Incident & Quality Management Classification Guidesurveygizmolibrary.s3.amazonaws.com/library/50087/IncidentQuality... · Process Equipment Failure or Damage ... in MAOP/MOP below

Incident Management Classification Guide Source File EDMS ID: 003976290 Revision: March 2017

Incident & Quality Management Classification Guide

2 Incident & Quality Management Classification Guide

Incident & Quality Classification Guide

Table of Contents ................................................................................................................................................................... 2

Contact Information ............................................................................................................................................................... 3

Environment Health Safety & Regulatory Compliance Classifications .................................................................................... 51. Abnormal Operations Section (US Pipelines Only) .......................................................................................................................................................................6

2. Drills & Exercises Classification Section .......................................................................................................................................................................................8

3. Incident Management Classification Section ...............................................................................................................................................................................9

4. Safety 24/7 Classification .........................................................................................................................................................................................................20

5. Unauthorized Activity Classification Section ..............................................................................................................................................................................22

6. Regulatory Event Section .........................................................................................................................................................................................................23

Quality Management Classifications .................................................................................................................................... 24

Incident & Quality Management Classification Guide 3

Contact InformationReportable to Authority Contacts

Classification events tagged with a � (red diamond) have the potential for time sensitive reporting to an AuthorityAsset Name Contact Number

CA Natural Gas and Liquid Pipelines 403.920.7733

MX Natural Gas Pipelines (011) 52.55.5093.1023 or (011) 52.1.55.4367.5814

US Natural Gas and Liquid Pipelines

Crossroads, Hardy Storage, Millennium Pipeline and Columbia Gas Transmission 800.835.7191

Columbia Gulf Transmission 866.485.3427

Columbia Midstream Group 855.511.4942

US Natural Gas and Liquid Pipelines West 832.320.5144

CA Energy

Bécancour 819.294.4071

Canadian Gas Storage – Crossfield 403.946.2275

Canadian Gas Storage – Edson Daytime: 780.728.2317 / On-call 403.921.7973 / 403.831.9983

Carseland, Redwater, Bear Creek, Mackay 403.936.3334 / 403.921.4023

Grandview 506.693.4833 / 506.343.5465 / 506.696.7141 / 506.651.3601

Halton Hills 905.864.7722

Napanee 613.329.0848 / 905.875.6544

Portlands Energy Center 416.462.8672 / 647.469.2770

Solar Sites 905.864.7722

US Energy

Coolidge 520.723.7754

Hydro, Kibby Wind Farm 802.291.8105 Ext. 18105

Ironwood 717.228.1265

Ocean State 401.568.2320

Ravenswood (10.20,30) 718.706.2753

Ravenswood (40) 718.706.2793

Abnormal Operations ContactsClassification events tagged with a � (orange square) indicate events containing an Abnormal Operation

(US Pipelines Only)Asset Name Contact Number

US Natural Gas and Liquid Pipeline West Contact the Regional US Compliance Specialist

US Natural Gas and Liquid Pipeline East (Columbia)Contact the Monitoring Center to contact the on-call CPG Regulatory Compliance Specialist


Emergency Management ContactsClassification events written in Red Text indicate events potentially activate the emergency management system (EMS)

Emergency An unforeseen or imminent event which requires prompt coordination of resources, special communications and heightened authority for employees to protect the

health, safety or welfare of people, or to limit damage to property, the environment or company operations.

Asset Name Contact Number

CA Natural Gas and Liquid Pipelines 888.982.7222

MX Natural Gas Pipelines (011) 52.55.5093.1023 or ( 011) 52.1.55.4367.5814

US Natural Gas and Liquid Pipelines East

Crossroads, Hardy Storage, Millennium Pipeline and TCO 800.835.7191

Columbia Gulf 866.485.3427

Columbia Midstream Group 855.511.4942

US Natural Gas and Liquid Pipelines West

ANR, Bison, GLGT, GTN, North Baja, NBPL 800.447.8066

Portland Natural Gas Transmission System 800.830.9865

Tuscarora System 800.894.1488

Keystone US 800.447.8066

CA Energy

Bécancour 819.294.4701

Gas Storage – Crossfield 403.946.2275

Gas Storage – Edson Daytime: 780.728.2317 / On-call 403.921.7973 / 403.831.9983

Carseland, Redwater, Bear Creek, Mackay 403.936.3334 / 403.921.4023

Solar Sites 905.864.7722

Grandview 506.693.4833 / 506.343.5465 / 506.696.7141 / 506.651.3601

Halton Hills 905.864.7722

Napanee 613.329.0848 / 905.875.6544

Portlands Energy Center 416.462.8672 / 647.469.2770

US Energy

Coolidge 520.723.7754

Hydro, Kibby Wind Farm 802.291.8105 Ext 18105

Ironwood 717.228.1265

Ocean State 401.568.2320

Ravenswood (10, 20, 30) 718.706.2753

Ravenswood (40) 718.706.2793

Contact Information


Environment Health Safety & Regulatory Compliance Classifications


Abnormal Operations Section (US Pipelines Only)

Abnormal Operations Classification Section (US Pipelines Only)

Category: Abnormal Operations

EventConsequence Severity

Minor Serious Major Critical

Process Equipment Failure or Damage (Essential to Production and Transmission of Product)

�� Operation of any mainline or compressor station valve, which results in an undesirable valve position

�� Operation of a meter station valve, which results in an unanticipated effect on receipts or deliveries

�� Other malfunction of a component, deviation from normal operation, or personnel error

�� Failure of a block valve responsible for isolation

Activation of Safety Device �� Unplanned activation of safety protection device or system resulting in total damages (≤ $5,000)

�� Failure of safety protection device or system

�� Unplanned activation of safety protection device system resulting in total damages (> $5,000)

�� Failure of safety device (e.g. relief valve, ESD, fire suppression) and/or related controls system that does not activate the applicable valve system to achieve 100% isolation of the facility

Field Measurement Data �� Loss of communication to a station or portion of the network for > 4 hours, and that results in unmanaged measurement with impact of $100,000 – $250,000

�� Loss of communication to a pump, meter, or compression station (including both Scada and dial backup modem communications)

�� Loss of communication to a station or portion of the network for > 4 hours, and that results in unmanaged measurement with impact of $250,000 – $500,000

�� Loss of communication to a station or portion of the network for > 4 hours, and that results in unmanaged measurement with impact of $500,000 – $1,000,000

�� Loss of communication to a station or portion of the network for > 4 hours, and that results in unmanaged measurement with impact of > $1,000,000

Liquids Pipeline Operating Temperature

�� Pipeline operating temperature at or above 150°F in pipeline segments operating above 72% of the specified minimum yield strength (SMYS)

Abnormal Operations – (US Gas & Liquids Pipelines) a condition that may indicate a malfunction of a component or deviation from normal operations that may: (a) Indicate a condition exceeding design limits; or (b) Result in a hazard(s) to persons, property, or the environment.

An event reported in SAP-EHSM may require consequences of an incident, unauthorized activity and an abnormal operations. Although many events contain only a single classifications more complex events have consequences to people, environment, property and/or process.


Abnormal Operations Classification Section (US Pipelines Only)

Category: Abnormal Operations



Pipeline Over/ Under Pressurization

�� Pipeline over-pressured by up to 5% over Maximum Allowable Operating Pressure (MAOP) or Maximum Operating Pressure (MOP)

�� Unscheduled decrease in MAOP/MOP below normal operating limits

�� Unscheduled increase or decrease in flow rate outside normal operating limits

�� Pipeline over-pressured by >5% and ≤ 10% over Maximum Allowable Operating Pressure (MAOP) or Maximum Operating Pressure (MOP)

�� Pipeline over-pressured by > 10% over Maximum Allowable Operating Pressure (MAOP) or Maximum Operating Pressure (MOP)

Unintended shutdown of pipeline

�� Unintended shutdown of a pipeline


Drills & Exercises Classification Section

TransCanada requires routine emergency response drills and exercises to test the accuracy and effectiveness of emergency response plans. An exercise is defined as a simulation of an actual emergency; this simulation will enable employees to learn by practicing their emergency response roles and skills. Exercises provide the opportunity to learn and to problem solve, avoiding potential issues and concerns during a real emergency event. Security performs similar exercises and drills to ensure the companies security readiness.

