### OPERATOR INSPECTION-SPECIFIC INFORMATION

+--------+-----+-----------+---------------+-------------------------+
| ##     |     | #####     |               |                         |
| ### In |     |      thro |               |                         |
| specti |     | ugh       |               |                         |
| on Dat |     |           |               |                         |
| e(s):  |     |           |               |                         |
+--------+-----+-----------+---------------+-------------------------+
| **Name |     |           |               |                         |
| of     |     |           |               |                         |
| Opera  |     |           |               |                         |
| tor**: |     |           |               |                         |
+--------+-----+-----------+---------------+-------------------------+
| **OPS  |     |           |               |                         |
| Op     |     |           |               |                         |
| erator |     |           |               |                         |
| ID**:  |     |           |               |                         |
+--------+-----+-----------+---------------+-------------------------+
| *      |     |           |               |                         |
| *State |     |           |               |                         |
| /Other |     |           |               |                         |
| ID**:  |     |           |               |                         |
+--------+-----+-----------+---------------+-------------------------+
| **H.Q. |     |           | **Company     |                         |
| Addr   |     |           | Officer:**    |                         |
| ess:** |     |           |               |                         |
|        |     |           |               |                         |
|        |     |           |               |                         |
+--------+-----+-----------+---------------+-------------------------+
|        |     |           | **Title:**    |                         |
+--------+-----+-----------+---------------+-------------------------+
|        |     |           | #####         |                         |
|        |     |           | Phone Number: |                         |
+--------+-----+-----------+---------------+-------------------------+
|        |     |           | **Fax         |                         |
|        |     |           | Number:**     |                         |
+--------+-----+-----------+---------------+-------------------------+
| **Web  |     |           | **Email       |                         |
| S      |     |           | Address:**    |                         |
| ite:** |     |           |               |                         |
+--------+-----+-----------+---------------+-------------------------+
| **Emp  |     |           |               |                         |
| loyees |     |           |               |                         |
| C      |     |           |               |                         |
| overed |     |           |               |                         |
| by OQ  |     |           |               |                         |
| P      |     |           |               |                         |
| lan:** |     |           |               |                         |
+--------+-----+-----------+---------------+-------------------------+
| *      |     |           |               |                         |
| *Contr |     |           |               |                         |
| actors |     |           |               |                         |
| C      |     |           |               |                         |
| overed |     |           |               |                         |
| by OQ  |     |           |               |                         |
| P      |     |           |               |                         |
| lan:** |     |           |               |                         |
+--------+-----+-----------+---------------+-------------------------+
| *      |     |           |               |                         |
| *Total |     |           |               |                         |
| M      |     |           |               |                         |
| ileage |     |           |               |                         |
| Re     |     |           |               |                         |
| presen |     |           |               |                         |
| ted:** |     |           |               |                         |
+--------+-----+-----------+---------------+-------------------------+

  ------------------ --------------------- ------------- -----------------
  **Persons          **Title**             **Phone       **Email Address**
  Interviewed**                            Number**      

                                                         

                                                         

                                                         

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

*To add rows, press TAB with cursor in last cell.*

  ---------------------------------------- ------------------------------
  **OPS/State Representatives**            **Region/State**

                                           

                                           

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

*To add rows, press TAB with cursor in last cell.*

> **Remarks**:

**Mileage Covered by OQ Plan (by Company and State)**

*List each company and subsidiary separately, broken down by state
(using 2-letter designation). If a company has intrastate and/or
interstate mileage in several states, use [one row per
state]{.underline}. If there are both gas and liquid lines, use both the
first and second table. For small gas operators (e.g. master meter, LP),
use the third table.*

