# 2021 Guidelines for States Participating in the Pipeline Safety Program - **operation:** document - **citation:** PHMSA Guidance, 2021 Guidelines for States Participating in the Pipeline Safety Program - **title:** 2021 Guidelines for States Participating in the Pipeline Safety Program - **source type:** guidance - **agency:** Pipeline and Hazardous Materials Safety Administration - **status:** guidance - **official:** true - **published on:** Not available - **effective on:** Not available - **summary:** 2021 Guidelines for States Participating in the Pipeline Safety Program Document 2021-State-Guidelines-Final-With-Appendices.pdf (26.45 MB) Guidelines for States Participating in the Pipeline Safety Program PDF Effective Date: Wednesday, June 26, 2024 - **machine formats:** - **json:** https://regulus.evalyn.ai/document/phmsa-guidance-2021-guidelines-states-participating-pipeline-safety-program-a6928d94.json - **markdown:** https://regulus.evalyn.ai/document/phmsa-guidance-2021-guidelines-states-participating-pipeline-safety-program-a6928d94.md - **app url:** https://regulus.evalyn.ai/document/phmsa-guidance-2021-guidelines-states-participating-pipeline-safety-program-a6928d94 - **source url:** https://www.phmsa.dot.gov/about-phmsa/working-phmsa/state-programs/2021-guidelines-states-participating-pipeline-safety-program **body:** 2021 Guidelines for States Participating in the Pipeline Safety Program Document 2021-State-Guidelines-Final-With-Appendices.pdf (26.45 MB) Guidelines for States Participating in the Pipeline Safety Program PDF Effective Date: Wednesday, June 26, 2024 <<>> Guidelines for States Participating in the Pipeline Safety Program Revised January 2021 <<>> TA B LE OF C ONTENTS GLOSSARY v __________________________________________________________________ ACRONYMS xii ________________________________________________________________ Preface _____________________________________________________________________ 1 1 The Federal/State Partnership ______________________________________________ 3 1.1 Congressional Intent _________________________________________________________ 3 1.2 Federal Role and Organizational Structure _______________________________________ 3 1.3 State Role and Organizational Structure _________________________________________ 4 1.4 Related Organizations ________________________________________________________ 4 1.4.1 National Association of Pipeline Safety Representatives _____________________________________ 4 1.4.2 National Association of Regulatory Utility Commissioners ___________________________________ 5 1.5 Invitational Travel 5 ___________________________________________________________ 1.6 Mutual Aid 6 _________________________________________________________________ 2 State Participation Requirements ____________________________________________ 8 2.1 Section 60105 Certification 8 ____________________________________________________ 2.2 Section 60106 Agreement ______________________________________________________ 9 2.3 Interstate Agent Agreement __________________________________________________ 10 2.4 Time Defined Agreement _____________________________________________________ 11 2.5 Joint Inspection of an Interstate Operator _______________________________________ 11 2.6 Certification/Agreement Forms _______________________________________________ 12 2.7 Progress Report ____________________________________________________________ 12 2.7.1 Attachment #1: State Jurisdiction and Agent Status ________________________________________ 12 2.7.2 Attachment #2: Total State Field Inspection Activity _______________________________________ 13 2.7.3 Attachment #3: Facilities Subject to State Safety Jurisdiction ________________________________ 13 2.7.4 Attachment #4: Pipeline Incidents/Accidents _____________________________________________ 14 2.7.5 Attachment #5: State Compliance Actions 14 _______________________________________________ 2.7.6 Attachment #6: State Record Maintenance and Reporting ___________________________________ 14 2.7.7 Attachment #7: State Employees Directly Involved in the Pipeline Safety Program _______________ 14 2.7.8 Attachment #8: State Compliance with Federal Requirements ________________________________ 14 2.7.9 [RESERVED] _____________________________________________________________________ 15 2.7.10 Attachment #10: Performance and Damage Prevention Questions ___________________________ 15 2.8 Responsibility to Assist PHMSA in the Work Management System __________________ 15 3 State Regulatory Responsibility _____________________________________________ 17 3.1 Adoption of Federal Regulations and Requirements ______________________________ 17 3.2 WinDOT 17 __________________________________________________________________ 3.3 Waiver of Federal Regulations ________________________________________________ 17 3.3.1 Interstate Pipelines __________________________________________________________________ 17 3.3.2 Intrastate Pipelines __________________________________________________________________ 17 4 Personnel 20 ______________________________________________________________ 4.1 State Agency