Drills & Exercises classifications are not to be used in conjunction with any other classification. These are not incidents.

Drills and Exercises

Category: Drills and Exercises



Corporate Security • Security Exercise • Internal Tabletop Exercises • External Field Exercise (e.g. Corporate exercise, National Exercise, Annual Field Exercise, Worst-Case Scenario)

Emergency Management • Qualified Notification Drills

• Qualified Notification Drills (Oil specific – outside of business hours – field)

• Internal Resources Deployment (Oil specific – Equipment Deployment exercise)

• Internal Tabletop Exercises

• External Tabletop Exercises

• External Resources Deployment (Oil specific – Third Party Equipment Deployment)

• Contractor Resource Validation Exercises

• External Field Exercise (e.g. Corporate exercise, National Exercise, Annual Field Exercise, Worst-Case Scenario)

ICS Cyber Security • Internal Tabletop Exercises • External Field Exercise (e.g. Corporate exercise, National Exercise, Annual Field Exercise, Worst-Case Scenario)


Incident – a single or continuous/repetitive series of unplanned events that result in an actual undesirable consequence with direct impacts to Health, Safety, Environment, Asset (damage by contact) or Security and may include a secondary impact in Business Reputation, Community or Operations.

Near Hit – an unplanned event which could have resulted in undesirable consequences with direct impacts to Health, Safety, Environment, Asset (damage by contact), or Security that was averted through worker action or fortunate circumstance. (Note: most regulations reference this term as “Near Miss”).

Undesirable Consequences are injury, emission (spill, gas release), property damage, vehicle/equipment damage (due to contact or failures with HSE Impacts).

Safety Hazard Awareness Reporting Events (SHARE) Proactive events reporting Safe Acts, Unsafe Acts, and Safety Events at Home and At Play.

Safe Act a person performing an action to generate awareness of an unsafe condition or control/remove a health, safety, environmental or security unsafe condition (e.g. hazard or risk); it may be self-reported or reported by a witness of the Safe Act.

Unsafe Act a person performing an action creating a potential or actual health, safety, environmental or security unsafe condition (e.g. hazard or risk); it may be self-reported or reported by a witness of the Unsafe Act.

Preventive Action Steps taken to address the risk of an incident/nonconformance/non-compliance in order to eliminate or reduce the risk of occurrence

Corrective Action Steps taken to respond to an incident/nonconformance/non-compliance intended to address root cause and reduce the risk of recurrence or consequence

Asset category includes equipment, property, and/or vehicles (licensed motor vehicles). Equipment include tools, material, mobile & non -mobile equipement, buildings, fences and other structures.

All incidents, Near Hits and SHARE events are entered using the Business Central / Incident & Quality Management form

Incident Management Classification Section



Category: Asset (Equipment, Vehicle, Property)Any asset equipment failure (e.g. wear and tear) is reportable in EHSM Incident Management ONLY when failure results in direct impacts to Health, Safety, Environment



Contact & Identification

Underground and Above Ground facilities including pipe or power

�� Contact with or without damage on new, abandoned or non-energized power line or pipeline/facility with only residual product/pressure in the line

�� Contact with ≥ 60V – < 120V energized power line or cable (i.e. CP cable, telephone, fibre optic lines, cable TV etc.)

�� Contact with ≥ 120V to < 600V energized power line or cable, buried or above ground or contact resulting in costs ≥ $50,000 and ≤ $100,000

�� Contact with ≥ 600V energized power line or cable, and/or resulting in costs > $100,000

�� Contact with < 60V energized power line or cable (i.e. CP cable, telephone, cable TV etc.)

�� Contact with pipeline where damaged coating has exposed bare pipe (i.e. scratch, chip) or damaged the pipe body (i.e. dent) involving ≤ 80 psi (550 KPA) or ≤ NPS 2"

�� Contact with pipeline where damaged coating has exposed bare pipe (i.e. scratch) or damaged the pipe body (i.e. dent) involving > 80 psi (550 KPA)or > NPS 2"

�� Contact with Pipeline resulting in failure of pipe body involving > 80 psi (550 KPA) or > NPS 2"

�� Contact during hand excavation with known located facilities (e.g. hand shovel, hydro vac) requiring minor repair to coating

�� Contact with pipeline with failure of pipe body involving ≤ 80 psi (550 KPA) and ≤ NPS 2"

�� Contact with pipeline without damage to pipe or coating

• Discovery of contact damage as a result of activity in the past that requires remedial and/or corrective action ≥ $5,000

• Discovery of contact damage as a result of activity in the past requires remedial and/or corrective action costing ≤ $5,000






Non Process Equipment Damage

Not Essential or directly related to Production or Transmission of Product including electricity, natural gas, crude oil

• Equipment contact resulting in no damage or injury (Includes contacts to objects, environment, equipment or vehicles)

• Non mobile equipment & property damage resulting in costs (≤ $100,000)

• Non mobile equipment and property damage resulting in costs (> $100,000 and ≤ $250,000)

• Non mobile equipment and property damage resulting in costs (> $250,000 and ≤ $500,000)

• Non mobile equipment and property damage resulting in costs (> $500,000)

• Heavy mobile and/or off road equipment resulting in costs (≤ $100,000)

• Mobile Heavy and/or off road equipment resulting in costs (> $100,000 and ≤ $250,000)

• Mobile Heavy and/or off road equipment resulting in costs (> $250,000 and ≤ $500,000)

• Heavy mobile and/or off road equipment resulting in costs (> $500,000)

• Aircraft contact resulting in no damage or injury (Includes contacts to objects, environment, equipment or vehicles)

• Aircraft hull damage ≤ 10% and no injury or property damage

• Aircraft hull damage > 10% and ≤ 50% and/or property damage (≤ $100,000) and/or non lost time injury

• Aircraft hull damage > 50% and ≤ 80% and/ or property damage (> $100,000 and ≤ $500,000) and/or a lost time injury

• Aircraft hull damage > 80% and/or property damage (> $500,000) and/or critical injury

• Vehicle (land & water vehicles) damage resulting in costs (≤ $5,000)

• Vehicle (land & water vehicles) damage resulting in costs (> $5,000 and ≤ $20,000)

• Vehicle (land & water vehicles) damage resulting in costs (> $20,000 and ≤ $30,000) and/or injury to a member of the public

• Vehicle (land & water vehicles) damage resulting in costs (> $30,000) and/or injury to a member of the public

• Vehicle (land & water vehicles) contact resulting in no damage or injury (Includes contacts to objects, environment, equipment or vehicles)






Process Equipment Damage

• Process equipment contact with no damage or injury (Includes contacts to objects, environment, equipment or vehicles)

• Process equipment damage resulting in costs (≤ $100,000)

• Process equipment damage resulting in costs (> $100,000 and ≤ $250,000)

• Process equipment damage resulting in costs (> $250,000 and ≤ $500,000)

• Process equipment damage resulting in costs (> $500,000)

�� Pressure/ fluid containment failure resulting in less than a Major severity commodity release (e.g. Natural Gas, Crude Oil), repaired through adjustment

�� Pressure/fluid containing failure component resulting in < Major severity commodity release, repaired through replacement

�� Pressure/fluid containing pipe body, vessel or tank failure resulting in < Major severity commodity release

�� Pressure/fluid containing pipe body, vessel or tank failure resulting in > Serious severity commodity release

�� Hydrostatic and/or pressure test failure

�� In-service pipeline rupture



Category: Environment



Environmental Impact • Impact to land, water, air or wildlife, that is on-property or on-ROW, limited in extent, immediate or short-term in duration, and has a restoration cost of less than $10,000

• Impact to land, water, air or wildlife, that is on or off-property, limited or moderate in extent, short-term or medium-term in duration, and has a restoration cost of greater than $10,000, but less than $100,000.

