Administrative Monetary Penalties Regulations (Canadian Energy Regulator)
Version of the schedule from 2013-07-03 to 2016-06-18:
SCHEDULE 1(Subsections 2(1) and (4) and subsection 3(1))Violations
SCHEDULE 1(Subsections 2(1) and (4) and subsection 3(1))Violations
PART 1
National Energy Board Act
| Item | Column 1 | Column 2 | Column 3 |
|---|---|---|---|
| Provision | Short-form Description | Classification | |
| 1 | 29(1) | Construction or operation of a pipeline by a person other than a company | Type B |
| 2 | 30(1) | Operation of a pipeline without a certificate and leave to open | Type B |
| 3 | 31(a) | Construction of a pipeline without a certificate | Type B |
| 4 | 31(c) | Construction of a pipeline without an approved plan, profile and book of reference | Type B |
| 5 | 45(1) | Failure to submit for approval a plan, profile and book of reference | Type B |
| 6 | 47(1) | Opening a pipeline or section of pipeline for transmission without leave | Type B |
| 7 | 51 | Failure to provide assistance | Type B |
| 8 | 58.1 | Construction or operation of an international power line without a permit or certificate | Type B |
| 9 | 58.26(a) | Construction of an international or interprovincial power line without approval of a plan, profile and book of reference | Type B |
| 10 | 58.29(1) | Construction or operation of an interprovincial or international power line without leave | Type B |
| 11 | 58.31(1) | Construction of a facility or excavation without leave | Type B |
| 12 | 58.31(2) | Failure to obtain required leave | Type B |
| 13 | 58.34(1) | Abandonment of a designated international power line or interprovincial power line without leave | Type B |
| 14 | 74(1) | Failure to obtain required leave | Type B |
| 15 | 75 | Failure to do as little damage as possible in exercising the powers granted and to compensate for damage | Type B |
| 16 | 81(1) | Failure to obtain required leave | Type B |
| 17 | 108(1) | Construction of a pipeline without certificate or order | Type B |
| 18 | 109 | Construction or operation of a pipeline without a certificate or order | Type B |
| 19 | 112(1) | Construction of a facility or excavation without leave | Type B |
| 20 | 112(2) | Failure to obtain required leave | Type B |
PART 2
National Energy Board Onshore Pipeline Regulations
| Item | Column 1 | Column 2 | Column 3 |
|---|---|---|---|
| Provision | Short-form Description | Classification | |
| 1 | 4 | Failure to ensure that a pipeline is designed, constructed, operated or abandoned as prescribed | Type B |
| 2 | 5.1(1) | Failure to submit prescribed documents for approval | Type B |
| 3 | 6 | Failure to design, construct, operate or abandon as prescribed | Type B |
| 4 | 6.1 | Failure to establish, implement and maintain a management system as prescribed | Type B |
| 5 | 6.2(1) | Failure to appoint an accountable officer and to ensure that the management system is established, implemented and maintained as prescribed | Type B |
| 6 | 6.2(2) | Failure to notify the Board as prescribed | Type A |
| 7 | 6.2(3) | Failure to ensure that the accountable officer has authority as prescribed | Type B |
| 8 | 6.3(1) | Failure to establish policies and goals as prescribed | Type B |
| 9 | 6.3(2) | Failure to base the management system on established policies and goals as prescribed | Type B |
| 10 | 6.3(3) | Failure of the accountable officer to prepare and communicate a policy statement as prescribed | Type B |
| 11 | 6.4 | Failure to have an organizational structure as prescribed | Type B |
| 12 | 6.5 | Failure to establish, develop, implement, maintain and document processes as prescribed | Type B |
| 13 | 6.6 | Failure to complete an annual report and submit a statement as prescribed | Type B |
| 14 | 9 | Failure to develop detailed designs of a pipeline, and to submit them when required | Type B |
| 15 | 10(1) | Failure to develop a documented risk assessment as prescribed | Type B |
| 16 | 10(2) | Failure to submit a documented risk assessment to the Board when required to do so | Type A |
| 17 | 11 | Failure to design and equip a station as prescribed | Type B |
| 18 | 12 | Failure to equip a compressor station or pump station with an alternate source of power as prescribed | Type B |
