ARCHIVED - Maritimes and Northeast Pipeline Management Ltd. - Audit Report OF-Surv-OpAud-M124 01 - Appendix VI: MN&P Public Awareness Program Audit Evaluation Table

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Appendix VI
MN&P Public Awareness Program Audit Evaluation Table

1.0 POLICY AND COMMITMENT

1.1 Policy and Commitment Statements

Expectations: The company shall have a policy approved and endorsed by senior management (the Policy). It should include goals and objectives and commit to improving the performance of the company.

References:[1]
OPR-99 sections 4, 47and 48
CSA Z662-07 Clause 10.2.2

Assessment:
As part of an Operations and Maintenance (O&M) Agreement between M&NP and its Operator, the Operator is implementing and maintaining all aspects of the safety program including public awareness activities. The Operator’s Public Awareness (PA) Program is implemented by the regional Public Awareness, Emergency Preparedness and Lands Coordinators (Coordinators) in New Brunswick and Nova Scotia. The Coordinators consider local conditions and audiences when developing the PA Plan. In the Plan, the objectives indicate “the purpose of the program is to educate specific audiences on responsibilities surrounding, living and working near M&NP’s pipelines.” Public Awareness is one of the key components of safe-guarding the integrity of the pipeline.

The targets for the PA Program are outlined in the PA Plan and are incorporated into the Coordinators work plans for the year. Along with presentations to target groups, the Coordinators also submit “Call before you dig” ads for publication in local trade journals as well as sponsoring related events such as contractor breakfasts.

The Operator was able to demonstrate that it has a policy that outlines the PA Program and its goals which is administered by senior staff.

Compliance Status: Compliant

[1] Each “Reference” in this table contains specific examples of the “legal requirements” applicable to each element but are not necessarily a complete list of all applicable legal requirements.

2.0 PLANNING

2.1 Hazards Identification, Risk Assessment and Control[2]

Expectations: The company shall be able to demonstrate a procedure to identify all possible hazards. The company should assess the degree of risk associated with these hazards. The company should be able to support the rationale for including or excluding possible risks in regard to its environment, safety, integrity, crossings and awareness and emergency management and protection programs (management and protection programs). The company should be able to implement control measures to minimize or eliminate the risk.

References:
OPR-99 sections 4(2), 37, 39, 40, 41
CSA Z662-07 Clause 10.2, 10.14

Assessment:
As part of an O&M Agreement between M&NP and its Operator, the Operator is implementing and maintaining all aspects of the safety program including activities related to third party excavation and construction activities near the M&NP system. According to field staff, PA activities are important controls in addressing the hazards imposed by unauthorized third party activity. For this reason, each regional coordinator applies their knowledge of the area habits and issues in order to identify groups that could pose a risk to the pipeline. Once incorporated into the PA plan, these core groups are contacted annually to re-iterate the message about safe work and recreation around pipelines. For example, all-terrain vehicle (ATV) drivers on the right-of-way (RoW) have been identified as a hazard because the activity can cause rutting on the RoW and a disturbance for the landowner. As a result, the Operator has incorporated into its PA Plan annual communication with the local ATV and snowmobile associations to discuss the trespass and rutting issues.

It was verified that the Coordinators have assessed the risks that certain groups pose to the pipeline and have incorporated them into the PA Plan. Document review and interviews verified that the Operator has identified its hazards as they relate to PA activities and has implemented appropriate controls to minimize the associated risks.

However, PA staff awareness activities are not addressed in the hazard identification process. For example, encountering a hostile audience at awareness sessions. Given the Canada Labour Code requirements for a “Violence in the Workplace policy,” the Operator should ensure that the activities associated with Public Awareness be included and risks assessed accordingly. (See Element 2.2 of Appendix II)

Compliance Status: Compliant with recommendation

[2] Hazard: Source or situation with a potential for harm in terms of injury of ill health, damage to property, damage to workplace environment, or a combination of these. Risk: Combination of the likelihood and consequence(s) of a specified hazardous event occurring

2.2 Legal Requirements

Expectations: The company shall have a verifiable process for the identification and integration of legal requirements into its management and protection programs. The company should have a documented procedure to identify and resolve non-compliances as they relate to legal requirements which includes updating the management and protection programs as required.