Minimum Required Inspection Activity _____________________________ 20 Guidelines for States Participating in the Pipeline Safety Program i Revised January 2021 <<>> TA B LE OF C ONTENTS 4.1.1 Determination of Inspection Activity ___________________________________________________ 20 4.1.2 Peer Review 23 _______________________________________________________________________ 4.1.3 Inspection Activity Examples _________________________________________________________ 23 4.1.4 Updates to SICT ___________________________________________________________________ 24 4.2 Allocation of Effort 29 __________________________________________________________ 4.3 Training ___________________________________________________________________ 29 4.3.1 Required Training __________________________________________________________________ 29 4.3.2 Course Re-Testing __________________________________________________________________ 32 4.3.3 Waivers from Training ______________________________________________________________ 32 4.3.4 Procedures for Requesting a Training Waiver _____________________________________________ 33 4.4 Continuing Education and State Inspector Mentoring Program _____________________ 33 4.5 Changes in State Agency Personnel ____________________________________________ 34 4.6 Individual Qualifications _____________________________________________________ 34 4.7 Program Manager Training __________________________________________________ 36 4.8 New Program Manager Orientation ____________________________________________ 36 5 Inspection and Compliance Program ________________________________________ 37 5.1 Inspection _________________________________________________________________ 37 5.2 Compliance ________________________________________________________________ 45 5.2.1 Procedures for State Agencies with a Section 60105 Certification 46 _____________________________ 5.2.2 Procedures for State Agencies with a Section 60106 Agreement or Interstate Agents ______________ 46 5.2.3 PHMSA Orders to Operators __________________________________________________________ 46 5.2.4 Referring Concerns of Possible Criminal Activity to the Office of Inspector General (OIG): ________ 47 6 Failure Investigation and Safety-Related Conditions 47 ___________________________ 6.1 Investigation of Pipeline Failures ______________________________________________ 47 6.2 On-scene investigations ______________________________________________________ 48 6.3 Basic Investigative Procedures ________________________________________________ 51 6.4 Incident Investigation Procedures _____________________________________________ 51 6.5 PHMSA AID Daily Telephonic Investigation Report ______________________________ 51 6.6 Access to NRC Reports ______________________________________________________ 52 6.7 Safety-Related Conditions 52 ____________________________________________________ 7 Damage Prevention Program and One Call Notification ________________________ 54 7.1 Damage Prevention _________________________________________________________ 54 7.2 One Call Notification 55 ________________________________________________________ 7.3 Damage Prevention and One-Call Grants 57 _______________________________________ 8 State Agency Program Performance _________________________________________ 58 8.1 Annual Program Evaluation __________________________________________________ 58 8.2 Compliance with Program Requirements _______________________________________ 60 8.3 Recordkeeping _____________________________________________________________ 61 Guidelines for States Participating in the Pipeline Safety Program Revised January 2021 ii <<>> TA B LE OF C ONTENTS 8.4 Attendance at NAPSR Meetings _______________________________________________ 61 8.5 State Pipeline Safety Training and/or Seminars __________________________________ 62 9 DOT Grant-in-Aid Program _______________________________________________ 63 9.1 Scope of Grant _____________________________________________________________ 63 9.2 Address 63 ___________________________________________________________________ 9.3 Eligibility __________________________________________________________________ 63 9.4 General Obligations _________________________________________________________ 64 9.5 Application ________________________________________________________________ 64 9.5.1 Attachment #1: Description of State Pipeline Safety Program. ________________________________ 64 9.5.2 Attachment #2: Pipeline Safety Program Estimated Budget. _________________________________ 66 9.6 Annual Funding Level _______________________________________________________ 66 9.7 Grant Allocation and Percentage of Funding ____________________________________ 9.7.1 Grant Allocation Formula for Grant Award ______________________________________________ 9.7.2 State Performance Score 66 67 67 _____________________________________________________________ 9.8 Payment Agreement (Notice of Grant Award) ___________________________________ 70 9.9 Certification Regarding Lobbying and Disclosure of Lobbying Activities _____________ 71 9.10 Mid-Year Request for Reimbursement _________________________________________ 71 9.11 Request for Advance Payment - Travel to NAPSR Meetings ________________________ 72 9.12 Year-end Request for Reimbursement and Cost Summary _________________________ 72 9.13 Special Initiatives 73 ___________________________________________________________ 9.14 Withholding of Grant Funds - Suspension and/or Termination of Grants _____________ 73 9.15 Deposit of Grant Funds ______________________________________________________ 74 9.16 Eligibility of Program Costs __________________________________________________ 74 9.16.1 Direct Costs 74 _____________________________________________________________________ 9.16.2 Indirect Costs 77 ____________________________________________________________________ 9.16.3 Standards for Documentation of Personnel Expenses _____________________________________ 78 9.16.4 Unallowable Costs 78 ________________________________________________________________ 9.17 Pipeline Safety Grant Program Review _________________________________________ 78 9.17.1 Pre-Review 79 ______________________________________________________________________ 9.17.2 Grant Review 79 ____________________________________________________________________ 9.17.3 Post-Review 79 _____________________________________________________________________ 9.17.4 Adjustments and Penalties __________________________________________________________ 79 9.17.5 Appeal of Findings ________________________________________________________________ 80 9.18 Procurement Standards 80 ______________________________________________________ 9.19 Procurement Procedures 80 _____________________________________________________ 9.20 Contracts Management ______________________________________________________ 80 9.21 Internal Controls 80 ___________________________________________________________ 9.22 Real Property ______________________________________________________________ 81 9.23 Personal Property ___________________________________________________________ 81 Guidelines for States Participating in the Pipeline Safety Program Revised January 2021 iii <<>> TA B LE OF C ONTENTS 9.24 Code of Conduct 81 ____________________________________________________________ 9.25 Conflict of Interest and Mandatory Disclosures __________________________________ 81 9.26 Audit Requirements (2 CFR 200 Subpart F) _____________________________________ 81 9.27 PHMSA Office of Civil Rights Review – Title VI 82 _________________________________ 9.28 Grant-in-Aid Program Calendar of Events ______________________________________ 83 9.29 Description of Activities ______________________________________________________ 84 9.29.1 Base Grant Application (Gas & Hazardous Liquid) _______________________________________ 84 9.29.2 One Call Grant 84 ___________________________________________________________________ 9.29.3 Year End Payment Process __________________________________________________________ 84 9.29.4 One Call Progress Report ___________________________________________________________ 84 9.29.5 One Call Allocation 84 _______________________________________________________________ 9.29.6 Progress Report __________________________________________________________________ 84 9.29.7 Allocation 84 _______________________________________________________________________ 9.29.8 Payment Agreement – (Notice of Grant Award) _________________________________________ 84 9.29.9 Mid-Year Reimbursement 85 __________________________________________________________ 9.29.10 Program Evaluation ______________________________________________________________ 85 10 Federal-State Tracking and Reporting – “FedSTAR” 86 ___________________________ 10.1 Purpose ___________________________________________________________________ 86 10.2 Location and Procedures 86 _____________________________________________________ 10.3 Facilitating Various Program Documentation 87 ____________________________________ 10.4 Facilitating Grant Financials __________________________________________________ 87 10.5 Other FedSTAR Functions 89 ___________________________________________________ 10.6 PHMSA State Program Management Functions _________________________________ 89 Appendix Summary __________________________________________________________ 90 Guidelines for States Participating in the Pipeline Safety Program Revised January 2021 iv <<>> Glossary GLOSSARY Act See Chapter 601, Title 49 of the U.S. Code (2011 version) Agency See State Agency Agreement Certification The State agency assumes inspection responsibility for facilities and reports probable violations to PHMSA for compliance action. The State agency assumes safety responsibility with respect to intrastate facilities over which it has jurisdiction under State law. Each grantee who receives a Federal grant exceeding $100,000 must submit a certification form. Certification Regarding Lobbying CFDA Catalog of Federal Domestic Assistance. A reference compilation of all grant programs sponsored by the Federal government. PHMSA’s CFDA number is 20.700 for the Pipeline Safety Grant Program. Chapter 601, Title 49 of the U.S. Code (2016) Throughout this manual, Sections 