Jurisdictional to Part 192 (Gas) Mileage

<table>
<colgroup>
<col style="width: 18%" />
<col style="width: 6%" />
<col style="width: 4%" />
<col style="width: 9%" />
<col style="width: 9%" />
<col style="width: 9%" />
<col style="width: 9%" />
<col style="width: 9%" />
<col style="width: 9%" />
<col style="width: 12%" />
</colgroup>
<tbody>
<tr class="odd">
<td><p>Company</p>
<p>(Gas Operator)</p></td>
<td><p><em>Operator</em></p>
<p><em>ID</em></p></td>
<td><em>State</em></td>
<td><em>Int<strong>er</strong>state Gathering</em></td>
<td><em>Int<strong>ra</strong>state Gathering</em></td>
<td><em>Int<strong>er</strong>state Transmission</em></td>
<td><em>Int<strong>ra</strong>state Transmission</em></td>
<td><em>Int<strong>er</strong>state Distribution*</em></td>
<td><em>Int<strong>ra</strong>state Distribution*</em></td>
<td><em>Remarks</em></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
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<td></td>
<td></td>
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<td></td>
</tr>
<tr class="odd">
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<td></td>
</tr>
<tr class="even">
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</tr>
<tr class="odd">
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</tr>
<tr class="odd">
<td></td>
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</tr>
<tr class="even">
<td></td>
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<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
</tbody>
</table>

(To add rows, press TAB with cursor in last cell.)

**Jurisdictional to Part 195 (Hazardous Liquid)** Mileage

+------------+---+---+--------+--------+-------------------------------+
| Company    | * | * | In     | In     | Remarks                       |
|            | O | S | t**er* | t**ra* |                               |
| (Liquid    | p | t | *state | *state |                               |
| Operator)  | e | a | Transm | Transm |                               |
|            | r | t | ission | ission |                               |
|            | a | e |        |        |                               |
|            | t | * |        |        |                               |
|            | o |   |        |        |                               |
|            | r |   |        |        |                               |
|            | * |   |        |        |                               |
|            |   |   |        |        |                               |
|            | * |   |        |        |                               |
|            | I |   |        |        |                               |
|            | D |   |        |        |                               |
|            | * |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+
|            |   |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+
|            |   |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+
|            |   |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+
|            |   |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+
|            |   |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+
|            |   |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+
|            |   |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+

(To add rows, press TAB with cursor in last cell.)

Jurisdictional to Part 192 (Gas) Mileage -- Small Operators

+------------+---+---+--------+--------+-------------------------------+
| Company    | * | * | Small  | LP\*   | Remarks                       |
|            | O | S | Gas\   |        |                               |
| (Small Gas | p | t | (e.g., |        |                               |
| Operator)  | e | a | master |        |                               |
|            | r | t | me     |        |                               |
|            | a | e | ter)\* |        |                               |
|            | t | * |        |        |                               |
|            | o |   |        |        |                               |
|            | r |   |        |        |                               |
|            | * |   |        |        |                               |
|            |   |   |        |        |                               |
|            | * |   |        |        |                               |
|            | I |   |        |        |                               |
|            | D |   |        |        |                               |
|            | * |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+
|            |   |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+
|            |   |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+
|            |   |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+
|            |   |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+
|            |   |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+
|            |   |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+
|            |   |   |        |        |                               |
+------------+---+---+--------+--------+-------------------------------+

(To add rows, press TAB with cursor in last cell.)

1.  Supply company name and Operator ID, if not the master operator from
    the first page (i.e., for subsidiary companies).

2.  Use OPS-assigned Operator ID. Where not applicable, leave blank or
    enter n/a.

3.  Use only 2-letter state codes in column #3, e.g., TX for Texas.

4.  Enter number of applicable miles in all other columns. (Only
    positive values. No need to enter 0 or n/a.)

5.  \* Please do not include Service Line footage. This should only be
    MAINS.