• Impact to land, water, air and/or wildlife, that is on or off-property, moderate or widespread in extent, medium-term or long-term in duration, and has a restoration cost of greater than $100,000, but less than $500,000.

�� Impact to land, water, air and/or wildlife, that is off-property, widespread in extent, long-term in duration or irreversible, and has a restoration cost of greater than $500,000.

Gas Release

Includes Commodity Natural Gas & Non Commodity Gas (i.e. Halocarbon)

Releases with equipment failure or damage requires an “ASSET” classification

�� Natural Gas (e.g. ESD where isolation valves operate as per design)

�� Natural Gas that poses a safety hazard to employees or the public (e.g. in an enclosed building, confined space, ignition source) or adverse effect to the environment (other than resulting greenhouse gas emissions)

�� A loss of gas equal to or greater than 3 MMCF or property damage in excess of $50,000

�� Natural Gas (< 3 MMCF) that does not pose a risk to the continued safe and environmentally responsible operation of the pipeline

�� Natural Gas as a result of a pipe or component integrity issue or failure (e.g. through-wall leak due to corrosion, flange leak, SCC or mechanical damage; weld defect; a safety device failure, etc.)

�� An unintended gas release that has resulted in a significant safety risk to the public or adverse effect to the environment (other than resulting greenhouse gas emissions)

�� Unintended release of a non-commodity gas such as Freon, Nitrogen, Oxi-Acetylene, etc. (Non Natural Gas)

Spill/Release (solids and liquids)

�� On or off-property contained within a facility or limited in extent for a receptor with no impact to water

�� On or off-property, impacting one receptor, limited in extent, does not pose a threat to human health, does not impact a water body and with the potential to impact groundwater

�� On or off-property, moderate or widespread in extent, no threat to human health, impacts a water body with the potential to impact groundwater

�� Off-property, widespread, may pose a threat to human health, impacts a water body with the potential to impact groundwater, has the potential to impact multiple environmental receptors



Category: Health & Safety



Fire/Explosion/Arcflash

Any damage equipment property requires classification to Asset and/or any injury requires classification for Personal Injury/Illness

�� Resulting in costs < $5,000 �� Resulting in costs $5,000 – $100,000

�� Resulting costs are $100,000 – $500,000

�� Resulting in costs > $500,000

Biological Hazard • Infestation of problem species in the work area that affects the health & safety of employees (e.g. insects, mice, birds, moulds) and requiring removal

Plants / Animals / Insects Encounter

• An encounter (i.e. bear, wasp, snake, wild parsnip, etc.) which affects the health and safety of employees requiring removal or other action to avoid contact

Personal Injury / Illness • No Treatment (Includes contact to objects, equipment or vehicles; or exposure to chemical or biological agents)

• First Aid Case (non-recordable Incident/Near Hit)

�� Death or serious public injury within regulatory boundary not a result of TransCanada operations but reportable to a regulatory agency (non-recordable)

�� Away from Work Case – professionally prescribed/advised and/or company initiated (recordable Incident/Near Hit)

�� Life threatening injuries, illness or fatality

• Suspected exposure to bloodborne pathogens (e.g. Hepatitis, HIV, etc.) or Tuberculosis

�� Medical Treatment Case (recordable Incident/Near Hit)

• Suspected exposure to chemicals / toxic substance (e.g. Asbestos, BTEX, H2S, Lead, Mercury, etc.)

�� Restricted Work Case (recordable Incident/Near Hit)

• Suspected exposure to noise levels > 85dBA without hearing protection



Category: Industrial Control Systems CYBER Systems (CS)



Unauthorized Access

An individual gains logical or physical access without permission to a network, system, application, data, or other resource

Reporting Time Frame – Within one (1) hour of discovery/detection

• Violation with no operational and/or commercial impact

• Violation with limited operational and/or commercial impact to non-critical facility

• Violation with limited operational and/or commercial impact to critical facility or system

• Violation with significant operational and/or commercial impact to critical facility or system

Denial of Service (DoS)

An attack that successfully prevents or impairs the normal authorized functionality of networks, systems or applications by exhausting resources. This activity includes being the victim or participating in the DoS.

Reporting Time Frame – within two (2) hours of discovery/detection if the successful attack is still ongoing and is unable to successfully mitigate activity

• Denial of service attack with no operational and/or commercial impact

• Denial of service attack with limited operational and/or commercial impact to non-critical facility

• Denial of service attack with limited operational and/or commercial impact to critical facility or system

• Denial of service attack with significant operational and/or commercial impact to critical facility or system

Malicious Code

Successful installation of malicious software (e.g., virus, worm, Trojan horse, or other code-based malicious entity) that infects an operating system or application

• Malicious code detected with no operational and/or commercial impact

• Malicious code detected with limited operational and/or commercial impact to non-critical facility

• Malicious code detected with limited operational and/or commercial impact to critical facility or system

• Malicious code detected with significant operational and/or commercial impact to critical facility or system

Improper Usage

A person violates acceptable computing use policies

• Improper usage with no operational and/or commercial impact

• Improper usage with limited operational and/or commercial impact to non-critical facility

• Improper usage with limited operational and/or commercial impact to critical facility or system

• Improper usage with significant operational and/or commercial impact to critical facility or system



Category: Security



Incidents/Near Hits Involving Persons

• Fraud ≤ $1000 • Fraud > $1000 and ≤ $5000 • Fraud > $5000 and ≤ $10,000

• Fraud > $10,000

• Theft – Personal ≤ $1000 • Theft – Personal > $1000 and ≤ $5000

• Theft – Personal > $5000 and ≤ $10,000

• Theft – Personal > $10,000

• Vandalism – Personal ≤ $1000

• Vandalism – Personal > $1000 and ≤ $5000

• Vandalism – Personal > $5000 and ≤ $10,000

• Vandalism – Personal > $10,000

Incident/Near Hits Involving Property, Facilities or Assets

• Break & Enter – Building ≤ $25,000

• Break & Enter – Building > $25,000 and ≤ $100,000

• Break & Enter – Building > $100,000 and ≤ $500,000

• Break & Enter – Building > $500,000

• Theft – Equipment/Tools/Computers ≤ $25,000

• Sabotage (NERC Facilities) to physical cyber assets (e.g., physical damage to equipment, servers) – prevented

• Sabotage (NERC Facilities) to physical cyber assets (e.g., physical damage to equipment, servers) – occurred

• Theft – Equipment/Tools/ Computers > $500,000

• Theft – Information ≤ $25,000

• Theft – Equipment/Tools/ Computers > $25,000 and ≤ $100,000

• Theft – Equipment/Tools/ Computers > $100,000 and ≤ $500,000

• Theft – Information > $500,000

• Theft – Materials/Fuel ≤ $25,000

• Theft – Information > $25,000 and ≤ $100,000

• Theft – Information > $100,000 and ≤ $500,000

• Theft – Materials/Fuel > $500,000

• Theft – Vehicle or from Vehicle ≤ $25,000

• Theft – Materials/Fuel > $25,000 to $100,000

• Theft – Materials/Fuel > $100,000 and ≤ $500,000

• Theft – Vehicle or from Vehicle > $500,000

• Trespass to Property • Theft – Vehicle or from Vehicle > $25,000 and ≤ $100,000