60101 – 60140 refer to Chapter 601, Title 49 of the United States Code (2016). Chapter 601 is the recodification of the Natural Gas Pipeline Safety Act of 1968, as amended (49 USC app 1671 et seq.), and the Hazardous Liquids Pipeline Safety Act of 1979, as amended (49 USC app 2001 et seq.). Code of Federal Regulations, Title 49 (49 CFR)-Pipeline Safety Part 40 Procedures for Transportation Workplace Drug Testing Programs Part 190 Pipeline Safety Programs and Rulemaking Procedures Part 191 Transportation of Natural and Other Gas by Pipeline: Annual Reports Incident Reports, and Safety-Related Condition Reports Part 192 Transportation of Natural and Other Gas by Pipeline: Minimum Federal Safety Standards Part 193 Liquefied Natural Gas Facilities: Federal Safety Standards Part 194 Response Plans for Onshore Oil Pipelines Part 195 Transportation of Hazardous Liquids by Pipeline Part 196 Protection of Underground Pipelines from Excavation Activity Guidelines for States Participating in the Pipeline Safety Program v Revised January 2021 <<>> Glossary Part 198 Part 199 Regulations for Grants to Aid State Pipeline Safety Programs Drug and Alcohol Testing Compliance Action Department of Transportation (“DOT”) A compliance action is an action or series of sequential actions taken to enforce federal or state pipeline regulations. One compliance action can cover multiple probable violations. A compliance action may take the form of a letter warning of future penalties for continued violation, an administratively imposed monetary sanction or order directing compliance with the regulations, an order directing corrective action under hazardous conditions, a show-cause order, a criminal sanction, a court injunction, or a similar formal action. Reference may include any or all the following: U.S. Department of Transportation, Pipeline and Hazardous Materials Safety Administration, Office of Pipeline Safety. This is the computer application available over the internet which is used by Pipeline Safety program offices to enter the required federal documentation and information. Federal State Tracking and Reporting (“FedSTAR”) Grant Grant Agreement Grant Application Grantee Grant Period Grants.gov Funds or aid in kind to carry out specified programs, services, or activities. All provisions and requirements of the Pipeline Safety Grant Program, including those specified in the Grant Application, Payment Agreement (Notice of Grant Award), these Guidelines, and any instructions or directives issued by the PHMSA, DOT, or other Federal agency relative to the management of Federal grant programs. This form is to provide PHMSA with information concerning the State agency’s need for Federal financial support for its pipeline safety program. The department or agency of State government which is responsible for the administration of the pipeline safety grant. Also referred to as “recipient” or “State agency.” The grant period extends from the effective date of the Payment Agreement (Notice of Grant Award), January 1, to the expiration date, December 31, unless otherwise arranged. Also referred to as the “program year.” Grants.gov is a central storehouse for information on federal grants. Guidelines for States Participating in the Pipeline Safety Program Revised January 2021 vi <<>> Glossary Grant Program Inspection, Standard Inspection Person-Day Inspection Unit • Privately Owned Distribution System Those activities and operations of the State agency which are necessary to carry out the purposes of the grant, including any portion of the program financed by the grantee. This technical usage of the phrase should not be confused with the Pipeline Safety Grant Program (sometimes shortened to “Grant Program”), which is the Federal assistance program in support of the State agency’s pipeline safety program. An on-site evaluation of an inspection unit for compliance with all applicable Federal or State standards. This includes a thorough compliance review of the operator’s plans, procedures, programs, records, physical plant, and work in progress. This would include inspections on LNG facilities. See Chapter 5 for guidance. All or part of a day spent by Agency staff – Supervisor(s) and/or Inspector(s)/Investigator(s) (including travel) in on-site or virtual evaluation of an operator’s system to determine compliance with Federal or State pipeline safety regulations; or in on-site investigation of a pipeline incident; or in job-site training of an operator. (See section 5.1 for description of inspection types) Time counted for such activities should be reported as a maximum of one inspection person-day for each day devoted to safety issues, regardless of the number of operators visited during that day. (e.g. You may evaluate two operators in the same day and record each inspection visit as 0.5 person-day, or actual fraction of a day, for each operator provided the total does not exceed 1.0 person-day) On a limited basis, the inspector may count in-office inspection time to review operator written: plans, procedures, programs and records to effectively use on-site inspection time, as