[Federal Register: April 15, 2005 (Volume 70, Number 72)]
[Notices]
[Page 19984-19987]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr15ap05-98]
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DEPARTMENT OF TRANSPORTATION
Pipeline and Hazardous Materials Safety Administration
[Docket No. RSPA-04-18584; Notice 1]
Pipeline Safety: Controller Certification Pilot Program (CCERT)
AGENCY: Office of Pipeline Safety (OPS), Pipeline and Hazardous
Materials Safety Administration (PHMSA), DOT.
ACTION: Notice; Controller Certification Pilot Program.
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SUMMARY: This notice seeks participants and provides information about
the certification study project affecting individuals who operate
computer-based systems for controlling the operation of gas and
hazardous liquid pipelines (pipeline controllers) and the associated
pilot program required by Section 13(b) of the Pipeline Safety
Improvement Act of 2002 (PSIA). This notice describes the purpose and
scope of a project being undertaken by the Pipeline and Hazardous
Materials Safety Administration's (PHMSA) (formerly the Research and
Special Programs Administration) Office of Pipeline Safety (OPS) to
determine what actions it should recommend for additional assurance
that individuals who operate computer-based systems for controlling the
operation of gas and hazardous liquid pipelines are adequately
qualified and, if deemed necessary, certified to perform their job
responsibilities. The public is invited to inquire about this project
through the contact information below, and is encouraged to provide
comments.
FOR FURTHER INFORMATION CONTACT: Byron Coy, (telephone: 609-989-2180;
e-mail: byron.coy@dot.gov) regarding the subject matter of this notice.
Additional information about this notice can be accessed in the docket
captioned above on the DOT Docket Management System Web site at: http://dms.dot.gov
.
DATES: Persons interested in participating in the pilot program or
submitting written comments on the controller certification overall
project or the pilot operator program should do so by May 16, 2005.
ADDRESSES: For access to the docket to read background documents or
comments, go to http://dms.dot.gov or to Room PL-401 on the plaza level
of the Nassif Building, 400 Seventh Street, SW., Washington, DC,
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
Holidays. You may submit written comments to the docket by any of the
following methods:
Mail: Dockets Facility, U.S. Department of Transportation,
Room PL-401, 400 Seventh Street, SW., 20590-0001. Anyone wanting
confirmation of mailed comments must include a self-addressed stamped
postcard.
Hand delivery or courier: Room PL-401, 400 Seventh Street,
SW., Washington, DC. The Dockets Facility is open from 9 a.m. to 5
p.m., Monday through Friday, except Federal holidays.
Web site: Go to http://dms.dot.gov, click on ``Comments/
Submissions'' and follow instructions at the site.
All written comments should identify the docket number and notice
number stated in the heading of this notice.
Background
Over the past eight years, 10 of the 18 pipeline incident/accident
investigations conducted by the National Transportation Safety Board
(NTSB) have identified controller's actions or reactions, or the
computer systems they use, as significant factors in detecting or
contributing to the initial event, influencing reaction time or
affecting the magnitude of an event. Controllers are individuals that
use computers to control pipelines. Section 13(b)(1)(A) requires PHMSA
to ``develop tests and other requirements for certifying the
qualifications of individuals who operate computer-based systems for
controlling the operations of pipelines.''
For the purposes of this overall project, tests refers to the
examination and evaluation of: (a) Current operator training and
qualification processes and practices (through the pilot operator
program), (b) current regulations, (c) industry standards, including
ASME B31Q, and (d) program development, practices, and requirements for
control room operating personnel that are applied in other industries.
Section 13(b)(1)(B) requires PHMSA to ``establish and carry out a
pilot program for 3 pipeline facilities under which the individuals
operating computer-based systems for controlling the operations of
pipelines at such facilities are required to be certified under the
process established under subparagraph (A).'' Further, Section 13(b)(2)
requires PHMSA to develop a report to Congress on the results of the
pilot program that includes recommendations on the certification of
pipeline controllers.
Overall Project Objectives
This overall project will explore whether current regulations are
sufficient to address the findings resulting from these accidents and
other project development activities or whether regulations need to be
enhanced to provide additional controller qualification requirements.
The overall project will also determine whether a certification process
for controllers is warranted.
The objectives of the overall project are to:
Define and document current practices and processes that
pipeline operators use to determine that controllers have adequate
knowledge, skills and abilities to perform their assigned tasks.
Evaluate and determine what practices and processes best
serve to substantiate that individual pipeline controllers have
adequate knowledge, skills and abilities to perform their assigned
tasks.