• Theft – Vehicle or from Vehicle > $100,000 and ≤ $500,000

• Vandalism/Sabotage – Building > $500,000

• Vandalism/Sabotage – Building ≤ $25,000

• Vandalism/Sabotage – Building > $25,000 and ≤ $100,000

• Vandalism/Sabotage – Building > $100,000 and ≤ $500,000

• Vandalism/Sabotage – Equipment > $500,000

• Vandalism/Sabotage – Equipment ≤ $25,000

• Vandalism/Sabotage – Equipment > $25,000 and ≤ $100,000

• Vandalism/Sabotage – Equipment > $100,000 to $500,000

• Vandalism/Sabotage – Vehicle > $500,000

• Vandalism/Sabotage – Vehicle ≤ $25,000

• Vandalism/Sabotage – Vehicle > $25,000 and ≤ $100,000

• Vandalism/Sabotage – Vehicle > $100,000 and ≤ $500,000



Category: Security



Security Threats Workplace Violence, Assault, Threats to Persons

• Threats – No capability or intent

• Assault – verbal or aggressive behavior (e.g., shaking of fists, pushing, shoving, intimidation)

• Assault – Aggressive behavior (e.g., fight, punch) or injury

• Assault – Fatality

• Bomb Threat – Non specific – written/verbal/electronic

• Bomb Threat – Device(s) located but confirmed non threatening by emergency services

• Bomb Threat – Device(s) located and confirmed threatening by emergency services

• Civil disobedience • Emergency Workplace Violence – Imminent Threat, Injury, Assault

• Emergency Workplace Violence – Fatality

• Harassment – non-sexual – verbal/electronic

• Harassment – Sexual – physical/verbal/electronic

• Kidnap, Extortion, Detainment

• Labor Dispute – Threatened/Potential

• Labour Disruption – Initiated • Robbery (by force or fear) – physical force, inducement or weapon causing a fatality

• Non-Emergency Workplace Violence – Threatened/Potential

• Robbery (by force or fear) – physical force, inducement or weapon

• Security Threats that raise threat level to Imminent or High, within the area, regionally or nationally

• Terrorist Threat – general awareness, non energy industry/general nature, non TC specific

• Suspicious Package, Letter, Email – Located or received but confirmed non threatening by emergency services

• Terrorist Threat – elevated, energy industry and TC specific

• Threatened sabotage (NERC Facilities) to physical cyber assets (e.g., physical damage to equipment, servers)

• Terrorist Threat – elevated, energy industry specific but not TC specific

• Threats – written/verbal/electronic

• Threats – Weapon

Protests or threat of protest

• Threat of protest • Protesters on private property (i.e. ROW, Construction Office, Landowner Property, etc.)

• Protests resulting in Work Disruptions

• Protesters on public property



Category: Security



Suspicious Activity • Intrusion Alarm Response • Request for confidential information

• Request and release of confidential information

• Loitering • Suspicious Activity – Incident/Near Hits targeting energy sector companies in close proximity to TC facilities

• Suspicious Activity – Incident/Near Hits targeting energy sector companies whose facilities are on TC property

• Suspicious Activity – Incident/Near Hits targeting energy or non-energy sector, general awareness

• Suspicious Activity which does not raise the threat level, within the area, regionally or nationally but the level of general awareness is raised

• Suspicious activity which raises threat level to Elevated, within the area, regionally or nationally

• Tailgating – through a door/gate by a person/vehicle

• Suspicious person(s) • Unauthorized physical access (NERC Facilities) to critical physical cyber assets – occurred

• Suspicious vehicle(s) • Unauthorized physical access to facility restricted areas – occurred

• Unauthorized photography or video surveillance

• Suspicious activity which raises threat level to Imminent or High, within the area, regionally or nationally

• Unauthorized physical access (NERC Facilities) to critical physical cyber assets – prevented

• Unauthorized physical access to facility restricted areas – prevented

• Unauthorized sketching or note taking

• Unauthorized surveillance



Category: Safe Act

Category: Unsafe Act



No Hazard Identified • No subevent applicable

Hazard Identified • No subevent applicable



Unsafe Behavior • No subevent applicable


Safety 24/7 Classification Section

Category: Safety 24/7

Safety 24/7 (Safety At Home and At Play) an Incident (including Near Hit), Safe Act, or Unsafe Act that occurs outside of work and does not involve Company property or resources.

This classification provides events to record and share incidents, safe acts, or unsafe acts that occur outside of work. For example: if these were to occur while on vacation, over the weekend, at class, while shopping.

Safety 24/7 Classification



Injury /Illness – Safety 24/7 • First Aid • Medical Treatment (stitches, positive x-ray, procedure)

• Away from work case • Life threatening injuries, illness or fatality

• Physical discomfort due to ergonomic factors

• Restricted Work Case (unable to perform normal duties)

• Suspected exposure to toxic substances

• Verified exposure to toxic substances

• Vehicle incident resulting in damages ≤ $5,000

• Vehicle Incident/Near Hit resulting in damages > $5,000

Equipment/Property – Safety 24/7

• Equipment/Tool/Property Incident resulting in Damages ≤ $5,000

• Equipment/Tool/Property Incident resulting in damage > $5,000

• Fire/explosion damage ≤ $5,000

• Fire/explosion resulting in damage where replacement of property or equipment is > $5,000

Gas/Spill Release to Environment – Safety 24/7

• Gas/Spill Release – No impact to the environment

• Gas/Spill Release – Resulting in an adverse affect


Safety 24/7 Classification Section

Category: Safety 24/7



Near Hit – Safety 24/7 • Potential minor equipment/property/tool damage ≤ $5,000

• Potential serious equipment/property/tool damage > $5,000

• Potential minor fire/explosion damage ≤ $5,000

• Potential serious fire/explosion damage > $5,000

• Potential minor injury (i.e., first aid only)

• Potential serious injury (i.e., medical treatment)

• Potential major injury (i.e., disabling)

• Potential critical injury (i.e., life threatening/fatality)

• Potential minor vehicle ≤ $5,000

• Potential serious vehicle > $5,000

Safe Act – Safety 24/7 • No subevent applicable

Unsafe Act – Safety 24/7 • No subevent applicable


Unauthorized Activity Classification Section

Category: Unauthorized Activity

Unauthorized Activity employee, contractor, 3rd party organization performing work activities without attaining authorization; including any form of ground disturbance, i.e. blasting, auguring or excavating, encroachment (construction of any kind of facility on the ROW or within the Safety/Control Zone), equipment/vehicle crossing over the pipeline, and/or foreign crossing (pipeline or power line installed above or below existing pipeline or power line).

Unauthorized Activity includes:

• 3rd party activities causing ground disturbance on or within 30m/100ft of TransCanada buried facilities or vehicular easement crossings without prior notification;

• 3rd party failure to adhere to conditions specified in crossing, ground disturbance approvals or on-site guidance from company representation; and

• Activities conducted by TransCanada employees or contractors on foreign (or TC affiliate) easements without notification or required consent.

Information gathered in response to Unauthorized Activities facilitates:

• safety to public, employees and protection of company assets by providing sufficient data (location, equipment) to conduct immediate engineering assessments;

• regulatory compliance with state, provincial and federal authorities reporting requirements; and

• internal and industry association data analysis in order to implement preventative strategies.

Unauthorized Activity Classification Section



Blasting • Blasting between 60 m and 300 m (or 200 and 1000 ft.) of a TransCanada pipeline

�� Blasting activity within 60 m (or 200 ft.) of a TransCanada pipeline (within 30 M or 100 ft. reportable to NEB)

Mechanical Excavation �� Unauthorized mechanical excavation (ground disturbance) / blasting within 30 m (or 100 ft.) of the edge of the pipe

�� Unauthorized mechanical excavation (ground disturbance) on the ROW Environment

�� Unauthorized mechanical excavation (ground disturbance) on the ROW resulting in facility damage that requires repair

Vehicle or Mobile Equipment Activity

�� Vehicular or mobile equipment activity on the right-of way having no detrimental effect on the integrity of the pipeline

�� Vehicular or mobile equipment activity having detrimental effect on the integrity of the pipeline resulting in remedial or replacement activity

Foreign Crossing �� Foreign crossing or infrastructure encroachment that did not involve mechanical excavation

• Foreign crossing or infrastructure that involved mechanical excavation within 30m (or 100 ft.) of the pipe but not on the ROW

�� Foreign crossing having a detrimental effect on TransCanada buried facilities, resulting in remedial or replacement activity


There are four types: Non-compliance, Regulatory Visit, Reportable to Authority, and Communications. Each are recorded by navigating to the Business Central Incident and Quality Management form.