| 19 | 13 | Failure to locate, service or design a storage facility as prescribed | Type B |
| 20 | 14 | Failure to develop prescribed specifications, and to submit them to the Board when required | Type B |
| 21 | 15 | Failure to develop a quality assurance program as prescribed | Type B |
| 22 | 16 | Failure to develop a joining program as prescribed, and to submit it to the Board when required | Type B |
| 23 | 17 | Failure to examine each joint as prescribed | Type B |
| 24 | 18 | Failure to contract for services as prescribed | Type B |
| 25 | 19(a) | Failure to ensure that the construction activities do not create a hazard to the public or the environment | Type B |
| 26 | 19(b) | Failure to inform persons of safety practices and procedures as prescribed | Type B |
| 27 | 20(1) | Failure to develop a construction safety manual and to submit it to the Board | Type B |
| 28 | 20(1.1) | Failure to set out responsibilities as prescribed | Type B |
| 29 | 20(2) | Failure to keep a copy of the construction safety manual or relevant parts of it as prescribed | Type B |
| 30 | 21 | Failure to restore the right-of-way and temporary work areas of a pipeline as prescribed | Type B |
| 31 | 22 | Failure to ensure that there is no undue interference with the use of a utility or private road during the construction of a pipeline | Type B |
| 32 | 23 | Failure to develop a pressure testing program as prescribed, and to submit it to the Board when required | Type B |
| 33 | 24 | Conducting a pressure test without required permits | Type B |
| 34 | 25 | Failure to perform pressure testing as prescribed | Type B |
| 35 | 26 | Failure to minimize the number of welds that are not pressure-tested as prescribed | Type B |
| 36 | 27 | Failure to develop, regularly review and update as required operation and maintenance manuals as prescribed and to submit them to the Board when required | Type B |
| 37 | 28 | Failure to inform persons of practices and procedures and to make available to them the relevant portion of operation and maintenance manuals as prescribed | Type B |
| 38 | 29 | Failure to contract for services as prescribed | Type B |
| 39 | 30(a) | Failure to take reasonable steps to ensure that maintenance activities do not create a hazard to the public or the environment | Type B |
| 40 | 30(b) | Failure to take reasonable steps to inform persons of safety and environmental protection practices and procedures as prescribed | Type B |
| 41 | 31(1) | Failure to develop a maintenance safety manual and to submit it to the Board when required | Type B |
| 42 | 31(1.1) | Failure to set out responsibilities as prescribed | Type B |
| 43 | 31(2) | Failure to keep a copy of the maintenance safety manual or the relevant parts of it as prescribed | Type B |
| 44 | 32(1) | Failure to develop, implement and maintain an emergency management program as prescribed | Type B |
| 45 | 32(1.1) | Failure to develop, regularly review and update an emergency procedures manual | Type B |
| 46 | 32(2) | Failure to submit to the Board the emergency procedures manual and any updates | Type A |
| 47 | 33 | Failure to establish and maintain liaison as prescribed, and failure to consult as prescribed | Type B |
| 48 | 34 | Failure to inform persons who may be associated with an emergency response activity as prescribed | Type B |
| 49 | 35 | Failure to develop a continuing education program as prescribed | Type B |
| 50 | 36(a) | Failure to maintain communication facilities as prescribed | Type B |
| 51 | 36(b) | Failure to periodically test instruments and equipment as prescribed | Type B |
| 52 | 36(c) | Failure to continually record as prescribed | Type B |
| 53 | 36(d) | Failure to clearly mark valves as prescribed | Type B |
| 54 | 36(e) | Failure to clearly mark valves as prescribed | Type B |
| 55 | 36(f) | Failure to post signage as prescribed | Type B |
| 56 | 37 | Failure to develop and implement a pipeline control system as prescribed | Type B |
| 57 | 38(1) | Performing welding on a liquid-filled pipeline other than as prescribed | Type B |