approved by the program manager and as noted in the annual progress report. In-office inspection time must be adequately documented and made part of the State agency’s inspection records. All or part of an operator’s pipeline facilities under the control of an administrative unit that provides sufficient communication and controls to ensure uniform design, construction, operation, and maintenance procedures for the facilities. The application of the inspection unit concept will ensure inspection coverage of an operator’s entire system and enhance Federal/State management of work load and program evaluation. Determination of inspections will be based on the following guidelines, but where unique situations exist, good logic and judgment must be exercised when identifying the parameters of the unit. The inspection unit could be an operating area such as a specific city or metropolitan area, or a group of towns, and may include high pressure distribution operated and maintained by the operator. The unit selected should be that which provides the desired commonality. However, Guidelines for States Participating in the Pipeline Safety Program Revised January 2021 vii <<>> Glossary because of the greater number of pipeline facilities in some large metropolitan distribution areas, multiple units may be appropriate. In selecting the unit, consideration should be given to the size of the area covered, work location, record location, and line of supervision. If the distribution system contains transmission lines where transmission integrity management plans are required, those system(s) should be considered separate intrastate transmission inspection unit(s). • Gas Transmission and Hazardous Liquid Pipeline System (including Ethanol) The inspection unit should include up to 500 miles of pipeline right-of-way including any compressor stations or pumping facilities within the designated limits. In some circumstances, such as densely populated areas and/or environmentally sensitive areas, and/or where judged necessary based on local conditions, a separate inspection unit can be established. • Liquefied Natural Gas (LNG) Facility Each LNG facility should be considered a single inspection unit. • Master Meter System Each master meter system should be considered a single inspection unit. However, more than one master meter system should be considered a single inspection unit if all facilities involved are owned, operated and maintained under common supervisory control. • Municipality Each municipality should be considered a single inspection unit unless its system, similar to privately owned distribution systems, contains transmission lines where transmission integrity management inspections are done in which case the transmission system should be a separate inspection unit. Also operating conditions/characteristics could suggest additional inspection units be considered. • Propane-Air System/Petroleum Gas System Propane-Air System/Petroleum Gas System- Each system should be considered a single inspection unit. However, more than one propane-air/petroleum gas system should be considered a single inspection unit if all facilities involved are owned, operated and maintained under common supervisory control. • Regulated Gathering Pipeline System Each regulated gathering pipeline system can be considered as a single inspection unit. Circumstances may exist when an operator has more than one regulated gathering system separated into individual inspection units. Guidelines for States Participating in the Pipeline Safety Program Revised January 2021 viii <<>> Glossary Interstate Agent Mid-year Request for Reimbursement The State agency assumes inspection responsibility for interstate facilities and reports probable violations to PHMSA for compliance action. If a State desires mid-year payment, it may return one copy of a completed OMB Standard Form 270 to PHMSA requesting a mid-year payment. Used to amend the Federal grant amount in the Payment Agreement (Notice of Grant Award). Modifications to Payment Agreement (Notice of Grant Award) National Response Center (NRC) (1-800- 424-8802) National Transportation Safety Board (NTSB) Noncompliance Office of Pipeline Safety (OPS) The federal government’s national communications center, which is staffed 24 hours a day by U.S. Coast Guard officers and marine science technicians. The NRC receives all reports of releases involving hazardous substances and oil that trigger the federal notification requirements under several laws. This “telephonic” report data is shared with PHMSA via an information system. This Federal agency was created by Congress in the Department of Transportation Act of 1966. Although NTSB’s authority is limited to transportation failure investigations, its mission relating to pipeline safety is to: 1. Investigate significant failures and report the circumstances relating to each failure and its probable cause. 2. Make recommendations to the Secretary, the pipeline operators, manufacturers, associations, and interested parties to minimize the possibility of recurrence of similar failures. 3. Release reports deemed to be in the public interest. 