[Federal Register Volume 70, Number 72 (Friday, April 15, 2005)]
[Notices]
[Pages 19984-19987]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-7638]


=======================================================================
-----------------------------------------------------------------------

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.

-----------------------------------------------------------------------

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: [email protected]) 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