API RP 1161-2014 Recommended Practice for Pipeline Operator Qualification (OQ) (THIRD EDITION) .pdf

1、Recommended Practice for Pipeline Operator Qualification (OQ)API RECOMMENDED PRACTICE 1161 THIRD EDITION, JANUARY 2014Special NotesClassified areas may vary depending on the location, conditions, equipment, and substances involved in any given situation. Users of this recommended practice should con

2、sult with the appropriate authorities having jurisdiction.API publications necessarily address problems of a general nature. With respect to particular circumstances, local, state, and federal laws and regulations should be reviewed.Neither API nor any of APIs employees, subcontractors, consultants,

3、 committees, or other assignees make any warranty or representation, either express or implied, with respect to the accuracy, completeness, or usefulness of the information contained herein, or assume any liability or responsibility for any use, or the results of such use, of any information or proc

4、ess disclosed in this publication. Neither API nor any of APIs employees, subcontractors, consultants, or other assignees represent that use of this publication would not infringe upon privately owned rights.API publications may be used by anyone desiring to do so. Every effort has been made by the

5、Institute to assure the accuracy and reliability of the data contained in them; however, the Institute makes no representation, warranty, or guarantee in connection with this publication and hereby expressly disclaims any liability or responsibility for loss or damage resulting from its use or for t

6、he violation of any authorities having jurisdiction with which this publication may conflict.API publications are published to facilitate the broad availability of proven, sound engineering and operating practices. These publications are not intended to obviate the need for applying sound engineerin

7、g judgment regarding when and where these publications should be utilized. The formulation and publication of API publications is not intended in any way to inhibit anyone from using any other practices.Any manufacturer marking equipment or materials in conformance with the marking requirements of a

8、n API standard is solely responsible for complying with all the applicable requirements of that standard. API does not represent, warrant, or guarantee that such products do in fact conform to the applicable API standard.Neither API nor any of APIs employees, subcontractors, consultants, committees,

9、 or other assignees make any war-ranty or representation, either express or implied, with respect to the accuracy, completeness, or usefulness of the information contained herein, or assume any liability or responsibility for any use, or the results of such use, of any information or process disclos

10、ed in this publication. Neither API nor any of APIs employees, subcontractors, consul-tants, or other assignees represent that use of this publication would not infringe upon privately owned rights. Classified areas may vary depending on the location, conditions, equipment, and substances involved i

11、n any given situation. Users of this recommended practice should consult with the appropriate authorities having jurisdiction.Users of this recommended practice should not rely exclusively on the information contained in this document. Sound business, scientific, engineering, and safety judgment sho

12、uld be used in employing the information contained herein. All rights reserved. No part of this work may be reproduced, translated, stored in a retrieval system, or transmitted by any means, electronic, mechanical, photocopying, recording, or otherwise, without prior written permission from the publ

13、isher. Contact the Publisher, API Publishing Services, 1220 L Street, NW, Washington, DC 20005.Copyright 2014 American Petroleum InstituteForewordNothing contained in any API publication is to be construed as granting any right, by implication or otherwise, for the manufacture, sale, or use of any m

14、ethod, apparatus, or product covered by letters patent. Neither should anything contained in the publication be construed as insuring anyone against liability for infringement of letters patent.Shall: As used in a standard, “shall” denotes a minimum requirement in order to conform to the specificati

15、on.Should: As used in a standard, “should” denotes a recommendation or that which is advised but not required in order to conform to the specification. This document was produced under API standardization procedures that ensure appropriate notification and participation in the developmental process

16、and is designated as an API standard. Questions concerning the interpretation of the content of this publication or comments and questions concerning the procedures under which this publication was developed should be directed in writing to the Director of Standards, American Petroleum Institute, 12

17、20 L Street, NW, Washington, DC 20005. Requests for permission to reproduce or translate all or any part of the material published herein should also be addressed to the director.Generally, API standards are reviewed and revised, reaffirmed, or withdrawn at least every five years. A one-time extensi

18、on of up to two years may be added to this review cycle. Status of the publication can be ascertained from the API Standards Department, telephone (202) 682-8000. A catalog of API publications and materials is published annually by API, 1220 L Street, NW, Washington, DC 20005.Suggested revisions are

