Recommended Practice for Pipeline Operator Qualification (OQ)

API RECOMMENDED PRACTICE 1161 FOURTH EDITION, FEBRUARY 2019

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Foreword

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Contents

Page

1. Scope 1

2. Normative References 1

3. Terms, Definitions, and Abbreviations 2

   1. Terms and Definitions 2

   2. Abbreviations and Acronyms 5

4. Guidance for Developing an OQ Program 6

   1. Roles and Responsibilities 6

   2. Participation in an Industry Group 6

   3. Language 6

   4. Program Improvement 7

5. Element 1: Identify Covered Tasks 7

   1. General 7

   2. Guidance on Identifying Covered Tasks 7

   3. Guidance on Interpreting the Four-part Test 8

6. Element 2: Ensure, Through Evaluation, That Individuals Performing

   Covered Tasks Are Qualified 9

   1. General 9

   2. Guidance on Establishing Criteria for Qualification Through Evaluation 9

   3. Other Circumstances That Require Qualification Considerations 12

7. Element 3: Allow Individuals That Are Not Qualified Pursuant to the Regulation to Perform a Covered Task if Directed and Observed by an Individual That Is Qualified 13

   1. General 13

   2. Span of Control 13

   3. Guidance on Emergency Response 14

8. Element 4: Evaluate an Individual if the Operator Has Reason to Believe That the Individual's Performance of a Covered Task Contributed to an Accident/Incident

   as Defined in the Regulation 14

   1. General 14

   2. Guidance on Determination of Appropriate Action Following Individual's Involvement

      in an Accident or Incident 14

9. Element 5: Evaluate an Individual if the Operator Has Reason to Believe That the

   Individual Is No Longer Qualified to Perform a Covered Task 15

   1. General 15

   2. Guidance on Determining if an Individual Should No Longer Be Qualified 15

   3. Suspension Process 16

10. Element 6: Identify Those Covered Tasks and the Intervals at Which

    Evaluation of the Individual's Qualifications Is Needed 16

    1. General 16

    2. Guidance on Developing Reevaluation Intervals 16

11. Element 7: Communicate Changes That Affect Covered Tasks to Individuals

    Performing Those Covered Tasks 17

    1. General 17

    2. Guidance on Developing Processes to Communicate Changes That Affect Covered Tasks 17

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       Contents

12. Element 8: Provide Training, as Appropriate, to Ensure That Individuals Performing Covered Tasks Have the Necessary Knowledge and Skills to Perform the Tasks

    Page

    in a Manner That Ensures the Safe Operation of Pipeline Facilities 17

    1. General 17

    2. Guidance on Providing Training, as Appropriate 17

13. Element 9: Notify the Administrator or a State Agency if the Operator Significantly Modifies the Program After the Administrator or State Agency Has Verified That It

    Complies with Regulation 18

    1. General 18

    2. Guidance on Determining a Significant Change 18

    3. Guidance on Transmitting OQ Program Revisions 18

    4. Recordkeeping 19

    5. Guidance on Developing Recordkeeping Criteria 19

Annex A (normative) Covered Task List 21

Annex B (normative) Covered Task Standards 25

Annex C (informative) Evolution of the Covered Tasks 246

Annex D (informative) Testing and Evaluation Guidance 247

Annex E (informative) Program Effectiveness Guidance 253

Bibliography 257

Tables

1. Internal Controls Checklist 247

2. Test Administration Personnel—Evaluator 248

3. Test Administration Personnel—Proctor 248

4. Knowledge Testing 249

5. Evaluation Process 250

6. Training 251

7. Test Security 251

8. Record Control 252

9. Audits 252

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Introduction

Background

The original purpose of API 1161 was to provide liquid pipeline operators (“Operators”) with a guidance document to aid in the development of a written operator qualification (OQ) program to comply with the new OQ regulation (49 CFR Part 195 Subpart G) which became effective October 26, 1999. At that time, the preamble to the final regulation was the only guidance available to assist Operators with program development and program compliance. Since then, the regulation has been revised; Pipeline and Hazardous Materials Safety Administration (PHMSA) has issued advisories, white papers, frequently asked questions (FAQs), protocols and other guidance documents; industry groups have formed and some have issued OQ standards; and Operators have gained compliance experience as their programs have matured. Therefore, it is the goal of the OQ workgroup to revise API 1161 to reflect the relevant additional information that was not available in 2000.

Program Requirements

Each Operator is required to have and follow a written OQ program that includes provisions to address the nine required elements of the OQ regulation. While the Operator has the flexibility to exceed the requirements of the regulation, it is important to note that any and all requirements included in the written program become enforceable.

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Recommended Practice for Pipeline Operator Qualification (OQ)

1. Scope

   
   

   The purpose of this recommended practice is to provide guidance for developing and maintaining an Operator Qualification (OQ) program. This document is comprised of the Recommended Practice along with normative and non-mandatory, informative annexes.

   
   

   This RP is applicable for all pipelines, both onshore and offshore, subject to 49 CFR Part 192 and/or Part 195. References to 49 CFR Part 192 are applicable to gas-transmission-only tasks, and references to 49 CFR Part 195 are applicable to liquid-only tasks. Operators may choose to use all, part, or none of this document as applicable to their operations.

   
   

   Operators should be aware that the OQ regulation is applicable only to United States Department of Transportation (DOT) jurisdictional pipelines. For purposes of this document, the word “pipeline” is used interchangeably with pipeline, pipeline facility, pipeline system, and any and all jurisdictional pipeline components as defined in 49 CFR Part 192 and Part 195.

   
   

2. Normative References

The following referenced documents are indispensable for the application of this document. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies.

API 510, Pressure Vessel Inspection Code: In-service Inspection, Rating, Repair, and Alteration

API Standard 653, Tank Inspection, Repair, Alteration, and Reconstruction

API Standard 1104, Welding of Pipelines and Related Facilities

API Recommended Practice 2350, Overfill Protection for Storage Tanks in Petroleum Facilities

ASME Boiler and Pressure Vessel Code 1, Section IX: Welding and Brazing Qualifications

ASNT Recommended Practice SNT-TC-1A 2, Personnel Qualification and Certification in Nondestructive Testing

U.S. DOT Title 49, Code of Federal Regulations (CFR) Part 192 3, Transportation of Natural and Other Gas by Pipeline

U.S. DOT Title 49, CFR Part 195, Transportation of Hazardous Liquids by Pipeline

1 ASME International, 2 Park Avenue, New York, New York 10016-5990, www.asme.org.

2 American Society for Nondestructive Testing, 1711 Arlingate Lane, P.O. Box 28518, Columbus, Ohio 43228, www.asnt.org.

3 Department of Transportation. The Code of Federal Regulations is available from the U.S. Government Printing Office, Washington, DC 20402, www.gpo.gov/fdsys.

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