**1 - Document Program Plan, Implementing Procedures and Qualification
Criteria**

***1.01** **Application and Customization of "Off-the-Shelf" Programs***

Does the operator's plan identify covered tasks and does it specify
task-specific reevaluation intervals for individuals performing covered
tasks? \[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:** The rule requires that operators have a written
qualification program that includes provisions to identify covered tasks
and the intervals at which reevaluation of the individual's
qualifications is needed. Investigation of the following characteristics
is important to determine whether the requirements of the rule have been
met:

1.  The source of any off-the-shelf listing of covered tasks used by the
    operator;

2.  The basis for the operator accepting or modifying any off-the-shelf
    listing of covered tasks;

3.  Whether the operator has identified task-specific reevaluation
    intervals;

4.  The basis for the task-specific reevaluation intervals.

***1.02 Contractor Qualification***

Does the operator employ contractor organizations to provide individuals
to perform covered tasks? If so, what are the methods used to qualify
these individuals and how does the operator ensure that contractor
individuals are qualified in accordance with the operator's OQ program
plan?

\* Verify that the operator's written program includes provisions that
require all contractor and subcontractor individuals be evaluated and
qualified prior to performing covered tasks, unless the covered task is
performed by a non-qualified individual under the direction and
observation of a qualified individual. \[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:** The operator is responsible for ensuring that all
individuals, whether employees or contractors, are qualified to perform
covered tasks. Investigation of the following characteristics is
important to determine whether the requirements of the rule have been
met:

1.  Methods have been approved by the operator to qualify contractor
    individuals to perform applicable covered tasks.

2.  Provisions have been established and documented to ensure
    contractors are required to perform covered tasks consistent with
    the operator's requirements.

3.  Provisions have been established and documented to ensure effective
    communication of operator-specific requirements for task performance
    when qualified contractor individuals speak and comprehend languages
    other than English.

4.  Provisions have been established and documented to ensure
    qualification program requirements are followed by contractors.

5.  Provisions have been established and documented to ensure contractor
    individuals performing the operator's covered tasks are qualified.

6.  Provisions have been established and documented to ensure the
    availability and maintenance of qualification records for contractor
    individuals performing covered tasks for the operator.

***1.03 Management of Other Entities Performing Covered Tasks***

Has the operator's OQ program included provisions that require
individuals from any other entity performing covered task(s) on behalf
of the operator (e.g., through mutual assistance agreements) be
evaluated and qualified prior to task performance?

\* Verify that other entities that perform covered task(s) on behalf of
the operator are addressed under the operator's OQ program and that
individuals from such other entities performing covered tasks on behalf
of the operator are evaluated and qualified consistent with the
operator's program requirements. \[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:** The rule requires that individuals performing covered
tasks are evaluated and qualified to the requirements of the operator's
program. This applies to operator employees, contractors hired by the
operator, or agents such as other entities that perform the covered
tasks. Investigation of the following characteristics is important to
determine whether the requirements of the rule have been met:

1\. The operator either (a) identifies provisions for assessing the
evaluation criteria and methods used by other entities performing
covered tasks to qualify an individual and to determine if the
qualification is consistent with operator requirements, or (b) requires
these individuals to be reevaluated.

***1.04 Training Requirements (Initial Qualification, Remedial if
Initial Failure, and Reevaluation)***

Does the operator's OQ program plan contain policy and criteria for the
use of training in initial qualification of individuals performing
covered tasks, and are criteria in existence for re-training and
reevaluation of individuals if qualifications are questioned?
\[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:** Training is a means to ensure that an individual
performing a covered task has the necessary knowledge and skills to
perform the task in a manner that ensures the safe operation of pipeline
facilities, as required by the Pipeline Safety Act. As such, it should
be incorporated in practices leading to the development and
qualification of new employees, as well as in refreshing or expanding
the knowledge and skills of individuals with considerable experience.
Investigation of the following characteristics is important to determine
whether the requirements of the rule have been met:

The role of training in the qualification of individuals to perform
covered tasks is best exemplified in:

1.  Development of new hires,

2.  Preparation for performing new or additional tasks,

3.  Correction of deficiencies resulting from evaluation or reevaluation
    processes,

4.  Correction of individual performance problems ([e.g.]{.underline},
    contributing to an incident or accident through performance of
    covered tasks),

5.  Indoctrination of changes in practices or procedures used in
    performing covered tasks.

***1.05 Written Qualification Program***

Did the operator meet the OQ Rule requirements for establishing a
written operator qualification program and completing qualification of
individuals performing covered tasks?