Determine what evaluation techniques, criteria, and
validation frequency can most effectively demonstrate proficiency.
[[Page 19985]]
Define what administrative procedures, records, and
certification criteria can best serve to demonstrate the aforementioned
objectives.
Determine how specific or uniform such practices, process
content, evaluation parameters, and administrative procedures are
across the various types of pipeline operators.
Determine the adequacy of the existing operator personnel
qualification requirements for controllers, in light of the significant
impact they can have on pipeline safety and integrity.
Develop conclusions and establish recommendations to be
reported to Congress at the end of the project.
Overall Project Strategy
OPS experience, supplemented by consultation with a specifically
assembled focus group, and a variety of operator interviews conducted
at the beginning of this project have all validated that qualification
practices for controllers among pipeline operators vary greatly. These
differences are based on pipeline characteristics and varying
operational needs. Even within each operator type [gas transmission,
local distribution companies (LDC), hazardous liquids, liquefied
natural gas (LNG)], there are varied and sometimes unique safety-
sensitive job tasks that controllers are expected to perform. These
differences would make it difficult to develop a substantive universal
test to qualify controllers. Thus, a uniform controller evaluation/
certification test for the entire industry would likely not address
many operator-specific and sometimes unique tasks critical to pipeline
integrity and safety.
To provide a higher assurance that controllers possess adequate
knowledge, skills and abilities, the project team will be focusing on
the content of the pipeline operators' administrative, training and
evaluation techniques that make up the controller qualification
process. Each operator should have a controller qualification program
that is specifically designed to address the particular attributes and
needs of its pipeline. The project team will recommend a specific set
of topic areas and content with a level of adequacy and thoroughness
expected of an operator's qualification program and associated
administrative processes. Project recommendations will address criteria
to determine adequate material content, a structured and encompassing
qualification process, and thoroughness and adequacy in an operator's
training, performance monitoring and periodic evaluation activities.
Each of these elements is discussed below.
Description of the Project Scope
PSIA-2002, Section 13(b) specifically uses the phrase ``persons who
use computers to control pipelines.'' Section 13(b) implies that an
elevated risk to the public would result from ineffective qualification
of persons who use computers to control pipelines. The Act does not
specifically identify or exclude any type of pipeline based on its
operating pressure, degree of sophistication, pipe mileage, or how
computers are used to control the pipeline system. Since the
application of computer technology is prolific, sophisticated computer
control systems (SCADA) have now been deployed in a wide variety of
applications, including individual remote stations, thereby defining
the range of the project beyond the traditional Supervisory Control and
Data Acquisition systems (SCADA) control room.
SCADA systems are used extensively in the pipeline industry. These
systems provide a means for controllers (an individual or team) to
monitor and control pipeline stations and other facilities. These
systems can provide remote control over great distances. Application of
SCADA systems has resulted in a reduction of pipeline field staffs,
making the role of the controller critical to safety and integrity in
pipeline operations. In cross-country hazardous liquid and gas
transmission pipelines, controllers routinely monitor and send commands
to change flow rates and pressures. Prompted by an assortment of
factors, hazardous liquid and gas transmission pipeline controllers are
re-directing flow, starting and stopping pipeline segments or adjusting
flow rates to accommodate market conditions, maintenance activity and
weather on a regional or sometimes national basis. For these types of
pipelines, dynamic operating conditions require controllers to have a
high level of knowledge, skills and abilities to safely maintain
systems and promptly recognize operating anomalies and abnormal
conditions as they develop.
Although the formal pilot program will place an emphasis on gas
transmission and hazardous liquid pipelines, OPS will be able to
address all of the following groups in the context of the project
report and recommendations:
Gas transmission pipeline controllers.
Hazardous liquid pipeline controllers.
Pipeline controllers who reside in gas compressor and
hazardous liquid pump stations.
Pipeline controllers who reside in LNG facilities, to the
extent they control pipelines.
LDC pipeline controllers.
The work of this project will then include consideration for the
qualification and potential need for certification processes related to
this broader set of pipeline controller personnel. OPS acknowledges the
differences in operating hydraulics and the role of controllers between
hazardous liquid and natural gas pipelines, and will take these
differences into consideration during the development of the project
and the eventual recommendations.
Identification of the Focus Group
A Focus Group of stakeholders was established early in the project,
including representatives of the public, industry trade associations,
pipeline operators, state pipeline safety agencies, academia and OPS.