4. Conduct special studies and investigations on matters regarding safety in pipeline transportation and failure prevention. A violation or probable violation of any section or any subsection of Federal or State pipeline safety regulations. For the purpose of this manual, OPS is the U.S. Department of Transportation, Pipeline and Hazardous Materials Safety Administration’s Office of Pipeline Safety. Guidelines for States Participating in the Pipeline Safety Program Revised January 2021 ix <<>> Glossary OMB Standard Form 270-Request for Advance or Reimbursement Payment Agreement (Notice of Grant Award) Performance Criteria Personal Property Submitted by a State agency for Mid-Year Request for Reimbursement, Year-end Request for Reimbursement, and Request for Advance Payment - Travel to NAPSR Meetings The formal document that allocates a specific amount of Federal funds to a State agency for the reimbursement of not more than 80 percent of the expenses of a pipeline safety program. Criteria used in assigning points for allocation of grant funds. Property of any kind except real property. It may be tangible (having physical existence), or intangible (having no physical existence), such as patents, inventions, and copyrights, both having a useful life of more than 1 year and an acquisition cost of at least $5,000. Pipeline and Hazardous Materials Safety Administration is the agency under the U.S. Department of Transportation responsible for pipeline safety oversight. Pipeline and Hazardous Materials Safety Administration (PHMSA) PHMSA Inspector Training and Qualifications Division (TQ) Pipeline Program Cost Summary The safety training organization operated by PHMSA located at 3700 S. MacArthur Blvd, Suite B, Oklahoma City, OK 73179- 7612. The contact telephone number is 405-686-2310. Probable Violation This form compares estimated budget figures with final expenses incurred for the program, and is submitted by a State agency with the Year-end Request for Reimbursement. A probable violation is a potential non-compliance with any section or, where a section is divided into subsections (a), (b), (c), etc., any subsection of federal or state pipeline regulations. Each numbered section should be counted separately. Multiple non-compliances of a numbered section discovered on the same inspection should be counted as one probable violation with multiple pieces of evidence (i.e. during a unit inspection it was discovered that an operator failed to check and service 6 distribution valves, in reference to §192.747 Valve maintenance: Distribution systems, this is one probable violation of section 192.747(a) with six Program pieces of evidence and not six probable violations). The planned undertaking of the State agency’s pipeline safety activities as stated in the application for Federal assistance. Guidelines for States Participating in the Pipeline Safety Program x Revised January 2021 <<>> Glossary Program Budget A schedule of proposed expenditures that is allowable, necessary, and reasonable for proper and efficient execution of the pipeline safety program. Program Costs All allowable costs (as set forth in 2 CFR 200) incurred by a State agency in accomplishing the objectives of the Pipeline Safety Grant Program during the grant period. Program Manager The person designated by the State agency as responsible for all activities of the pipeline safety program Program Year See “Grant Period.” Real Property Land, land improvements, structures, and appurtenances thereto, Excluding movable machinery and equipment. Recipient See “Grantee.” Region Director (RD) The individual responsible for all activities of the designated PHMSA region Region Office One of five offices delegated the authority to carry out the field activities for PHMSA Special Initiatives State Agency State Program Personnel Supervisor Year-End Request for Reimbursement Initiatives occasionally issued by PHMSA for a limited purpose. The division of each State, including the District of Columbia and Puerto Rico, authorized through a certification or agreement with the Department of Transportation (DOT) to administer a pipeline safety program. Also referred to as “grantee” or “recipient.” The PHMSA headquarters staff person (i.e. State Liaison) who provides technical assistance, support and evaluates State agency programs. Individual in a State Agency supervising pipeline safety inspectors/investigators and so designated in Attachment 7 of the annual Progress Report. This does not include individuals solely supervising damage prevention/technical staff. One copy of a completed OMB Standard Form 270 is completed by a State agency to submit total program costs for the previous year to PHMSA Guidelines for States Participating in the Pipeline Safety Program Revised January 2021 xi <<>> Acronyms ACRONYMS AID Accident Investigation Division CFDA Catalog of Federal Domestic Assistance CFR Code of Federal Regulations DOT U.S. Department of Transportation FedSTAR Federal State Tracking and Reporting LNG Liquefied Natural Gas LPG Liquefied Petroleum Gas MOU Memorandum of Understanding NAPSR