1. U.S. Department of Transportation Office of Pipeline Safety
February 13, 2018
Jay Prothro
Community Liaison Program Manager
PHMSA, Southwest Region

2. Discussion Quick Agency overview Excavation Enforcement overview
Update on status of State evaluations
Key Initiatives
PERI
Joint Initiative – NCCER and PHMSA
Questions / discussion

3. PHMSA Organizational Structure
PHMSA Administrator
Deputy Administrator
Office of Chief Counsel
Office of Government, International and Public Affairs
Executive Director/Chief Safety Officer
Office of Civil Rights
Office of Planning and Analytics
Office of Pipeline Safety
Office of HAZMAT Safety
Chief Financial Officer
Office of Administration

4. New PHP Organizational Structure
AA for Pipeline Safety
Alan Mayberry
DAA for Policy and Programs
Vacant
DAA for Field Operations (2)
Linda Daugherty
**Operations Systems (5)
Blaine Keener
**Program Development (5)
Vacant
Financial Administration & Resource Management (9)
Gwen Hill
**Policy and Programs Strategy & Planning (3) Nancy White
Operations and Standards Review (4)
Bill Rush
Standards and Rulemaking (11)
Cameron Satterthwaite (Acting)
**Oil Spill Preparedness & Emergency Support (9) Dave Lehman
**Outreach and Engagement (18)
Christie Murray
**Accident Investigation (14)
Peter Katchmar
Engineering and Research (13)
Kenneth Lee
Eastern Regional Offices (27)
Robert Burrough (Acting)
State Programs (15)
Zach Barrett
Southern Regional Offices (28)
James Urisko
Restructure of Agency units to better focus
Enforcement (8)
Rod Dyck
Central Regional Offices (42)
Allan Beshore
Inspector Qualifications & Training (16) Doug White
Western Regional Offices (36)
Chris Hoidal
Legend
( ) FTEs
** New division or name change
Southwest Regional Offices (46)
Rod Seeley

5. PHMSA’s FY2015 IT Portfolio
Background
Excavation damage continues to be a leading cause of serious pipeline accidents
Efforts to reduce this threat are showing results
Serious Incident Cause Breakdown 20 Year Average ( )
Serious Incident Cause Breakdown 10 Year Average ( )

6. PHMSA’s FY2015 IT Portfolio
Excavator Type for Pipeline Incidents Caused by Excavation Damage – Present
Data Source: US DOT Pipeline and Hazardous Materials Safety Administration
STATE: ALL INCIDENT TYPE: All
Encourage you to look at the dirt report

7. PHMSA’s FY2015 IT Portfolio
Root Cause for Pipeline Incidents Caused by Excavation Damage Present
Data Source: US DOT Pipeline and Hazardous Materials Safety Administration
STATE: ALL INCIDENT TYPE: All
Excavation practices not sufficient

8. PHMSA’s FY2015 IT Portfolio
History of the Rule
PHMSA’s FY2015 IT Portfolio
Pipeline Inspection, Protection, Enforcement and Safety (PIPES) Act of 2006
Heavy focus on preventing excavation damage to pipelines
New limited enforcement authority for PHMSA pertaining to excavators who damage pipelines in states with inadequate damage prevention enforcement programs
NPRM published Q2 2012
Final rule published Q3 2015
Rule effective January 1, 2016
INTENT: ALL STATES ESTABLISH ADEQUATE ENFORCEMENT PROGRAMS

9. PHMSA’s FY2015 IT Portfolio
Part 196—Protection of Underground Pipelines from Excavation Activity
PHMSA’s FY2015 IT Portfolio
Subpart A – General
Subpart B – Damage Prevention Requirements
49 CFR
Use one-call before excavating,
wait for pipelines to be located/marked,
respect the marks,
take all practicable steps to prevent damage, and
make additional use of one-call if necessary
49 CFR
Report any pipeline damage to pipeline operator
49 CFR
Promptly notify 911 if damage causes release of any 192 or 195 defined gas or hazardous liquid
There are no exemptions in the new regulation for calling 811 prior to excavation. PHMSA understands many states have one-call law exemptions and will be considerate of those exemptions when undertaking Federal enforcement action.

10. PHMSA’s FY2015 IT Portfolio
Part 196—Protection of Underground Pipelines from Excavation Activity
49 CFR
PHMSA and States have authority to enforce against pipeline operators who do not perform timely and accurate locate and mark
Subpart C – Administrative Enforcement Process
49 CFR – 211
Use existing administrative adjudication process
Assess administrative maximum civil penalties of $205,638 per violation per day, $2,056,380 for series of violations
Use other civil and criminal penalties
Does the state have enforcement authority including civil penalties?
Is there a designated enforcement body?
Is the state using its authority and making enforcement records available to the public?
Does the state have a reliable means of learning about damages?
Does the state have damage investigation practices that are adequate to determine the at-fault party when damage occurs?
At a minimum, does state law require:
Excavators must call 811 before digging
Excavators must “respect the marks”
If damage to a pipeline occurs…
Excavator must report damage to operator at earliest practical moment
If release occurs, excavator must call 911
Are exemptions from the DP law limited? Written justification of exemptions is required.

11. PHMSA’s FY2015 IT Portfolio
State Evaluations
PHMSA’s FY2015 IT Portfolio
Enforcement programs will be evaluated on an annual basis (per rule)
States deemed adequate: Evaluation done by PHMSA State Programs (remotely)
States deemed inadequate: Evaluations done by PHMSA Outreach and Engagement – remotely or in-person, based on State’s preference
States have five years to meet minimum adequacy criteria or face potential base grant funding reduction of up to 4%

12. PHMSA’s FY2015 IT Portfolio
Enforcement
Reports submitted to PHMSA via web; PHMSA staff also monitor NRC reports, media, other sources
Screening (Inadequate state? State enforcement authority available to investigate/enforce?, etc.)
If appropriate, initial investigation by PHMSA Staff.
Review team considers investigation reports, refers to leadership if appropriate
Final determination to enforce is made by leadership

13. PHMSA’s FY2015 IT Portfolio

14. PHMSA’s FY2015 IT Portfolio
Take-aways to date…
PHMSA’s FY2015 IT Portfolio
Checklist was slightly modified for clarification, based on state and evaluator feedback
Many states working to become adequate through legislation, programmatic changes.
Results-driven evaluation: Encouraging states to use data to understand their enforcement programs
No enforcement cases so far

15. PHMSA’s FY2015 IT Portfolio
PHMSA Damage Prevention – How to find more information/data
Web site: PHMSA Stakeholder Communications – Safety Programs – Damage Prevention

16. Key Initiatives What is PERI? Excavator Training
Public-private partnership among emergency response organizations and pipeline operators to improve emergency response.
Advance the ability emergency responders to manage pipeline emergencies through improved training, cooperation and communication with pipeline operators
Excavator Training
Joint initiative to develop excavator training

17. Contact Our Damage Prevention Team:
For more information:
Contact Our Damage Prevention Team:
Our team of damage prevention professionals, Sam Hall, Annmarie Robertson, and Steve Fischer are available to answer questions pertaining to this final rule, state one call laws, and damage prevention. They may be reached at

18. Thank You
James Prothro