| 58 | 38(2) | Failure to treat weld as a temporary installation and replace that installation with a permanent one as soon as is practicable | Type B |
| 59 | 38(3) | Failure to submit specifications, procedures and results for approval as prescribed | Type B |
| 60 | 39 | Failure to develop a surveillance and monitoring program as prescribed | Type B |
| 61 | 40 | Failure to develop, implement and maintain an integrity management program as prescribed | Type B |
| 62 | 41(1) | Failure to document the particulars of a defect on a pipeline as prescribed | Type B |
| 63 | 41(2) | Failure to submit the documentation in 41(1) when required | Type A |
| 64 | 42 | Failure to submit a proposed plan as prescribed | Type B |
| 65 | 43 | Failure to submit an application for a change or increase as prescribed | Type B |
| 66 | 44 | Failure to submit an application for proposed deactivation as prescribed | Type B |
| 67 | 45 | Failure to submit an application for reactivation as prescribed | Type B |
| 68 | 45.1 | Failure to submit an application for decommissioning as prescribed | Type B |
| 69 | 46 | Failure to develop and implement a training program as prescribed | Type B |
| 70 | 47 | Failure to develop, implement and maintain a safety management program as prescribed | Type B |
| 71 | 47.1 | Failure to develop, implement and maintain a security management program as prescribed | Type B |
| 72 | 48 | Failure to develop, implement and maintain an environmental protection program as prescribed | Type B |
| 73 | 51(a) | Failure to notify as prescribed | Type A |
| 74 | 51(b) | Failure to submit to the Board on request a crossing report as prescribed | Type A |
| 75 | 52(1) | Failure to notify and submit a report to the Board as prescribed | Type A |
| 76 | 53(1) | Failure to conduct inspections and audits as prescribed | Type B |
| 77 | 53(2) | Failure to document the audit as prescribed | Type B |
| 78 | 54(1) | Failure to inspect the construction of a pipeline as prescribed | Type B |
| 79 | 54(2) | Performance of an inspection by a person who does not have sufficient expertise, knowledge and training to competently carry out the inspection | Type B |
| 80 | 55 | Failure to conduct and document audits as prescribed | Type B |
| 81 | 56 | Failure to retain records as prescribed | Type A |
PART 3
National Energy Board Processing Plant Regulations
| Item | Column 1 | Column 2 | Column 3 |
|---|---|---|---|
| Provision | Short-form Description | Classification | |
| 1 | 4(1) | Failure to ensure that the company’s processing plant is designed, constructed, operated or abandoned as prescribed | Type B |
| 2 | 5 | Failure to ensure that the company’s processing plant is designed, constructed, operated or abandoned as prescribed | Type B |
| 3 | 9 | Failure to develop and submit to the Board the prescribed program | Type B |
| 4 | 10 | Failure to develop, implement and maintain quality control and quality assurance programs as prescribed | Type B |
| 5 | 11 | Failure to conduct a risk analysis as prescribed | Type B |
| 6 | 12 | Failure to ensure that employees have required knowledge and training | Type B |
| 7 | 13 | Failure to develop and implement a safety program as prescribed | Type B |
| 8 | 14 | Failure to develop and implement an environmental protection program as prescribed | Type B |
| 9 | 15 | Failure to contract for services as prescribed | Type B |
| 10 | 16 | Failure to develop, implement and maintain detailed designs of its processing plant | Type B |
| 11 | 17 | Failure to ensure that a processing plant is equipped with an emergency power source | Type B |
| 12 | 18 | Failure to ensure that each tank, bullet, sphere or other container is designed, constructed and maintained as prescribed | Type B |
| 13 | 19 | Failure to ensure that process equipment and flammable vapour sources are separated as prescribed | Type B |
| 14 | 20 | Failure to ensure that process vessels and equipment are vented as prescribed | Type B |
| 15 | 21 | Failure to equip all flare headers as prescribed | Type B |
| 16 | 22 | Failure to ensure reliable fire suppression systems as prescribed | Type B |
| 17 | 23 | Failure to equip a processing plant with systems as prescribed | Type B |