References:
OPR-99 sections 4 and 6
PCR Part II sections 4 and 5
CSA Z662-07 Clause 10.2.2(g)

Assessment:
As part of an O&M Agreement between M&NP and its Operator, the Operator is implementing and maintaining all aspects of the safety program. During the interviews staff stated that, for the operational legal requirements, the Operator relies on staff participation in industry groups such as CSA and the Canadian Energy Pipelines Association as well as regulatory updates posted on relevant government websites to relay regulatory information back to the appropriate staff for incorporation into procedures.

Aside from those informal methods, the Board could not confirm that the Operator has a process to review and integrate its legal requirements into its procedure development. For example, although the Operator has established a PA Program as required by the National Energy Board Pipeline Crossing Regulations (PCR), it failed to recognize the legal requirement to assess the effectiveness of the PA Program as required by the PCR Part II section 4.

The Operator could not demonstrate that it had implemented a procedure that would identify and integrate the legal requirements of the PCR into the Public Awareness Program.

Compliance Status: Non-Compliant

2.3 Goals, Objectives and Targets

Expectations: The company should have goals, objectives and quantifiable targets relevant to the risks and hazards associated with the company’s facilities and activities (i.e., construction, operations and maintenance). The objectives and targets should be measurable and consistent with the Policy and legal requirements, and ideally include continual improvement and prevention initiatives, where appropriate.

References:
OPR-99  47 and 48
CSA-Z662-07 Clause 10.2.2(h)(ii)

Assessment:
As part of an O&M Agreement between M&NP and its Operator, the Operator is implementing and maintaining all aspects of the safety program including PA.

Each Coordinator plans and delivers the various aspects of the PA Program. The plans define annual goals for the Program to ensure that key stakeholders are receiving the appropriate awareness as it relates to the activities of the company. According to the Coordinators, they follow a checklist approach to ensure goals of the PA Program are being met and that key audiences are contacted and reminded of safety considerations. As outlined in the 2006 PA Plan, along with annual mail-outs to all of the landowners, there are certain core groups that have been identified for annual presentations. Groups such as ATV associations, excavators, forestry companies, park rangers and municipal planners invite the Operator representatives to make presentations annually. The Coordinators also leverage common goals with other pipeline companies that are now in the area for joint awareness activities. The Coordinators also respond to ad-hoc requests for presentations and the provision of awareness as required. The Board reviewed the plans and the logs of the presentations to confirm that audience and mail-out targets were documented and met. Documentation review also showed that adhoc presentations were also logged and counted.

The Operator was able to demonstrate that it sets PA goals annually as part of its PA Program and that the Coordinators ensure the goals are carried out.

Compliance Status: Compliant

3.0 IMPLEMENTATION

3.1 Organizational Structure, Roles and Responsibilities

Expectations: The company shall have an organizational structure that allows its management and protection programs to effectively function. The company should have clear roles and responsibilities, which may include responsibilities for the development, implementation and management of the management and protection programs.

References:
OPR-99 sections 40, 47 and 48
CSA Z662-07 Clauses 10.2.1 and 10.2.2(b)

Assessment:
As part of an Operations and Maintenance O&M Agreement between M&NP and its Operator, the Operator is implementing and maintaining all aspects of the safety program including Public Awareness. The Coordinators are accountable for the development and the execution of the PA Program. These positions report to the RoW Manager of the northeast region in Head Office (Waltham, MA). The provincial district and regional managers indicated that the Coordinator positions function with little oversight within the region when it comes to PA.