\* Verify that the operator's written qualification program was
established by April 27, 2001. \[Enforceable\]

\* Verify that the written qualification program identified all covered
tasks for the operator's operations and maintenance functions being
conducted as of October 28, 2002. \[Enforceable\]

\* Verify that the written qualification program established an
evaluation method(s) to be used in the initial qualification of
individuals performing covered tasks as of October 28, 2002.
\[Enforceable\]

\* Verify that all individuals performing covered tasks as of October
28, 2002, and not otherwise directed or observed by a qualified
individual were qualified in accordance with the operator's written
qualification program. \[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

[]{.mark}

[**Guidance:** The rule requires that the operator meet certain
prescriptive requirements for establishing a written qualification
program, identifying covered tasks, and qualifying individuals to
perform the identified covered tasks. Investigation of the following
characteristics is important to determine whether the requirements of
the rule have been met:]{.mark}

1.  [Clear responsibilities for implementing the elements of the program
    ([e.g.]{.underline}, evaluation & qualification, training, record
    keeping, contracting) have been established and communicated to
    managers and supervisors within the organization.]{.mark}

2.  [The OQ program requirements have been consistently implemented by
    the operator's organization.]{.mark}

3.  [Key terms have been defined and provided to all entities involved
    in implementing the OQ program to avoid ambiguities and
    misinterpretations.]{.mark}

**2 - Identify Covered Tasks and Related Evaluation Methods**

***2.01 Development of Covered Task List***

How did the operator develop its covered task list?

\* Verify that the operator applied the four-part test to determine
whether 49 CFR Part 192 or 49 CFR Part 195 O&M activities applicable to
the operator are covered tasks. \[Enforceable\]

\* Verify that the operator has identified and documented all applicable
covered tasks. \[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:** The rule requires that the operator identify covered
tasks, which are those tasks covered by regulations that meet the
four-part test set forth in the Operator Qualification Rule.
Investigation of the following characteristics is important to determine
whether the requirements of the rule have been met:

1.  The method used by the operator to develop its covered task list was
    thorough, documented, and considered all tasks performed to meet
    applicable regulatory requirements by employees and contractors.

2.  The operator understands the personnel qualification-related
    activities that pose significant risk to the integrity of pipeline
    facilities (e.g., excavation and backfilling) and has considered
    them in the development of its covered task list.

3.  The operator identifies how it ensures the addition, revision, or
    deletion of covered tasks to incorporate changes to operations or
    regulations.

4.  The operator definition of operations and maintenance is consistent
    with regulatory requirements as they are applied to pipeline
    facilities.

5.  The operator identifies the individuals that are qualified to
    perform the covered tasks.

***2.02** **Evaluation Method(s) (Demonstration of Knowledge, Skill and
Ability) and\
Relationship to Covered Tasks***

Has the operator established and documented the evaluation method(s)
appropriate to each covered task?

\* Verify what evaluation method(s) has been established and documented
for each covered task.\[Enforceable\]

\* Verify that the operator's evaluation program ensures that
individuals can perform assigned covered tasks. \[Enforceable\]

\* Verify that the evaluation method is not limited to observation of
on-the-job performance, except with respect to tasks for which OPS has
determined that such observation is the best method of examining or
testing qualifications. The results of any such observations shall be
documented in writing. \[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:** The operator is responsible for ensuring that all
individuals whether employees or contractors, have been evaluated using
one or more of the evaluation methods identified in the OQ rule and can
perform the covered tasks assigned to them. Investigation of the
following characteristics is important to determine whether the
requirements of the rule have been met:

1.  The evaluation methods used for qualification of individuals
    performing covered tasks are derived from the requirements of the
    covered tasks, and consider any unique needs (e.g., the inability to
    read) of the individuals being evaluated.

2.  Evaluation methods are consistently applied across the operator's
    organization such that all individuals performing the same covered
    task are evaluated using consistent methods.

3.  Evaluation methods of operator employees and contractors include the
    evaluation of an individual's knowledge, skills, and abilities to
    ensure that the individual can perform the assigned covered tasks.