Non-compliance, Regulatory Visit, and Communications regulatory events are entered directly from the Incident & Quality Management / Record Regulatory Event option.

Reportable to Authority events are recorded through Incidents or Nonconformance events on specialized details sections.

Regulatory Event Correspondence or interaction with an authority. Record interactions and correspondence with regulatory authorities, including communication, visits (audits, inspections, investigations or invitations) and notices of non-compliances. Manage findings for issued non-compliances or regulatory visits.

Non-Compliance Notification from an authority that declares a violation of a legal requirement or condition

Reportable to Authority A legal requirement to report an event or consequence of an event to an external agency or authority

Communications Request for information from an external agency or authority.

Regulatory Visit An audit, inspection or investigation performed by an external agency or authority, to verify compliance to legal requirements or to gather evidence in support of determining the extent of a potential non-compliance or non-compliance

Potential Non-Compliance An internal determination or notification from an authority of a potential non-compliance.

Preventive Action Steps taken to address the risk of an incident/nonconformance/non-compliance in order to eliminate or reduce the risk of occurrence

Corrective Action Steps taken to respond to an incident/nonconformance/non-compliance intended to address root cause and reduce the risk of recurrence or consequence

Regulatory Event Section


To classify Quality Management events, the following guide is provided.

The following classifications are for both NCR and OFI notification types. Classifications are broken down into two catalogues – Defect Location and Defect Type.

Defect Location classification provides a way to pull information out, grouped by the applicable TransCanada Operations Management Systems (TOMS) programs and engineering/project disciplines, as well as project stage and roadmap level.

Defect Types are organized by TOMS element and contain the kind of defects that we expect to encounter in all facets of the company’s operational activities – from Design to Decommission. Defect Type classification provides a way to pull information out grouped by items such as Environment (Soil, Water, Wildlife, etc.), Construction (Concrete, Welding, Earthworks, Fabrication, etc.). Use as many of these classifications as necessary to provide all information that may need to be reported on. NOTE: Operational Processes are specific to the Gas Operations Program.

Once the Defect Location and the Defect Type have been selected, the Defect Class is applied to indicate the severity of the problem. Please refer to the IRAP Matrix determine the severity – according to the pre-defined categories and risk values. This guide will mature and the severity of the Defect Types will be populated form user feedback.

Quality Management TransCanada’s Quality Management processes are enabled through the SAP Quality Management tool. Currently the tool offers Nonconformance Reporting (NCR) and Opportunities for Improvement

Non-conformance (NCR) is the failure to meet any stated requirement. (For example: contractual obligations, purchase orders, procedures, policies, specifications, standards or legal requirement.)

Opportunity for Improvement (OFI) is an observation that has the potential to result in an improvement and may be investigated for a resolution. (For example: This may be a problem observed in which preventative action needs to be made; alternatively, a suggestion to improve a process or procedure).

Preventive Action Steps taken to address the risk of an incident/nonconformance/non-compliance in order to eliminate or reduce the risk of occurrence.

Quality Management Classifications


Defect Locations

Event Type Folder Item

NCR/OFI

Mandated TOMS Programs Safety

Health

Environment

Quality

Emergency Management

Corporate Security

Pipe Integrity

Facility Integrity Reliability Mgmt

Pipeline ICS Cyber Security

Maintenance Planning

Operations & Maintenance Compliance

Practice Of Engineering

Other Programs Engineering Standards

Project Delivery Standard

Engineering Disciplines Civil

Mechanical

Electrical

Compression

Measurement

Controls

Leak Detection

Project Disciplines Business Development

Construction

Document Management

Engineering

Fabrication

Land and ROW

Operations

Project Controls

Project Management

Public Relations

Regulatory

Supply Chain

Transportation


Defect Locations

Event Type Folder Item

NCR/OFI

Project Stage Definition

Implementation

Operation

Proposal

Prospecting

Project Roadmap Level Level A

Level B

Level C

Level D

Operational Processes Administrative Support

Billing

Contracts

Credit

Emergency Preparedness and Response

Mainline Planning East

Mainline Planning West

Manage Customer Service Projects

Manage Gas Quality Tariff

Manage Measurement Information

Manage Simulation Tools

Manage System Operations

Monitor and Control

Nominations

Optimize System Capacity

Plan & Manage Mainline System Operations

Provide Laboratory Services

Receipt and Delivery Forecasting


Category: Health & Safety


Category: Environment

Defect TypeDefect Class

Minor Incident Serious Incident Major Incident Critical Incident

Air and GHG

Environmental Noise

Fish and Fish Habitat

Historical and Cultural Resources

Reclamation

Remediation

Soil

Spills and Releases

Vegetation

Waste and Hazardous Materials

Water

Wildlife and Wildlife Habitat

• Minor Risk • Serious Risk • Major Risk • Critical Risk



Miscellaneous – Health & Industrial Hygiene

• Minor Risk • Serious Risk • Major Risk • Critical Risk

Miscellaneous – Safety



Category: Information Management

Category: Information Management – Hydraulic Data Management



Communication • Classification Issues

Document Control • Deviation from Procedures or Specifications

• Interface problems between disciplines or defect types

• Procedural Concern

• Deviations

• Variances

Drawings, Maps & Schematics Issues

• Issues, errors or concerns specifically associated with the content or management of drawings, maps, and/or schematics

Record Control • Classification

• Control

• Retention



Additions/Revisions/Retirement

• Issues or concerns with additions, revisions, or retirement or hydraulic data

Data Sources • Issues or concerns with data sources (engineering documentation, drawings, etc.)

Hydraulic Data Management

• Additions/Revisions/Retirement

• Data Sources

• Suspected Data Errors

• Tuning

Suspected Data Errors • Suspected data errors in hydraulic data

Tuning • Issues or concerns with hydraulic data tuning



Category: Information Management – Pipe & Facility Data



Pipe and Facility Data • Data error that affects low risk pipelines. (e.g. newly constructed pipes, small diameter pipe)

• Low priority deficiency in pipeline data or incorrect data in current data management system

• Spatial Inaccuracies < 10 m or 33 ft

• Areas where there are no imminent integrity risks. (e.g. Cathodic Protection facilities and measurements)

• Areas where consequences of data error produces acceptable level of over – conservative risk. (i.e. repair work not updated in database)

• Spatial Inaccuracies between 10 and 50 m or 33 and 165 ft

• Data error that affects the generation of pipe integrity work. (i.e. coating, outside diameter, wall thickness, MOP, grade, early construction year, large diameter pipes, proximity to high consequence areas, soils data on non-FBE coated lines.)