Discussions with the Focus Group provided insight regarding key
operational and logistic considerations for the project. Information
came directly from the Focus Group participants and subsequently from
members of their respective constituencies. In addition, project
updates have been presented at several trade association meetings,
where additional feedback was attained. OPS will continue to use the
Focus Group throughout the term of the project.
Accident and Incident Review
Preliminary review of the NTSB incident/accident data indicates
that more detailed information regarding a controller's functions could
be collected as a part of accident and incident reporting, to permit a
more definitive analysis of controller involvement. Such additional
information would support a more thorough review in future analysis.
There are many other events for which reporting is not mandated by
current regulations, such as upset conditions, near-miss events,
situations that were averted by the operation of safety systems and
other operating anomalies that did not reach current reportable
thresholds. The tabulation and analysis of such events could provide
additional information to support a more thorough controller
performance review, metrics analysis, targeted or enhanced training and
general pipeline safety and integrity improvements. This additional
information could also be used to determine and/or substantiate the
adequacy of current controller qualification programs.
[[Page 19986]]
Survey of Industry Practices
OPS met with a broad cross-section of pipeline operators in the
fourth quarter of 2003 to learn what pipeline operators are currently
doing to meet existing operator qualification requirements for
controllers. OPS will be meeting with representatives of other
industries, additional pipeline operators and research organizations
during the course of the project to gather an expanded set of
information that will help develop and substantiate the recommendations
and conclusions of our report. The industry visits conducted to date
are tabulated in the docket.
As a result of these visits, pipeline control functions have been
categorized. Currently, principal control function categories are
defined as: full remote control, detect/monitor/direct field
operations, and detect/monitor/defer to field operations. In each case,
controllers were using computers to detect and monitor operations and
then either perform control functions themselves or direct or advise
field operations of needed attention based on the controller's
responsibility, authority and assessment of the situation. These
control function categories were developed to more clearly separate
operators into controller function groups.
Participation in B31Q (National Consensus Standard on Pipeline
Personnel Qualification)
OPS recognizes the ongoing effort to develop a more thorough,
consensus-based standard for gas and hazardous liquid pipeline
personnel qualification programs. The American Society of Mechanical
Engineers (ASME) is now engaged in the development of a national
consensus standard entitled ASME B31Q, ``Pipeline Personnel
Qualification Standard.'' It is anticipated that this standard will
include qualification requirements for pipeline controllers who are
performing tasks influencing pipeline safety or integrity. It will also
incorporate a set of management practices intended to ensure that
personnel qualifications will be maintained so that they remain
current, and consistent with tasks performed. The completion of ASME
B31Q is imminent. Should ASME B31Q be completed within the time frame
of the Controller Certification project, there may be an opportunity to
select one or more operators to demonstrate and test applicable
elements of the B31Q's controller-related qualification requirements
during the pilot program.
Investigation of Controllers' Interaction with Computers
This project will also examine the interface and data presentation
characteristics of the computer systems that controllers use to operate
pipelines. This work will be supplemented by reviews of other
industrial control room settings. PHMSA/OPS acknowledges that this area
is beyond traditional personnel qualifications, but has identified that
this areas should be addressed as an aspect of the Congressional
recommendations and report due at the conclusion of this project. A
review of the adequacy and presentation of data through the computer
system will be limited to those areas that may affect the controller's
ability to accurately recognize and promptly react to abnormal
operating conditions, or those other conditions that may lead to
abnormal operating conditions. Specific areas of interest are not
necessarily limited to:
1. Access to sufficient pipeline system information.
2. Accuracy of the information provided.
3. Color pallet and number of colors used to convey information.
4. Interaction and navigation within the control system displays.
5. Initiation of controller commands.
6. Security from unauthorized commands and control.
7. Alarm and event configuration and management.
8. Recognition of control system degradation.
9. Alternative means of system monitoring and control in times of
system failures.
10. The conditions surrounding the testing of alternative means of
system monitoring and control.
Pilot Program
The PSIA directs that three operators be selected to formally
participate in the pilot program. The pilot program will be conducted
from the 2nd quarter of 2005 through the 1st quarter of 2006.
Information gathered during the industry survey indicated that many
local distribution company controllers advise and defer action to
district field operations personnel for needed control adjustments.
Therefore, the pilot program will focus on hazardous liquid and gas
transmission pipelines, and will not include an operator who is solely
a local distribution company. In addition to the three formal pilot
participants, additional operators of all types will be contacted
informally to provide supplemental information on practices, processes,
procedures and standards that are used, or could be used to demonstrate
controller qualification thoroughness and effectiveness. The similarity
of some controller function across all operator types will allow
certain portions of the report and recommendations to address all
pipeline operators.