4.  Evaluations consisting of observations of on-the-job performance are
    limited to tasks where justification for employing this method has
    been established by the operator. The results of any such
    observations are documented in writing.

***2.03** **Planning for Mergers and Acquisitions (Due Diligence re:
Acquiring Qualified Individuals)***

Does the operator have a process for managing qualifications of
individuals performing covered tasks during program integration
following a merger or acquisition (applicable only to operators engaged
in merger and acquisition activities)?

\* Verify that the OQ program describes the process for ensuring OQ
qualifications, evaluations, assignment and performance of covered tasks
during the merger with or acquisition of other entities. \[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:**. Every company (in a "growth by merger or acquisition"
mode) has a due diligence procedure (checklist and/or process) that they
follow when investigating a target acquisition. The operator's OQ
program must at least incorporate the due diligence procedure by
reference and include sufficient detail to ensure that the following
requirements are met:

1.  The acquired company's "qualification/evaluation methods" for each
    covered task are verified as being compatible with the operator's
    own procedures, thereby indicating that all qualified individuals to
    be acquired will be qualified under the operator's own OQ program
    (including all necessary qualification records and other
    documentation).

2.  If the previous guideline is found to be not applicable for any
    covered task, the operator will (for each covered task where
    existing qualifications are deemed to be inadequate):

    a.  Train (as appropriate) and re-evaluate acquired individuals; and

    b.  Ensure that no acquired individual is allowed to independently
        perform any covered task for which they are deemed not qualified
        unless under the direction and observation of a qualified
        individual.

3.  The operator's program plan should provide for addressing not only
    employees of the acquired company, but also any contractors that may
    need to [continue]{.underline} performing covered tasks on the
    facilities being acquired, whether or not on a temporary basis.

4.  The operator's program plan should address the possibility that the
    acquired company may have equipment not previously used by the
    operator, and for which none of his own employees or contractors may
    be qualified. In such cases, procedures similar to guideline 2 must
    apply for the operators own employees and/or contractors until they
    become qualified to operate and maintain such equipment.

**3 - Identify Individuals Performing Covered Tasks**

***3.01** **Development/Documentation of Areas of Qualification for
Individuals Performing Covered Tasks***

Does the operator's program document the evaluation and qualifications
of individuals performing covered tasks, and can the qualification of
individuals performing covered tasks be verified at the job site?

\* Verify that the operator's qualification program has documented the
evaluation of individuals performing covered tasks. \[Enforceable\]

\* Verify that the operator's qualification program has documented the
qualifications of individuals performing covered tasks. \[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:** The rule requires that the operator ensure through
evaluation that individuals performing covered tasks are qualified, and
that records supporting an individual's current qualification be
maintained while the individual is performing a covered task.
Investigation of the following characteristics is important to determine
whether the requirements of the rule have been met:

1.  Documentation of the qualification of individuals (including
    contractors) performing covered tasks is maintained and is
    retrievable by work supervisors to support assignment of individuals
    to perform covered tasks.

2.  Methods such as a current hard copy list, qualification card,
    central electronic database, or other forms of covered task
    qualification information are used at the job site to verify the
    qualifications of individuals performing covered tasks.

***3.02** **Covered Task Performed by Non-Qualified Individual***

Has the operator established provisions to allow non-qualified
individuals to perform covered tasks while being directed and observed
by a qualified individual, and are there restrictions and limitations
placed on such activities?

\* Verify that the operator\'s program includes provisions for the
performance of a covered task by a non-qualified individual under the
direction and observation by a qualified individual. \[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:** The rule allows the performance of a covered task by a
non-qualified individual if that individual is directed and observed by
an individual qualified to perform the covered task. Investigation of
the following characteristics is important to determine whether the
requirements of the rule have been met:

1.  Consideration has been given to tasks that cannot or should not be
    performed by non-qualified individuals under the direction and
    observation of a qualified individual, due to their complexity or
    due to the critical nature of the task.