• Spatial Inaccuracies > 50 m or 165 ft



Category: Infrastructure



Fire Systems • Issues and concerns related to fire systems

HV Electrical Systems • Issues and concerns related to HV Electrical Systems

Issues or concerns with Operations Software

Infrastructure

Maint of bldgs/workplace/equip

New Technology • An identified opportunity to improve operational excellence with < $25,000 cost savings or avoidance

• An identified opportunity to improve operational excellence with < $100,000 cost savings or avoidance

• An identified opportunity to improve operational excellence with < $500,000 cost savings or avoidance

• An identified opportunity to improve operational excellence with ≥ $500,000 cost savings or avoidance

Oil Separation Systems • Issues and concerns related to Oil Separation Systems

Primary Protective Systems • Issues and concerns related to Primary Protective Systems

Software (Operations) Minor Configuration change to:

• Callout

• Daily Operations Summary

• ELOGS

• ETS (Emergency Telephone System)

• Facility Notepad

• Gas Utilities

• GeoFind

• GQS (Gas Quality Systems)

• IIR (Initial Incident Response)

• KLOVA/GMS (Gas Measurement Systems)

• OLT (Online Advisory System)

• PAMS (Plant Alarm Management System)

• SCADA

• SynerGEE

Support Services



Category: Leadership, Commitment, and Strategy



Communication • Concerns with the communication of responsibilities and authorities

Definition • Concerns with the definition of responsibilities and authorities

Goals, Objectives, Targets

Leadership • Concerns related to leadership

Policies

Responsibilities and Authorities

• Application of existing authorities required

• Change to one authority required

• Change to < 5 authorities required

• Wholesale authorities changes required

Structure • Concerns with the structure of responsibilities and authorities

Category: Management of Change



Management of Change • Issues related to managing the process



Category: Operation Beyond Design Limits (OBDL) (Canada Only)



Operating Above Design or Imposed Criteria – Pressure

• Pressure exceeding a Company self-imposed pressure restriction (i.e. for verification dig purposes) and the Regulator is NOT made aware of the pressure reduction

�� Pipeline over-pressured by >10% over certificated Maximum Contract Pressure (MCP)

�� Pressure exceeding a Company self-imposed pressure restriction (i.e. for integrity purposes) and the Regulator is made aware of the self-imposed pressure restriction

�� Pressure exceeding an NEB-imposed pressure restriction

Introduction of inappropriate product into the pipeline

• Introduction of an inappropriate product into the pipeline (e.g. Receipt or Delivery with an H2S concentration exceeding 2 times the pipeline Gas Quality H2S Tariff Specification, except true H2S shut-ins where all the equipment worked as designed)

Operating Above Design or Imposed Criteria – Temperature

• Temperature exceeding a design criteria or an NEB-imposed temperature restriction



Category: Operational Controls



Atmospheric Deficiencies • Atmospheric Grade 4 recorded. Status issued as minor for up to 12 months from inspection

• Atmospheric Grade 4 recorded. Status upgraded to Serious between 12 months and 15 months after initial inspection

• Atmospheric Grade 4 recorded. Status upgraded to Major between 15 months and 17 months after initial inspection

• Atmospheric Grade 4 recorded. Status upgraded to Critical greater than or equal to 17 months after initial inspection

Authorized Encroachment • Request that require no improvement to system and no modification to area of concern

• Request that requires no improvement to system but does require modifications to area of concern (e.g. dirt ramps, timber ramps, rig mat)

• Request that requires improvement to system resulting in costs < $1,000,000 (e.g. pipe replacement, line lowering)

• Request that requires improvement to system resulting in costs > $1,000,000 (e.g. pipe replacement, line lowering)

Business interruption • False H2S shut-in or interruption of receipt or delivery services outside of normal or planned rate restrictions, or forced outages resulting in reduction of plant electrical revenue, costing < $100,000

• Process Interruption of receipt or delivery outside of normal planned rates, resulting in a failure of daily nomination totaling less than 100,000 (Gas Storage)

• Interruption of receipt or delivery services outside of normal or planned rate restrictions, or forced outages resulting in reduction of plant electrical revenue, costing $100,000 – $500,000

• Process Interruption of receipt or delivery outside of normal planned rates, resulting in a failure of daily nomination totaling between 100,000 – 500,000 (Gas Storage)

• Interruption of receipt or delivery services outside of normal or planned rate restrictions, or forced outages resulting in reduction of plant electrical revenue, exceeding $500,000

• Process Interruption of receipt or delivery outside of normal planned rates, resulting in a failure of daily nomination totaling ≥ 500,000 (Gas Storage)

Cathodic Protection • Test Station does not meet acceptable criteria based on regulatory or alternative criteria. Status issued as minor for up to 3 months post initial measurement discovery

• Test Station polarized (instant off) potential found to be more negative than –1.3 VDC

• Test Station found to have AC potential greater than or equal to 15 VAC and less than 30 VAC

• Casing found to be shorted for the first time

• Rectifier Temporarily out of service

• Test Station does not meet acceptable criteria based on regulatory or alternative criteria. Status upgraded to Serious from 3 months post initial measurement discovery to 12 months

• Test Station found to have AC potential greater than or equal to 30 VAC

• Shorted Casing follow up testing (Panhandle Test) not performed within 6 months after initial discovery

• Rectifier out of service and requires mitigation

• Test Station does not meet acceptable criteria based on regulatory or alternative criteria. Status upgraded to Major from 12 months post initial measurement discovery to 14 months

• Shorted Casing follow up testing (Panhandle Test) not performed within 12 months after initial discovery or an attempt has not been made to excavate casing for visual inspection

• Rectifier out of service and mitigation not completed in 12 months will result in the upgrade to Major Status

• Test Station does not meet acceptable criteria based on regulatory or alternative criteria. Status upgraded to Critical from 14 months post initial measurement discovery

• Shorted Casing follow up testing (Panhandle Test) not performed within 14 months after initial discovery or an attempt has not been made to excavate casing for visual inspection

• Rectifier out of service and mitigation not completed in 14 months will result in the upgrade to Critical Status


Category: Operational Controls – Capacity


Category: Operational Controls

Category: Operational Controls – Agreements



Dam/Water Conveyance Failure

• Dam/Water Conveyance Damage (due to earthquake, explosion/fire or other events) resulting in a loss < $100,000 and no impact to public

• Dam/Water Conveyance Damage (due to earthquake, explosion/fire or other events) resulting in a loss ≥ $100,000 and < $500,000 and/or a minimum impact to public

• Dam/Water Conveyance Damage (due to earthquake, explosion/fire or other events) resulting in a loss ≥ $500,000 and/or an impact to public

Planned Outage • Errors in outage plans or procedures

• Outage scheduling/executions

• Outages not executed as planned



Electrical

Other Operational Agreements

Signals

Storage



Capacity Impacts • Meter Station, Pressure Issues, Sour Issues


Category: Operational Controls – Compression


Category: Operational Controls – Comms&Stkhldr Interaction



Adjacent landowner • Inquiry • Request • Concern

Community/Aboriginal • Inquiry • Request • Concern

Directly Impacted Landowner (LO)

• Inquiry • Request • Concern

External • Customer Inquiries • Customer Request • Insufficient Notice Given • Complaint

External Party Contract Concern

External Party Outage Concern



Station operation & control philosophy

• Issues with compressor station operation and control philosophy



Category: Operational Controls – Construction



Access Construction (including ice roads)

Assemblies & Torqueing

Brushing

Buoyancy Control

Camp and Washroom Facilities

Cathodic Protection

Clean up and Restoration

Commissioning

Concrete

Conduit • Electrical conduit, wire & cables

Construction Management and Site Inspection

Daylighting • Discovery of buried facilities (pipeline or cable) during mechanical excavation

Defective Material

Drain Tile / Land Drains

Earthworks • This would included, clearing, cut, backfill, rough grading and finished grading

Electrical

Equipment – Mechanical

Equipment – Telecom

Fabrication

Fencing

Final Tie-Ins • Gas Handling Issues/Leaks • Contractor Delays






Fire Protectoin

Geotechnical Studies

Hauling, Storage and Stringing

Helicopter Services

Horizontal Directional Drilling (HDD)

HVAC

Interface • Interface problems between disciplines or defect types

Internal Cleaning and Inspection

Labour • Special labour schedules and premium pay

Lowering-in

Matting

Non-Destructive Examination

Operability • Modifications made to improve operability of the plant

Painting Work

Pilings

Pipe Bending

Pipe cleaning (inline)

Pipe Coating

Pipe Stockpile Sites

Piping

Plumbing






Pre-Engineered Building

Pressure Testing • Hydrostatic Testing

Railway, Highway and Road Crossings

Right-of-Way and Access • Discovery of buried facilities (pipeline or cable), or buried facilities incorrectly marked/missed during hand excavation/hydrovac activities and/or during excavation planning (drawing review, survey locate/sweep, site assessments etc.)

