requirements specified in this Section;
(14) Measures the program’s effectiveness consistent with §255.604(e); (ViaData Note: The original Case 19-G-0736 published by NYS-DPS has an error referencing §255.604(a)(4) in this paragraph. That error has been corrected in his WinDOT version).
(15) Identifies a process for determining when a unique evaluation is required based on the characteristics of the equipment or process being performed; and
(16) provides notification to the department if the operator significantly modifies the program after the department has verified that it complies with this Section. Notifications to the Department must be submitted in accordance with Section 255.18 of this Part.
(b) Each operator shall maintain records that demonstrate compliance with this section.
(1) Individual Qualification records shall include, at a minimum:
(i) identification of each qualified individual;
(ii) identification of the covered tasks the individual is qualified to perform;
(iii) date(s) of current qualifications;
(iv) qualification method(s);
(v) Evaluation of ability to recognize and react to abnormal operating conditions, whether task-specific or non-task-specific, that could occur anywhere on an operator’s system;
(vi) Name of the evaluator and date of evaluation; and
(vii) Training that took place to support the individual’s qualification or requalification for each covered task.
(2) Program records detailing each individual's current qualification shall be maintained while the individual is performing a covered task for the operator.
(i) Records shall be kept and made available for audit for work completed by a non-qualified individual while being directed and observed by a qualified individual.
(ii) Records of prior qualification and records of individuals no longer performing covered tasks shall be retained for a period of five years.
(c) Operators shall have a written qualification program consistent with the requirements herein and in effect by April 1, 2023. Program records must include:
(1) Program effectiveness assessments;
(2) Program changes;
(3) List of abnormal operating conditions;
(4) Program management notice of change notifications;
(5) Covered task list, including all task-specific and nontask-specific abnormal operating conditions;
(6) Span of control ratios for all covered tasks;
(7) Re-evaluation intervals for all covered tasks; and
(8) Criteria used for selecting, training, and authorizing evaluators.
(d) Retention Periods.
(1) Operator shall maintain qualification records of individuals who have performed covered tasks. Records supporting an individual’s current qualification must be retained while the individual is performing the covered task. Records of prior qualification and records of individuals no longer performing covered tasks must be retained for five years.
(2) Program records. An operator must maintain records required by paragraph (c) of subsection (2) for five years.
(e) Program Effectiveness. Operator Qualification programs shall include a written process to measure the program’s effectiveness. An effective program minimizes human error caused by an individual’s lack of knowledge, skills, and abilities (KSAs) to perform covered tasks.
(1) An operator must conduct the program effectiveness review within 36 months of the effective date of this rule and at least every 24 months, not to exceed 27 months thereafter.
(2) Process. The process to measure program effectiveness must:
(i) Assess if the qualification program is being implemented and executed as written; and
(ii) Establish an efficient process to amend the program to include any changes necessary to address the findings of the program effectiveness review.
(3) Measures. The operator shall develop program measures to determine the effectiveness of the qualification program. The operator must, at a minimum, consider the following measures to evaluate the effectiveness of the program.
(i) Number of occurrences caused by each individual whose performance of a covered task(s) adversely affected the safety or integrity of the pipeline due to any of the following deficiencies:
(a) Evaluation was not conducted properly;
(b) KSAs used to assign qualification for the specific covered task(s) were not adequate;
(c) Training was not adequate for the specific covered task(s);
(d) Change made to a covered task or the KSAs was not adequately evaluated;
(e) Change to a covered task(s) or the KSAs was not adequately communicated;
(f) Individual failed to recognize an abnormal operating condition, whether it is task-specific or non-task specific, which occurred anywhere on the system;
(g) Individual failed to take the appropriate action following the recognition of an abnormal operating condition (task-specific or non-task specific) that occurred anywhere on the system;
(h) Individual who failed to perform a covered task properly was not operator qualified;
(i) Nonqualified individual was not being directed and observed by a qualified individual;
(j) Individual did not follow approved procedures and/or use approved equipment;
(k) Span of control was not followed;
(l) Evaluator or training did not follow program or meet program requirements; or
(m) A qualified individual was directing and observing more unqualified individuals than circumstances showed was safe for the given covered task (that is, specified span of control turned out to be too large).
(4) Detail a process to address performance deficiencies and actions from such observations. Actions may include procedure or program improvements, retraining, coaching, reevaluation, suspension, or disqualification, in accordance with the operator’s program.
(f) Engineering Functions. The operator shall determine engineering functions specific to the design, construction, operation, and integrity of pipelines that contain elevated risk. The operator shall have and follow a written program that includes a training, mentoring, and evaluation process to be used for establishing competency of personnel performing these higher risk engineering functions.