2.  For tasks where appropriate, guidance on the span of control by
    qualified individuals of non-qualified individuals has been
    established on a task-specific basis.

3.  Provisions have been established and documented to ensure the
    ability of qualified individuals to effectively communicate
    direction of task activities and reactions to AOCs to unqualified
    individuals who speak and comprehend languages other than English.

**4 - Evaluate and Qualify Individuals Performing Covered Tasks**

***4.01** **Role of and Approach to "Work Performance History Review"***

Does the operator use work performance history review as the sole method
of qualification for individuals performing covered tasks prior to
October 26, 1999, and does the operator\'s program specify that work
performance history review will not be used as the sole method of
evaluation for qualification after October 28, 2002?

\* Verify that after October 28, 2002, work performance history is not
used as a sole evaluation method. \[Enforceable\]

\* Verify that individuals beginning work on covered tasks after October
26, 1999 have not been qualified using work performance history review
as the sole method of evaluation. \[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:** The rule requires that the operator ensure through
evaluation that individuals performing covered tasks are qualified, and
that one or more of the methods identified in the rule are used for
evaluation. Work performance history review is an allowed evaluation
method for initial qualification of individuals performing covered tasks
prior to October 26, 1999, but may not be used as a sole method of
evaluation for subsequent evaluations, or for initial evaluations for
qualification after October 28, 2002. Investigation of the following
characteristics is important to determine whether the requirements of
the rule have been met:

1.  The operator has established criteria for the use of work
    performance history review as an evaluation method.

2.  The operator did not use work performance history review as an
    initial evaluation method, or used it sparingly and with documented
    justification.

3.  The operator's written program plan and/or evaluation documentation
    identifies that after October 28, 2002, work performance history
    review will not be used as the sole method of evaluation for
    qualification, and that work performance history will not be used as
    a sole evaluation method for subsequent qualification.

***4.02** **Evaluation of Individual's Capability to Recognize and React
to AOCs***

Are all qualified individuals able to recognize and react to AOCs? Has
the operator evaluated and qualified individuals for their capability to
recognize and react to AOCs? Are the AOCs identified as those that the
individual may reasonably anticipate and appropriately react to during
the performance of the covered task? Has the operator established
provisions for communicating AOCs for the purpose of qualifying
individuals?

\* Verify that individuals performing covered tasks have been qualified
in recognizing and reacting to AOCs they may encounter in performing
such tasks. \[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:** The ability to recognize and react to AOCs is required for
qualification of individuals to perform covered tasks, whether the
individuals are employed by the operator or are contractor individuals.
The operator must demonstrate that the ability to recognize and react to
AOCs is a part of each individual's evaluation for qualification.
Investigation of the following characteristics is important to determine
whether the requirements of the rule have been met:

1.  AOCs used for evaluation of individuals performing covered tasks
    consist of those AOCs that the operator can reasonably anticipate
    the individual will encounter while performing the covered task.

2.  In addition to task-specific AOCs (i.e., those that may be caused by
    performance of the task), generic AOCs (i.e., those that may
    reasonably be encountered during performance of the task) have been
    identified and used in qualification in cases where special
    requirements and conditions for the task being performed must be
    considered.

3.  Evaluation methods for both employees and contractor individuals
    include evaluation of the appropriate reaction of an individual upon
    recognition of an AOC.

4.  The operator utilizes incident/accident investigations, employee
    feedback programs, or other approaches to ensure that the AOCs
    identified and used in evaluating individuals are representative of
    those that could reasonably be anticipated during performance of
    covered tasks.

**5 - Continued/Periodic Evaluation of Individuals Performing Covered
Tasks**

***5.01** **Personnel Performance Monitoring***

Does the operator\'s program include provisions to evaluate an
individual if the operator has reason to believe the individual is no
longer qualified to perform a covered task based on: covered task
performance by an individual contributed to an incident or accident;
other factors affecting the performance of covered tasks?