National Association of Pipeline Safety Representatives NARUC National Association of Regulatory Utility Commissioners NRC National Response Center NTSB National Transportation Safety Board O & M Operation and Maintenance OMB Office of Management and Budget PHMSA Pipeline and Hazardous Materials Safety Administration PSP PHMSA State Programs PY Person-Year RCFA Root Cause Failure Analysis RD Region Director SUDS State Uploaded Document System (within FedSTAR) TQ PHMSA Inspector Training and Qualifications Division USC United States Code Guidelines for States Participating in the Pipeline Safety Program Revised January 2021 xii <<>> The Federal/State Partnership Preface The Guidelines for States Participating in the Pipeline Safety Program (Guidelines) contain guidance for how State Pipeline Safety Programs must conduct and execute their responsibilities delegated through certification or agreement by the Secretary of Transportation pursuant to certain sections of Title 49 of the United States Code. The Secretary of Transportation has delegated the administration of the certifications and agreements to the Pipeline and Hazardous Materials Safety Administration (PHMSA). These Guidelines are not regulations or rules promulgated by PHMSA. This Guidelines are provided to promote consistency among the many state agencies that participate under certifications and/or agreements. The guidance contains expectations for the execution of a state agency’s responsibilities which are evaluated annually. The performance evaluation results are utilized to determine continued certification/agreement with a state agency and annual grant funding amounts to the state agency. The Guidelines and performance of expectations are administered by PHMSA’s State Programs Division. The Guidelines are typically reviewed and revised annually. The process for the annual review and revision are as follows: 1. PHMSA State Programs Division’s State Program Coordinator (SPC), creates a copy of the recent edition of the Guidelines in MS Word. “Track Changes” option is turned on in the document to illustrate the revisions (redline copy). 2. Starting January 1, a listing of proposed changes is maintained by the SPC. Changes are typically proposed by members of the State Programs Division, Regional Directors, PHMSA Training and Qualifications and members of the National Association of Pipeline Safety Representatives (NAPSR). 3. Between January 1 and June 1, the SPC obtains proposed language from the individuals proposing changes. 4. During the June Meeting of the NAPSR Grant Allocation Committee (GAC), the listing of revisions and the redline copy is presented by the SPC. Discussion and editing takes place during the meeting. A draft is provided to the GAC members and NAPSR’s Administrative Manager. 5. NAPSR’s Administrative Manager distributes the listing and redline copy to NAPSR Board Members. Guidelines for States Participating in the Pipeline Safety Program 1 Revised January 2021 <<>> The Federal/State Partnership 6. Between June and September additional proposed changes are captured and added to the listing. Proposed language for the changes are also captured. The redline copy is edited to include the additional changes. 7. The SPC provides the listing and redline copy to all State Programs Division team members for review and comments. 8. During the GAC’s October Meeting the SPC makes another presentation which includes the additional changes received since the June Meeting. Discussion and editing is completed during the meeting. 9. Following the GAC October Meeting, the SPC distributes the listing and redline copy to all members of NAPSR, all Regional Directors and PHMSA Training and Qualifications for review and comments (at least 30 days is given for review). 10. The SPC compiles all comments. State Programs Division reviews comments. Comments usually result in further edits or if not, the commenter is provided with reasons why it was not accepted for inclusion. Upon completion of this step the document is prepared for publication and distribution. The updated Guidelines are distributed by December 31st . Guidelines for States Participating in the Pipeline Safety Program 2 Revised January 2021 <<>> The Federal/State Partnership 1 The Federal/State Partnership 1.1 Congressional Intent Chapter 601 provides the statutory basis for the pipeline safety program and establishes a framework for promoting pipeline safety through exclusive Federal authority for regulation of interstate pipeline facilities and State Authority for all or part of the intrastate pipeline facilities under annual certification or agreement. Chapter 601 authorizes Federal grants-in-aid of not more than 80 percent of a State agency’s personnel, equipment, activities and other allowable costs for its pipeline safety program. The resulting Federal/State partnership is the cornerstone for ensuring uniform implementation of the pipeline safety program nationwide. Chapter 601 can be found in Appendix A. 1.2 Federal Role and Organizational Structure The Pipeline and Hazardous Materials Safety Administration’s (PHMSA) mission