Right-of-Way and Pipeline Warning Signs

Rock Shielding

Sandblasting

Shipping/Logistics

Sleeve Installation

Structural Coatings

Structural Steel

Survey and Route Requirements

Tanks

Testing

Trenching and Other Excavations

Tubing & Fitting

Washing (Equipment)

Water Crossings

Welding


Category: Operational Controls – Control Room Management




Shift Change

Alarm Management • Alarm classification inappropriate

• Alarm priority distribution

• Alarm response inappropriate

• Alarm severity deemed to be incorrect

• Alarms Off scan, inhibited, in manual

• Frequently occurring alarms (Bad actors)

• Nuisance/False alarms (Fleeting)

• Safety alarm verification

• Stale / Standing alarms

Control Centre Response • Issues with procedures, training, communication

Hours of Service deviation


Category: Operational Controls – Control System




Communication Loss • Comms Loss between GCC, OCC, facility

Leak Detection Equipment • Issues with the interrogator, laser, processor, enclosure, communication equpiment, installation

Leak Detection Infrastructure

• Server configuration and management

Leak Detection Instrumentation

• Issues with transmitter location, types, configuration, operational specifications limitations)

Leak Detection Software • Simsuite software issues (misconfiguration, configuration changes, database updates and hot fixes)

SCADA Alarm Configuration

SCADA Calculations/ line-pack

SCADA Control Systems

SCADA Data errors

SCADA Displays/graphics

SCADA Field System


Category: Operational Controls – Design




Control of Design & Development Changes

Design and Development Inputs

Design and Development Outputs

Design and Development Planning

• Issues or concerns related to the intended range of operating conductions

Design and Development Review

• Issues or concerns related to authentication errors

Design and Development Validation

Design and Development Verification

Engineering • Issues or concerns related to engineering assessments

Supply & Deliver Forecasts/assessments

• Design Forecast

• Industry and Analysis Reporting



Category: Operational Controls – Facility/Right of Way Condition



Aerial Patrol/Inspection

Frost Heave • Concerns related to frost heave at facilities or on pipeline ROW with low potential for a regulatory response

• Concerns related to frost heave at facilities or on pipeline ROW with high potential for a regulatory response

Physical Damage • Discovery of facility damage as a result of activity in the past requires remedial and/or corrective action costing < $5,000

• Discovery of facility damage as a result of activity in the past that requires remedial and/or corrective action ≥ $5,000

Signage problems • Concerns related to signage at facilities or on pipeline ROW with low potential for a regulatory response

• Concerns related to signage at facilities or on pipeline ROW with high potential for a regulatory response

Pipe Exposure – Loss of cover over Pipeline (e.g. sinkhole, exposed/floating pipe)

• Measured loss of cover over the pipeline (.4m to .8m or 15 to 30"" of cover left) on cultivated land only

• Measured loss of cover over the pipeline (<8m or <31"" of cover left) excluding cultivated land

�� Concerns related to floating pipe at facilities or on pipeline ROW

�� Measured loss of cover over the pipeline (<.4m or <15"" to of cover left) on cultivated land only

�� Exposure of the pipeline to conditions where significant vibration or excess stress can occur

�� Exposure of the pipeline in waterbody (Rivers, wetlands...)

�� Discovery of exposure of any pipeline where the pipeline is exposed and unsupported

Slope Stability – Slope Movement

• Soil movement such as slump blocks < 10 m or 33 ft. in. length on the ROW but not over the pipeline and/or soil cracking across the pipeline with an opening < 1 cm or < 0.5 in. wide

�� Soil movement such as large slump blocks 10-50 m or 33 –165' in length crossing the pipeline and/or soil cracking across the pipeline with an opening < 15 cm or < 6" wide

�� Large slump blocks on the ROW >50 m or >165' in length and/or soil cracking >15 cm or >6" wide over the pipeline


Category: Operational Controls – Instrumentation Management


Category: Operational Controls – Gas/Oil Quality



Composition issues • Issues or concerns related to gas composition

Facility notepad entries • Issues or concerns with Facility Notepad entries

Foreign matter contamination of product

• Foreign matter contamination resulting in costs < $25,000

• Foreign matter contamination resulting in costs of $25,000 – $100,000 or customer/company production interruption < 8 hours

• Foreign matter contamination resulting in costs $100,000 – $500,000 or customer/company production interruption 8 – 72 hours

• Foreign matter contamination resulting in costs > $500,000 or customer/company production interruption > 72 hours

Off spec receipt/delivery • Off specification receipt or delivery resulting in equipment replacement or repair costing < $100,000

• Off specification receipt or delivery resulting in equipment replacement or repair costing $100,000 to $500,000

• Off specification receipt or delivery resulting in equipment replacement or repair where costs exceed $500,000

Tariff excursions req formal correspond

• Gas Quality Tariff excursions resulting in formal correspondence requesting resolution of the problem

• Limited to excessive H2S Shut ins, Excessive HCDP off spec and Excessive Water Content off spec programs managed by the Gas Quality Team.



Monitoring & Measurement Equipment Control

• Equipment Calibration Issues



Category: Operational Controls – Logistics



Failure to deliver on time • Failure to deliver on time resulting in costs < $25,000

• Failure to deliver on time resulting in costs of $25,000 – $100,000 or customer/company production interruption < 8 hours

• Failure to deliver on time resulting in costs $100,000 – $500,000 or customer/company production interruption 8 – 72 hours

• Failure to deliver on time resulting in costs > $500,000 or customer/company production interruption > 72 hours

Incorrect labeling • Incorrect labeling resulting in costs < $25,000

• Incorrect labeling resulting in costs of $25,000 – $100,000

• Incorrect labeling resulting in costs $100,000 – $500,000

• Incorrect labeling resulting in costs > $500,000

Incorrect/incomplete or late documents

• Incorrect, incomplete, or late commercial, technical or other documents resulting in costs < $25,000

• Incorrect, incomplete, or late commercial, technical or other documents resulting in costs $25,000 – $100,000

• Incorrect, incomplete, or late commercial, technical or other documents resulting in costs $100,000 – $500,000

• Incorrect, incomplete, or late commercial, technical or other documents resulting in costs > $500,000

Logistics Process • Provide description of problem, default is minor severity

Received Damaged Goods • Product damage resulting in costs < $25,000

• Product damage resulting in costs of $25,000 – $100,000

• Product damage resulting in costs $100,000 – $500,000

• Product damage resulting in costs > $500,000


Category: Operational Controls – Measurement Systems


Category: Operational Controls – Maintenance Management



Equipment • Temporary Fleet

• Measurement

• Compression

• Facility

• Pipeline

Service Bulletins • FYI type SBs

• N/A aero only etc.

• No actions required (i.e. catalogue only)

• SB that requires adjustment to equipment or related parts but has no potential for immediate effect on system performance (i.e. change in blade wash fluid, O-ring material change etc.)

• SB with the potential to immediately affect System performance (i.e. change in operating spec./ temp. spread, vibration limit, rpm limit, etc.)

• SB that WILL immediately negatively affect system performance or safety (i.e. a bad batch of turbine blades that we may have, potential of fire if actions are not taken etc.)