\* Verify that the operator\'s program ensures evaluation of individuals
whose performance of a covered task may have contributed to an incident
or accident. \[Enforceable\]

\* Verify that the operator has established provisions for determining
whether an individual is no longer qualified to perform a covered task,
and requires reevaluation. \[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:** The rule requires that the operator evaluate an individual
if the operator has reason to believe that the individual's performance
of a covered task contributed to an incident as defined in Part 191 or
an accident as defined in Part 195, or evaluate an individual if the
operator has reason to believe that the individual is no longer
qualified to perform a covered task. Investigation of the following
characteristics is important to determine whether the requirements of
the rule have been met:

1.  Methods and documentation exist to determine if individuals are
    performing covered tasks properly. These methods may include, but
    not be limited to: internal audits, third-party audits or
    inspections, assessments of procedure compliance, supervisor
    reviews, or assessment by a technical specialist.

2.  The operator has addressed the rule requirements in the written
    program plan and has established implementation requirements that
    include criteria and documentation requirements.

***5.02** **Reevaluation Interval and Methodology for Determining the
Interval***

Has the operator established and justified requirements for reevaluation
of individuals performing covered tasks?

\* Verify that the operator has established intervals for reevaluating
individuals performing covered tasks. \[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:** The OQ Rule and PSIA 2002 requires that an operator
identify covered tasks and the intervals at which evaluation of the
individual's qualification is needed. Investigation of the following
characteristics is important to determine whether the requirements of
the rule have been met:

1.  Basis for the reevaluation intervals considering regulatory practice
    and/or performance history for similar tasks,

2.  Consideration of the need for task-specific reevaluation intervals,

3.  Justification of reevaluation intervals considering the complexity,
    criticality, and frequency of performance of the task.

**6 - Monitor Program Performance; Seek Improvement Opportunities**

***6.01** **Program Performance and Improvement***

Does the operator have provisions to evaluate performance of its OQ
program and implement improvements to enhance the effectiveness of its
program? \[Non-enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

[**Guidance:** Although there are no specific requirements in the rule
for the operator to review the OQ program periodically and seek to
implement improvements over time, it is reasonable that improvements
will be identified that should be incorporated into the program as the
program matures and the operator gains valuable feedback through a
continuing review of performance trends. This item investigates whether
the operator has anticipated the evolutionary nature of its program and
has established provisions to identify and assess improvement
opportunities and implement those that will result in greater program
effectiveness and an increased level of safety. Investigation of the
following characteristics is important to determine whether the
requirements of the rule have been met:]{.mark}

1.  [The operator has documented in its OQ plan a periodic requirement
    for program review.]{.mark}

2.  [The operator is actively involved in industry groups that seek to
    improve OQ programs and establish practices that will be identified
    and documented in consensus standards.]{.mark}

3.  [A review process has been established by the operator to assemble
    feedback on program effectiveness and needed improvements, and to
    periodically assess the feedback to identify improvements that
    should be made to the OQ program.]{.mark}

**7 - Maintain Program Records**

***7.01** **Qualification "Trail"(i.e., covered task; individual
performing; evaluation method(s); continuing performance evaluation;
reevaluation interval; reevaluation records)***

Does the operator maintain records in accordance with the requirements
of 49 CFR 192, subpart N, and 49 CFR 195, subpart G, for all individuals
performing covered tasks, including contractor individuals?

\* Verify that qualification records for all individuals performing
covered tasks include the information identified in the regulations.
\[Enforceable\]

\* Verify that the operator\'s program ensures the retention of records
of prior qualification and records of individuals no longer performing
covered tasks for at least five years. \[Enforceable\]

\* Verify that the operator\'s program ensures the availability of
qualification records of individuals (employees and contractors)
currently performing covered tasks, or who have previously performed
covered tasks. \[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:** The rule requires certain information to be included in
records of qualification for individuals performing covered tasks, and
that these records be retained for at least five years. Although not
identified specifically, records that are specified in the OQ plan and
documentation that is required to demonstrate compliance with rule
provisions should logically have retention requirements as part of the
OQ program implementation. Investigation of the following
characteristics is important to determine whether the requirements of
the rule have been met:

1.  Supporting documentation for implementation of the OQ program,
    including documentation of:

    i.  The methodology for identifying covered tasks;

    ii. The reevaluation interval for each covered task and the basis
        for the reevaluation interval chosen; and

    iii. The approach used to select individuals for evaluation and
         qualification.