is to protect people and the environment from the risks inherent in transportation of hazardous materials - by pipeline and other modes of transportation. The agency’s goals are: • Safety: To reduce the risk of harm to people due to the transportation of hazardous materials by pipelines and other modes. • Environmental Stewardship: To reduce the risk of harm to the environment due to the transportation of oil and hazardous materials by pipeline and other modes. • Reliability: To help maintain and improve the reliability of systems that deliver energy products and other hazardous materials. • Global Connectivity: To harmonize and standardize the requirements for pipeline and hazardous materials transportation internationally, to facilitate efficient and safe transportation through ports of entry and through the supply chain. • Preparedness and Response: To reduce the consequences (harm to people, environment, and economy) after a pipeline or hazmat failure has occurred. Under delegation from the Secretary of the Department of Transportation (DOT), PHMSA directly administers the program and develops issues and enforces minimum safety regulations for interstate and intrastate pipelines. Guidelines for States Participating in the Pipeline Safety Program 3 Revised January 2021 <<>> The Federal/State Partnership These regulations are written to ensure safety in (1) the design, construction, testing, operation, and maintenance of pipeline facilities and in (2) the siting, construction, operation, and maintenance of liquefied natural gas (LNG) facilities. PHMSA ensures compliance with regulations through operator inspections, enforcement actions, and accident investigations. In addition, the PHMSA Training and Qualification Program (TQ) conducts training in application of the regulations. PHMSA also administers grant-in-aid funding to States, conducts research, and collects and analyzes safety data. PHMSA Headquarters, located in Washington D.C., administers the grant-in- aid program to support State agencies conducting gas and hazardous liquid pipeline safety programs. The PHMSA Region Offices serve as the focal point for interstate pipeline compliance activities and intrastate facilities not under state jurisdiction. The region staff provides technical assistance and support to State agency programs. Headquarters supports the work of the five PHMSA Region Offices. State agencies are encouraged to contact their respective State Liaison or Region Director if they have any questions about technical or other inspection issues. The Director - State Programs should be contacted if the State Liaison or Region Director cannot be reached. 1.3 State Role and Organizational Structure A State delegates responsibility for pipeline safety to a State agency. The State agency may be a Public Utility Commission, a State Fire Marshal, a State Public Service Commission, or other office. State agencies under existing law have jurisdiction over most intrastate gas, liquefied natural gas and hazardous liquid facilities within their respective States. State agency duties normally consist of operator inspections, compliance and enforcement, safety programs, accident investigations, pipeline construction inspections, and record maintenance and reporting. 1.4 Related Organizations 1.4.1 National Association of Pipeline Safety Representatives The National Association of Pipeline Safety Representatives (NAPSR), established in 1982, is an organization of State agency pipeline safety managers, inspectors, and technical personnel who support, encourage, develop, and enhance pipeline safety. NAPSR provides an effective mechanism for fostering the Federal/State partnership. The NAPSR Articles of Association set forth the purpose and objectives of the organization and the procedures for electing national and region officers. More important, the Articles of Association establish the steps for adopting resolutions to raise serious pipeline safety concerns of national scope for PHMSA consideration in regulatory and enforcement activities. Guidelines for States Participating in the Pipeline Safety Program 4 Revised January 2021 <<>> The Federal/State Partnership 1.4.2 National Association of Regulatory Utility Commissioners The National Association of Regulatory Utility Commissioners (NARUC) is an organization of Federal and State agencies engaged in the regulation of utilities and carriers. Its chief objective is to improve the quality and effectiveness of utility regulation in the United States. Through its Staff Subcommittee on Pipeline Safety under the Committee on Gas, NARUC provides a communication channel among State public utility agencies, State agency pipeline safety program managers, and Federal agencies. Like NAPSR, the NARUC Staff Subcommittee on Pipeline Safety holds regular meetings, issues resolutions, and establishes working groups to deal with safety issues. 1.5 Invitational Travel In support of NAPSR and NARUC initiatives, PHMSA may provide invitational travel (100% funding) for the following: 1. The current NAPSR Chair and - **truncated:** true - **body characters:** 2377736