The Coordinators in both Nova Scotia and New Brunswick are responsible for the delivery of PA presentations to the various stakeholder groups. Also, they are solely accountable for the delivery of several presentations, as well as ensuring that the targets are met for the landowner mail-outs. As the Coordinators also had responsibilities with technical crossing work and emergency response, the evaluation and implementation of continual improvement initiatives could be difficult.

Although it was verified that the current structure allows for the execution of the PA Program as described in the existing PA Plan, if circumstances change, enhancements to the program are required or the number of PA activities required increases over time, the Operator may not be able to remain effective in carrying out its PA Program with the current level of staffing. It is therefore recommended that the Operator review the resourcing of PA Program to ensure that the program can remain effective in the future.

Compliance Status: Compliant with recommendation

3.2 Management of Change

Expectations: The company shall have a management of change program. The program should include:

  • identification of changes that could affect the management and protection programs;
  • documentation of the changes; and
  • analysis of implications and effects of the changes, including introduction of new risks or hazards or legal requirements.

References:
OPR-99 section 6
CSA Z662-07 Clause 10.2.2 (g)

Assessment:
As part of an O&M Agreement between M&NP and its Operator, the Operator is implementing and maintaining all aspects of the safety program including Public Awareness. Although a formal management of change process has not been fully implemented, there was evidence of elements of change management being implemented regarding the maintenance and improvement of operational procedures.

It was noted that the Operator has an initiative underway to develop and implement a formal manage of change program. However, the suitability and effectiveness of the new MOC program as it relates to the Public Awareness program could not be verified.

Compliance Status: Non-compliant

3.3 Training, Competence and Evaluation

Expectations: The company shall have a documented training program for employees and contractors related to the company’s management and protection programs. The company shall inform visitors to company maintenance sites of the practices and procedures to be followed. Training requirements should include information about program-specific policies. Training should include emergency preparedness and environmental response requirements as well as the potential consequences of not following the requirements. The company should determine the required levels of competency for employees and contractors. Training shall evaluate competency to ensure desired knowledge requirements have been met. Training programs should include record management procedures. The training program should include methods to ensure staff remains current in their required training. The program should include requirements and standards for addressing any identified non-compliances to the training requirement. Training programs should include record management procedures. The training program should include methods to ensure staff remains current in their required training. The program should include requirements and standards for addressing any identified non-compliances to the training requirement.

References:
OPR-99 sections 28, 29, 30(b), 46, 47, 48 and 56
CSA Z662-07 Clause 10.2.2(c)

Assessment:
As part of an O&M Agreement between M&NP and its Operator, the Operator is implementing and maintaining all aspects of the safety program including Public Awareness. The two regional Coordinators are solely responsible for the delivery and execution of the PA Program. They are long-term employees with considerable and varied experience which allows them to be effective in delivering presentations and responding to concerns. Since the positions have grown with the facilities, there has been no formal training program in place for these positions with the exception of Crisis Communication training given to the Coordinators related to Emergency Management. At the time of the audit, there was no training given to conduct PA activities and no consideration given to identifying training requirements. Interviews indicated that there are no succession plans in place for the Coordinators.

Currently the PA Program is managed and delivered by experienced employees with considerable autonomy. Given that the success of the PA Program depends on the skills of the Coordinator and the role public awareness plays in the prevention of incidents, training requirements or succession plans are required to ensure continued effectiveness of the program.

The Operator did not demonstrate that has included training for PA activities in its Training Program to ensure its ongoing effectiveness.

Compliance Status: Non-compliant

3.4 Communication

Expectations: The company should have an adequate, effective and documented communication process(es):

  • to inform all persons associated with the company’s facilities and activities (interested persons) of its management and protection programs policies, goals, objectives and commitments;
  • to inform and consult with interested persons about issues associated with its operations;
  • to address communication from external stakeholders;
  • for communicating the legal and other related requirements pertaining to the management and protection programs to interested persons; and
  • to communicate the program’s roles and responsibilities to interested persons.

References:
OPR-99 sections 18, 28 and 29
CSA Z662-07 Clauses 10.2.2(d)
PCR Part II sections 4 and 5

Assessment:
As part of an O&M Agreement between M&NP and its Operator, the Operator is implementing and maintaining all aspects of the safety program including Public Awareness.