19、 invited and should be submitted to the Standards Department, API, 1220 L Street, NW, Washington, DC 20005, standardsapi.org.iiiContentsPage1 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

20、. . . . . . 12 Abbreviations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Guidance for Developing a Written Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

21、 . . . . . . . . . . . . 13.1 Roles and Responsibilities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.2 Participation in an Industry Group . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

22、. . . . . . . . . . . . . . . . . . . . . 23.3 Language . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23.4 Program Improvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

23、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Element 1: Identify Covered Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

24、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24.2 Guidance on Identifying Covered Tasks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34.3 Guidance on Interpreting the Four Part Tes

25、t . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 Element 2: Ensure, Through Evaluation, that Individuals Performing Covered Tasks are Qualified . . . . 45.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

26、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45.2 Guidance on Establishing Criteria for Qualification through Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . 45.3 Other Circumstances that Require Qualification Considerations . . . . . . . . . .

27、. . . . . . . . . . . . . . . . . . . . . . . 86 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 . . . . . . . . . . . . . . . . . . . . . . . . . 96.1 General . . . . . . . . . . . .

28、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96.2 Guidance on Allowing Non-qualified Individuals to Perform Covered Tasks . . . . . . . . . . . . . . . . . . . . . . . 97 Element 4: Evaluate an Individual i

29、f the Operator has Reason to Believe that the Individuals Performance of a Covered Task Contributed to an Accident/Incident as Defined in the Regulation . . . . 97.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

30、. . . . . . . . . . . . . . . . . . 97.2 Guidance on Determination of Appropriate Action Following Individuals Involvement in an Incident or Accident . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108 Element

31、5: Evaluate an Individual if the Operator has Reason to Believe that the Individual is No Longer Qualified to Perform a Covered Task. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

32、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108.2 Guidance on Determining if an Individual Should No Longer be Qualified . . . . . . . . . . . . . . . . . . . . . . . 109 Element 6: Identify Those Covered Tasks and the Intervals at Which Evaluati

33、on of the Individuals Qualifications is Needed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

34、 . . . . . . . . . . . . . . . 119.2 Guidance on Developing Re-evaluation Intervals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1110 Element 7: Communicate Changes that Affect Covered Tasks to Individuals Performing Those Covered Tasks . . . . . . . . . .

35、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1210.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1210.2 Gu

36、idance on Developing Processes to Communicate Changes that Affect Covered Tasks. . . . . . . . . . 1211 Element 8: Provide Training, as Appropriate, to Ensure that Individuals Performing Covered Tasks Have the Necessary Knowledge and Skills to Perform the Tasks in a Manner that Ensures the Safe Oper

37、ation of Pipeline Facilities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1211.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

38、 . . . . 1211.2 Guidance on Providing Training, as Appropriate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13vContentsPage12 Element 9: Notify the Administrator or a State Agency Participating Under 49 U.S.C. Chapter 601 if the Operator Significantly Mod

39、ifies the Program After the Administrator or State Agency Has Verified that it Complies with the Regulation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1312.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

40、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1312.2 Guidance on Determining a Significant Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1312.3 Guidance on Transmitting OQ Program Revisions. . . . . . . . . . . .

41、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1412.4 Recordkeeping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1412.5 Guidance On Developing Recordkeeping Criteria . . . . . . . .

42、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Annex A (normative) Covered Task List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Annex B (normative) Covered Task Standards . . . . . . . . . . . . . .

43、 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Annex C (informative) Evolution of the Covered Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248IntroductionBackgroundThe original purpose of API 1161 was to provide Liquid

44、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 on

45、ly 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

46、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.Pro

47、gram RequirementsEach 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 requir

48、ements included in the written program become enforceable.vii1Recommended Practice for Pipeline Operator Qualification1 ScopeThe purpose of this recommended practice is to provide guidance for developing and maintaining a compliant Operator Qualification (OQ) program. Operators may choose to use all

49、, part or none of this document. Additionally, many components of this recommended practice also apply to Gas Transmission Lines regulated under 49 CFR 192. Therefore, Operators may choose to utilize the recommended practice as applicable for these lines.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 and pipeline system and any and all jurisdictional pipeline components as defined