The purpose of the Pilot Program is to: (1) Evaluate the
effectiveness of the practices and administrative processes currently
used by operators in the qualification of controllers; (2) review
training programs, qualification requirements, evaluation methods,
evaluation criteria, success thresholds, and re-evaluation intervals to
determine their adequacy and thoroughness in the controller
qualification process; and (3) explore how these processes and
evaluation criteria could be used to develop uniform protocols and
acceptance criteria for the certification of pipeline operators'
controller qualification processes. The pilot program will be used to
examine and evaluate:
1. Operators' procedures and practices for Operator Qualification
(OQ) regulations for pipeline controllers, including evaluation
practices and frequency, and other regulatory requirements.
2. Methods and metrics employed to measure and document ongoing
individual controller performance.
3. Operator studies or research (past or present) related to
controller qualifications, performance metrics or other related topics.
4. Measures in place to monitor individual controller performance
between formal periodic evaluations.
5. Benefits anticipated from voluntary candidate changes or
enhancements to controller qualifications requirements.
6. Administrative processes used to pre-screen potential
controllers, processes to suspend, revoke and restore a controller's
job assignment, and documentation to substantiate ongoing qualification
adequacy.
OPS invites pipeline operators to volunteer to participate in the
pilot program. Participation of pilot program operators will include
on-site observation by OPS representatives as further described in this
notice, and will also include discussions regarding the development of
project recommendations. Operators wishing to participate in the pilot
must submit descriptions of the controller qualification processes and
systems they are using to validate the training and proficiency of
their controllers. Operators may also include a brief description of
any new techniques that
[[Page 19987]]
they may wish to initiate and evaluate during the course of the pilots.
OPS will review candidate submissions to determine which three best
serve the objectives of the project. Operators wishing to participate
in the pilot program must submit information outlining the systems and
processes used in their controller qualification program by May 16,
2005. Details outlining the submittal process are further explained in
this document and in the docket.
During the pilot program period, OPS will monitor and evaluate
programs of the selected pilot operators to determine the value that
specific practices would add to an adequate qualification program, and
possibly a certification process. The pilot program will not include
operator qualification inspections of the pilot operators. OPS will
have an active dialog with the pilot operators on an ongoing basis,
review preliminary pilot findings with each pilot operator, and seek
their additional input before developing conclusions and
recommendations for the final report to Congress. Estimates of maximum
operator man-hour requirements for the pilots are included in the
docket.
OPS will also be studying research findings and will review
existing qualification and certification processes that are employed or
have been considered for aircraft pilots, aviation flight controllers
railroad engineers and train dispatchers. Other industries where
requirements and operating practices have similarities to pipeline
controllers may also be identified and reviewed.
In conjunction with the pilot program, the overall project team
will review recent incident and accident data to assure that the
activities of the pilot program and subsequent recommendations include
recognition of lessons learned from those events that may have been
attributed to, or aggravated by, controller involvement or lack of
action. This review will encompass a review of OPS records and NTSB
reports and recommendations. Control room personnel evaluation,
administration, certification and performance monitoring practices
employed for Federal Aviation Administration (FAA) Air Traffic
Controllers and Federal Railroad Administration (FRA) Rail System
operations will also be studied.
As required by PSIA, the resulting recommendations and other
criteria will be prepared as a final report and submitted to Congress
in December 2006. The report will focus on pipeline operators'
administrative and procedural processes that are, or could be, employed
to provide an elevated assurance that controllers possess adequate
knowledge, skills and abilities. The report may conclude that existing
or pending regulations and/or industry standards are adequate to ensure
qualified controllers, or that current regulations and/or industry
standards are not sufficient and additional measures are needed. The
report may also conclude that further study should be applied in
certain topical areas.
OPS will summarize the pilot results, merge other project findings
into the project report, and submit the report to Congress by December
17, 2006, as required by the PSIA.
The docket provides additional information regarding the pilot
program. Candidate pilot operators must be regulated under 49 CFR parts
192 and/or 195. A data form has been developed to assist candidate
operators in providing sufficient information to OPS regarding pilot
operator volunteers; this form is available in the docket.
Authority: 49 U.S.C. 60102, 60109, 60117.
Issued in Washington, DC on April 11, 2005.
Theodore L. Willke,
Deputy Associate Administrator for Pipeline Safety.
[FR Doc. 05-7638 Filed 4-12-05; 4:27 pm]
BILLING CODE 4910-60-P