According to field staff, the PA Plan is reviewed and adjusted annually by the Coordinators in Nova Scotia and New Brunswick. The target audiences have been identified based on landowner issues and groups that will be working around the pipelines. On a regular basis, the Coordinators also receive requests to conduct tailored presentations from groups such as municipalities, ATV associations, forestry contractors and park rangers. They also partner with local construction companies and other buried infrastructure companies to hold contractor breakfasts and sponsor ads about safe digging in local trade journals.

Landowners in both provinces receive annual letters to remind them of the safety considerations. According to staff, there are approximately 456 landowners in Nova Scotia and 475 in New Brunswick.

Presentations were reviewed for content and considered to be comprehensive and appropriate for the intended audiences. Also, the Operator’s website provides adequate contact information, as well as instructions for contacting the Operator for permission to conduct work near the pipeline. The Operator demonstrated that it has communication processes in place that allow it to effectively communicate with interested persons regarding activities related to its pipelines.

Although there are several internal and external mechanisms in place for communicating public awareness activities, the Operator could not demonstrate that there is a formalized and implemented communication plan that outlines the distribution of various types of information to appropriate parties. While interviews confirmed communication is occurring throughout technical networks and through the means identified above, without a formal communication plan, the Operator cannot ensure that all stakeholders and interested parties are receiving the appropriate information in a timely fashion.

The Operator was able to demonstrate it has adequate communication processes regarding public awareness program-related information. The Board recommends that information related to the awareness activities be included in a formalized communication plan.

Compliance Status: Compliant with recommendation

3.5 Documentation and Document Control

Expectations: The company should have documentation to describe the elements of its management and protection programs-where warranted. The documentation should be reviewed and revised at regular and planned intervals. Documents should be revised immediately where changes are required as a result of legal requirements or where failure to make immediate changes may result in negative consequences. The company should have procedures within its management and protection programs to control documentation and data as it relates to the risks identified in element 2.0.

References:
OPR-99 section 27
CSA-Z662-07 Clause 10.2.2(e) and (f)
PCR Part II sections 10 and 11

Assessment:
As part of an O&M Agreement between M&NP and its Operator, the Operator is implementing and maintaining all aspects of the safety program including Public Awareness. The Operator’s awareness program-related documentation is managed in the Fredericton, NB office. The administrator maintains the system manually by posting most recent procedures on the Area Sharepoint site which is available on an internal network. The administrator also plays a key role in the control of changes to the Operations and Maintenance Specifications which are executed through revision request forms. Once the procedure is changed, the administrator posts the new procedures to the intranet. The administrator is the central resource for controlling the process related documents and reports. The PA Program is largely informal and conducted by the Coordinators, who are able to readily absorb and implement any required changes.

The Operator provided documentation which describes it’s PA Program and that the documentation is controlled such that changes to the document are controlled and the most current versions are made available electronically.

Compliance Status: Compliant

3.6 Operational Control - Normal Operations

Expectations: The company should establish and maintain a process to develop, implement and communicate mitigative, preventive and protective measures to address the risks and hazards identified in elements 2.0 and 3.0. The process should include measures to reduce or eliminate risks and hazards at their source, where appropriate.

References:
OPR-99 sections 27-49
CSA Z662-07 Clauses 10.2.2(f) & 10.3.1
PCR Part II sections 4 and 5

Assessment:
As part of an O&M Agreement between M&NP and its Operator, the Operator is implementing and maintaining all aspects of the safety program including Public Awareness. The Operator has an established PA Program to inform those people who live and work around the pipeline of the existence of the pipeline as well as how to obtain permission to work in proximity of the line. Coordinators have established relationships with several local groups to ensure ongoing cooperation of groups that pose a risk to the pipeline due to their activities. For this reason, the Program has evolved over time to include not only landowners, but also local excavators, municipalities, outdoor activity associations and forestry companies.