Work Execution • Issues and concerns related to the execution of maintenance work

Work identification • Issues and concerns related to the identification of maintenance work

Work Planning And Scheduling

• Issues and concerns related to the planning and scheduling of maintenance work

Work Prioritization • Issues and concerns related to the prioritization of maintenance work



Errors in Oil measurement data

• Suspected or detected errors in oil measurement data

Measurement Systems • Prior Period adjustments > 100 TJ's

System performance • Possible / identified restriction / modification resulting in costs < $100,000 or Potential to change > 1,000 hours per AOI

• Possible / identified restriction / modification resulting in costs < $500,000

• Possible / identified restriction / modification resulting in costs < $1,000,000 or Potential failure

• Possible / identified restriction / modification resulting in costs ≥ $1,000,000 or Retirement



Category: Operational Controls – Nominations

Category: Operational Controls – Plans & Strategies



Errors while processing nominations

• Suspected or detected errors in nominations or discrepancies in nominations



System Operation & control philosophy

• Issues or concerns related to system operation and control philosophies



Category: Operational Controls – Procurement



Incorrect product / quantity / package type

• Incorrect product, package type, quantity or otherwise unsatisfactory shipment resulting in costs < $25,000

• Incorrect product, package type, quantity or otherwise unsatisfactory shipment resulting in costs of $25,000 – $100,000 or customer/company production interruption < 8 hours

• Incorrect product, package type, quantity or otherwise unsatisfactory shipment resulting in costs $100,000 – $500,000 or customer/company production interruption 8 – 72 hours

• Incorrect product, package type, quantity or otherwise unsatisfactory shipment resulting in costs > $500,000 or customer/ company production interruption > 72 hours

Procurement / Logistics • Minor error, no disruption • Moderate error, minimal disruption

• Moderate error, operational disruption < day

• Major error, operational disruption > day

Procurement Process • The organization did not ensure that purchased product conforms to specified requirements or did not evaluate and select vendors based on their ability to supply product in accordance with the organization’s requirements.

Product deficiency in meeting spec

• Failure to meet specifications resulting in costs < $25,000

• Failure to meet specifications resulting in costs of $25,000– $100,000 or customer/company production interruption < 8 hours

• Failure to meet specifications resulting in costs $100,000 – $500,000 or customer/company production interruption 8 – 72 hours

• Failure to meet specifications resulting in costs > $500,000 or customer/company production interruption > 72 hours

Product performance failure or damage

• Product performance failure or damage resulting in costs < $25,000

• Product performance failure or damage resulting in costs of $25,000 – $100,000 or customer/ company production interruption < 8 hours

• Product performance failure or damage resulting in costs $100,000 – $500,000 or customer/company production interruption 8 – 72 hours

• Product performance failure or damage resulting in costs > $500,000 or customer/company production interruption > 72 hours

Storage, Handling, Preservation

Supplied equip/ material/service

• Issues or concerns related to supplied equipment, materials or services

Supplied service • Incorrect service resulting in costs < $25,000

• Incorrect service resulting in costs of $25,000 – $100,000

• Incorrect service resulting in costs $100,000 – $500,000

• Incorrect service resulting in costs > $500,000

Verification of Purchased Product



Category: Operational Controls – Pump Station Performance



Actual HP does not meet HP expectations

• Issues or concerns with pump station horsepower not meeting horespower expectations

Errors in the Starting Procedures

• Issues or concerns with pump station operation and control philosophy

Pump Station Performance • Fully managed, minor variation

• Fully managed, moderate variation

• Partially managed, significant variation

• Not managed, significant variation

Station Operation & Control Philosophy

• Suspected or detected errors in the mainline starting procedures



Category: Operational Controls – Restrictions



Pipeline Restrictions • Facility restriction with no impact to pipeline system capacity anticipated

• Pipelines with pressure restrictions imposed by Pipe Engineering for integrity issues (Excludes pressure reductions for excavation and repair)

• Power facility restrictions with no impact to output capacity

• Facility restriction which impacts pipeline system capacity

• Power facility restrictions with an impact to output capacity

• Pipelines with pressure restrictions imposed by a regulator (i.e. FREC, NEB, etc.)

• Power facility restrictions imposed by Electric System Operator

• Facility shutdown

Plant Restriction • Facility restriction with no impact to pipeline system capacity anticipated





• Pipelines with pressure restrictions imposed by a regulator (i.e. FREC, NEB, etc.) Power facility restrictions imposed by Electric System Operator


Power Facility Restriction • Facility restriction with no impact to pipeline system capacity anticipated





• Pipelines with pressure restrictions imposed by a regulator (i.e. FREC, NEB, etc.)

• Power facility restrictions imposed by Electric System Operator



Category: Perf. Mon., Audit, Mgmt Review – Audits / Inspections


Category: Perf. Mon., Audit, Mgmt Review



Employee Suggestion/Innovative Idea

• Action items identified inside the scope of the management system or Possible savings/cost avoidance < $100,000

• Action items identified outside the scope of the business area or Possible savings/cost avoidance < $500,000

• Action items identified outside the scope of the management system but within the business area or Possible savings/cost avoidance < $1,000,000

• Possible savings/cost avoidance ≥ $1,000,000

Governance • Needs to align to Internal Audit Framework

• Tier 2 – Facilities Planned Inspection

• Tier 3 – Operations and Engineering Self Assessment

• Tier 4 – Third Party HSE Audit or Assessment (external/non regulatory i.e. PriceWaterhouseCoopers)

Management Review

Trending & analysis • Request/Inquiry requiring response to business unit or industry association

• Request/Inquiry requiring response to senior leadership

• Request/inquiry requiring response to Board of Directors or a Request/inquiry requiring response to Regulatory Agency



Assessment and Matrix • Issues or concerns arising from internal audit assessments and/or matrices

Deviation from plans • Issues or concerns arising from deviations from planned drills or exercises

• Scheduled exercises or drills not performed as planned

• Deviation from Company Procedures

Emergency Planning

Emergency Preparedness • up to $100,000 • $100,000 – $1,000,000 • $1M – $10M • $10M – $100M

Planned Inspection • Issues resulting frm planned inspections of facilities

Resources

Schedule • Scheduled exercises or drills not performed on time

Checklists/templates • Issues or concerns with internal audit checklists and/or templates



Category: Risk Management



Acceptance Criteria • Asset Investment

• Civil Inspections

• Classification

• Controls

• Design Criteria

• Design Philosophies

• Design Review

• Engineering Standards

• Identification

• Personal Risk Assessment

• Quantification

• Risk Register

• Technical Knowledge Management

Assessment • Internal assessments with low risk findings

• Internal assessments with medium risk findings

• Internal assessments with high risk finding

• Internal assessments with a series of findings or a single finding having significant impact to the business area and driving immediate corrective or preventative actions to the business area

Control Measures • Mitigation costs <= $5,000 • Mitigation costs > $5,000 to $10,000

• Mitigation costs > $10,000 to $20,000

• Mitigation costs > $20,000

Evaluation • Risk acceptance • Risk fully managed • Risk partially managed • Risk not managed

Hazard Advisory



Category: Roles, Responsibilities, and Competency



Competency Assurance • Concerns related to competency assurance

Knowledge Management • Concerns related to knowledge management

Learning Resource Issues • Issues with incorrect learning resources being assigned

Personnel • Issues associated with employee moves

• Provision of resources

Qualification Completions Not Recorded

• Issues with qualifications not being recorded correctly

Tools and Equipment • Possible modification resulting in cost reduction or cost avoidance < $100,000

• Opportunities to improve the designed performance or reduce O&M costs of equipment

• Possible equipment modification resulting in benefits or cost avoidance $100,000 – $500,000

• Equipment problems which adversely impact the facility/system integrity and create unacceptable risk

• Possible equipment modification resulting in benefits or cost avoidance $500,000 –$1,000,000

• Possible equipment modification resulting in benefits or cost avoidance > $1,000,000

Training Evaluation • Test questions and/or answers inappropriate and/or incorrect

Training Materials • Suspected or detected errors within the Learning Management System

Training Plan/Program • Training and/or qualification plan/program deficiencies

Training Requirements Analysis

• Issues associated with the analysis of training requirements.



Category: TOMS



Application

Evaluation of Process Conformance

Evaluation of Product Conformance

Mandated Program

Requirements

Scope

Stakeholder Satisfaction


Notes


Notes

Documents

Incident & Quality Management Classification Guidesurveygizmolibrary.s3.amazonaws.com/library/50087/IncidentQuality... · Process Equipment Failure or Damage ... in MAOP/MOP below