2.  The operator has considered the need for periodic back-up of
    qualification database information, whether in-house databases or
    industry databases, to ensure continued availability of information
    required to meet rule provisions.

3.  The operator has established provisions to ensure the continued
    presence and availability of contractor records for individuals
    currently performing, or who have previously performed, covered
    tasks for the operator.

**8 - Manage Change**

***8.01** **Management of Changes (to Procedures, Tools, Standards,
etc.)***

Does the operator\'s OQ program identify how changes to procedures,
tools standards and other elements used by individuals in performing
covered tasks are communicated to the individuals, including contractor
individuals, and how these changes are implemented in the evaluation
method(s)?

\* Verify that the operator\'s program identifies changes that affect
covered tasks and how those changes are communicated, when appropriate,
to affected individuals. \[Enforceable\]

\* Verify that the operator\'s program identifies and incorporates
changes that affect covered tasks. \[Enforceable\]

\* Verify that the operator\'s program includes provisions for the
communication of changes (e.g., who, what, when, where, why) in the
qualification program to the affected individuals. \[Enforceable\]

\* Verify that the operator incorporates changes into initial and
subsequent evaluations. \[Enforceable\]

\* Verify that contractors supplying individuals to perform covered
tasks for the operator are notified of changes that affect task
performance and thereby the qualification of these individuals.
\[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:** The rule requires that the operator communicate changes
that affect covered tasks to individuals performing those covered tasks.
In order to perform this effectively, the operator must have a change
management methodology so that it knows when changes are occurring, what
changes have an impact on covered task performance, the relative
significance of the change and how it affects the continued
qualification of individuals, and mechanisms to effectively communicate
changes to qualified individuals. Investigation of the following
characteristics is important to determine whether the requirements of
the rule have been met:

1.  Identification of the methods used to communicate changes to
    affected individuals.

2.  Means of ensuring that affected personnel are kept up-to-date on
    current requirements of the OQ program.

3.  Changes to the OQ plan and revisions to the plan are made and
    communicated to the appropriate individuals.

***8.02 Notification of Significant Program Changes***

Does the operator have a process for identifying significant OQ written
program changes and notifying the appropriate regulatory agency of these
changes once the program has been reviewed?

\* Verify that the operator's written program contains provisions to
notify OPS or the appropriate regulatory agency of significant
modifications to a program that has been reviewed for compliance.
\[Enforceable\]

+-----------------------------------+-----------------------------------+
| No Issues Identified              | Inspection Notes:                 |
|                                   |                                   |
|                                   |                                   |
+-----------------------------------+-----------------------------------+
| Potential Issues Identified       |                                   |
| (explain)                         |                                   |
+-----------------------------------+-----------------------------------+
| N/A (explain)                     |                                   |
+-----------------------------------+-----------------------------------+
| Not Inspected                     |                                   |
+-----------------------------------+-----------------------------------+
| Check exactly one box above.      |                                   |
+-----------------------------------+-----------------------------------+

**Guidance:** Any operator whose program has been reviewed since October
28, 2002, and that makes significant changes to it's OQ plan or program
on or after December 17, 2004, must notify the inspecting agency (OPS
Region or State Agency). Significant changes would include (but are not
necessarily limited to) the following:

1.  A change in the number of covered tasks identified by the operator,

2.  A change in the evaluation methods or criteria for performing
    covered tasks;

3.  Increases in the number of non-qualified individuals that may
    perform a covered task while being directed and observed by a
    qualified individual;

4.  Wholesale changes made to an OQ Plan or Program, whether due to an
    overall effort to improve program performance, or due to a merger or
    acquisition that results in incorporating the best features of the
    competing plans and programs.

**9 -- Field Inspection Findings**

**Additional Inspection Notes**