The Coordinators work to meet the information needs of all interest parties and ensure that they respond to all requests for safety presentations. It was verified that the Operator has implemented a process to communicate mitigative, preventive and protective measures to address the hazards and risks associated with its activities.

Compliance Status: Compliant

3.7 Operational Control - Upset or Abnormal Operating Conditions

Expectations: The company shall establish and maintain plans and procedures to identify the potential for upset or abnormal operating conditions, accidental releases, incidents and emergency situations. The company shall also define proposed responses to these events, and prevent and mitigate the likely consequences and/or impacts of these events. The procedures must be periodically tested and reviewed, and revised where appropriate (for example, after emergency events).

References:
OPR-99 sections 32, 52
CSA-Z662-07 Sections 10.3.2 and 10.14

Assessment:
Upset conditions for crossing-related activities would constitute an emergency and would be mitigated as per the Emergency Response Plan. It was verified that the Operator has conducted table tops that tested these types of emergency situations, such as third party damage. The Emergency Preparedness and Response Program was evaluated as a distinct program as part of this audit, for an evaluation of the Program refer to Appendix IV of this report.

Compliance Status: N/A

4.0 CHECKING AND CORRECTIVE ACTION

4.1 Inspection, Measurement and Monitoring

Expectations: The company shall develop and implement surveillance and monitoring programs. These programs should address contract work being performed on behalf of the company. These programs should include qualitative and quantitative measures for evaluating the management and protection programs and should, at a minimum, address legal requirements as well as the risks identified as significant in elements 2.0 and 3.0. The company should integrate the surveillance and monitoring results with other data in risk assessments and performance measures, including proactive trend analyses. The company shall have documentation and records of its surveillance and monitoring programs.

References:
OPR-99 sections 36 and 39
CSA Z662-07 Clauses 9 and 10
PCR Part II sections 4, 5, 10 and 14(1)

Assessment:
As part of an O&M Agreement between M&NP and its Operator, the Operator is implementing and maintaining all aspects of the safety program including Public Awareness.

As noted elsewhere in this report, the Coordinators review the PA Program annually to ensure that there is contact with the identified target groups. These target audiences have been identified based on landowner issues and groups that will be working around the pipelines. The audit also noted that the Operator tracks and reports on awareness activities conducted in a given year. The Board reviewed the awareness material and presentations and did not note any deficiencies in the information. However, the Board could not verify that the Operator had formally assessed the effectiveness of the PA Program as required by the PCR.

The Operator was not able to demonstrate that there has been an evaluation of the effectiveness of the awareness program and maintained a record of the assessment.

Compliance Status: Non-Compliant

4.2 Corrective and Preventive Actions

Expectations: TThe company shall have a process to investigate incidents or any non-compliances that may occur. The company shall have a process to mitigate any potential or actual issues arising from such incidents or non-compliances. Such mitigation may include appropriate timing and actions for addressing the issues that arise. The company shall demonstrate that it has established a documented procedure to:

  • set criteria for non-compliance;
  • identify the occurrence of any non-compliances;
  • investigate the cause(s) of any non-compliances;
  • develop corrective and/or preventive actions; and
  • effectively implement the required corrective and/or preventive actions.

The company should develop procedures to analyze incident data in order to identify deficiencies and opportunities for improvement in its management and protection programs and procedures.

References:
OPR-99 sections 6 and 52
CSA Z662 Clauses 10.2.2(g)(h) and 10.14
PCR Part II section 13

Assessment:
The Operator utilizes PA activities and related material to mitigate non-compliances with the PCR by providing information regarding safe work practices to parties that have contravened the PCR. Depending on the severity of the non-compliance, the Coordinators will conduct safety presentations with the offenders to ensure that the parties are well-informed of the regulations and safety requirements.

Compliance Status: Compliant

4.3 Records Management

Expectations: The company shall establish and implement procedures to ensure that the records supporting the management and protection programs are retained, accessible and maintained. The company shall, as a minimum, retain all records for the minimum lengths of time as required by the applicable legislation, regulation and standards incorporated by reference into the regulation.

References:
OPR-99 sections 41, 51, 52, 56
CSA Z662-07 Clauses 10.2.2(e) and 10.14
PCR Part II sections 10(c), 11(1) and 16

Assessment:
As part of an O&M Agreement between M&NP and its Operator, the Operator is implementing and maintaining all aspects of the safety program including Public Awareness. Records of PA activities are maintained in the regional offices in binders. The Coordinators maintain records of each event that they attend and each presentation they give. The Coordinators include a list to track the groups they have presented to and awareness activities that they have participated in with other agencies promoting safe work practices around buried infrastructure. They use these records to ensure that they have contacted the core groups for awareness each year. Document review onsite confirmed that records of PA activities have been maintained in each office since the program was established.

The Operator was able to demonstrate that it maintains adequate records of PA activities and related documentation. Landowner contact information is integral to the success of the PA program because of the annual mailouts. The Coordinators use a database to manage landowner contact information. Interviews with field staff found the following deficiencies in the process for managing this information:

  • Verification of the accuracy of the landowner information takes place following the annual mail-outs. Staff make corrections when the letters are sent back “return to sender” or the new residents contact them to correct the addressee information. This process relies heavily on the new residents self-identifying by returning mail and could result in the inaccuracy of the information.
  • Damage prevention awareness information is mailed to known landowners. People who are renting properties along the right of way receive damage prevention awareness material only as part of the Emergency Management Program. As such, it is unclear whether they are made aware that they reside not only in the Emergency Planning Zone, but on a property with a pipeline easement. Those people who live on an easement have legal obligations and safety considerations, as well as the expectations of the pipeline company over and above those of other EPZ residents. The company should ensure that they are aware of the distinction.

During interviews, field staff indicated that they are not aware of a rapid rate of landowner turnover. However, as development encroaches on the pipeline, the current system of managing landowner information may not allow the M&NP’s awareness material in the future to reach the people who need to know and would put M&NP in non-compliance.

The Board recommends that the Operator reassess the maintenance procedure for landowner contact information as well as how they ensure people residing on an easement are informed about damage prevention to ensure that the PA Program can remain effective in communicating to landowners.

Compliance Status: Compliant with recommendation

4.4 Internal Audit

Expectations: The company shall develop and implement a documented process to undertake audits of its management and protection programs and procedures. The audit process should identify and manage the training and competency requirements for staff carrying out the audits. These audits shall be conducted on a regular basis.

References:
OPR-99 sections 53
CSA Z662-07 Clause 10.2.2(h)

Assessment:
As part of an O&M Agreement between M&NP and its Operator, the Operator is implementing and maintaining all aspects of the safety program including Public Awareness. The Operator’s internal audit process currently includes provisions for auditing the following programs: safety; environment; emergency preparedness and response; and integrity. The PA Program for third party activity is not included in the scope of the internal audit. Apart from the audit requirement, there is a separate legal requirement in the PCR section 5 whereby companies must assess the effectiveness of the PA Program and keep a record of that assessment. The Operator did not have records of an assessment of the PA Program.

The Operator was unable to demonstrate that its current audit program includes the PA Program.

Compliance Status: Non-Compliant

5.0 MANAGEMENT REVIEW

5.1 Management Review

Expectations: Senior management should formally review the management and protection programs for continuing suitability, adequacy and effectiveness. The review should be based on appropriate documentation and records including the results of the surveillance, monitoring and audit programs. This review should be formal and documented and should occur on a regular basis. The management review should include a review of any decisions, actions and commitments which relate to the improvement of the programs and the company’s overall performance.

References:
OPR-99 section 53
CSA Z662-07 Clause 10.2.2(h)(iii)
PCR Part II, sections 4 and 5

Assessment:
See Appendix VII for the assessment of this element.

Compliance Status: See Appendix VII for the assessment of this element.

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