| 18 | 24 | Failure to equip a processing plant with alarm devices as prescribed | Type B |
| 19 | 25 | Failure to ensure that all pressure-relief piping and systems are designed and constructed as prescribed | Type B |
| 20 | 26(a) | Failure to ensure construction does not create a detriment or hazard as prescribed | Type B |
| 21 | 26(b) | Failure to inform persons at the construction site as prescribed | Type B |
| 22 | 26(c) | Failure to inform persons on the work site as prescribed | Type B |
| 23 | 27(1) | Failure to develop, implement and submit a construction safety manual | Type B |
| 24 | 27(2) | Failure to keep a copy of the construction safety manual at the processing plant as prescribed | Type B |
| 25 | 28(1) | Failure to ensure direct supervision of pressure tests as prescribed | Type B |
| 26 | 28(2) | Failure to ensure the independence of the test supervisor as prescribed | Type B |
| 27 | 28(3) | Failure to date and sign records | Type B |
| 28 | 29 | Failure of the company to develop and implement a non-destructive weld examination program as prescribed | Type B |
| 29 | 30(1)(a) | Failure to develop, implement, regularly review and update operations manuals as prescribed | Type B |
| 30 | 30(1)(b) | Failure to keep a copy of the operations manuals as prescribed | Type B |
| 31 | 30(2) | Failure to ensure that the operations manuals contain the prescribed procedures | Type B |
| 32 | 31(2) | Failure to develop and implement a safe-work permit system as prescribed | Type B |
| 33 | 32 | Failure to ensure that a processing plant is staffed as prescribed | Type B |
| 34 | 33(a) | Failure to ensure maintenance activities do not create a detriment or hazard as prescribed | Type B |
| 35 | 33(b) | Failure to inform persons at a maintenance site as prescribed | Type B |
| 36 | 34 | Operation of equipment with a hazard-detection alarm or shutdown device bypassed or rendered inoperable | Type B |
| 37 | 35(a) | Failure to develop, implement, regularly review and update an emergency procedures manual | Type B |
| 38 | 35(b) | Failure to submit the emergency procedures manual as prescribed | Type A |
| 39 | 35(c) | Failure to submit updates as prescribed | Type A |
| 40 | 36 | Failure to establish and maintain liaison as prescribed and failure to consult as prescribed | Type B |
| 41 | 37 | Failure to inform persons who may be associated with an emergency response activity as prescribed | Type B |
| 42 | 38 | Failure to develop and implement a continuing educational program as prescribed | Type B |
| 43 | 39(a) | Failure to maintain communication facilities as prescribed | Type B |
| 44 | 39(b) | Failure to retain incident data as prescribed | Type B |
| 45 | 39(c) | Failure to clearly mark valves as prescribed | Type B |
| 46 | 39(d) | Failure to post signage as prescribed | Type B |
| 47 | 39(e) | Failure to post signage as prescribed | Type B |
| 48 | 40(a) | Failure to test hazard-detection devices as prescribed | Type B |
| 49 | 40(b) | Failure to document and maintain prescribed records | Type B |
| 50 | 41 | Failure to develop and implement a processing plant integrity program as prescribed | Type B |
| 51 | 42 | Failure to notify of plant deactivation as prescribed | Type A |
| 52 | 43.1 | Failure to submit an application for decommissioning as prescribed | Type B |
| 53 | 44 | Failure to develop and implement a training program as prescribed | Type B |
| 54 | 45 | Failure to ensure visitors are made familiar with the safety program as prescribed | Type B |
| 55 | 46 | Failure to provide immediate notice of any incident and to submit prescribed reports | Type B |
| 56 | 47(a) | Failure to notify of any hazard as prescribed | Type A |
| 57 | 47(b) | Failure to provide a report as prescribed | Type B |
| 58 | 48 | Failure to report burning as prescribed | Type A |
| 59 | 49(1.1) | Failure to notify as prescribed | Type A |
| 60 | 50 | Failure to prepare and keep current a report as prescribed | Type B |
| 61 | 51 | Failure to regularly conduct balance analysis as prescribed | Type B |
| 62 | 52(1) | Failure to conduct audits and inspections as prescribed | Type B |
| 63 | 52(2) | Failure to document an audit as prescribed | Type B |
| 64 | 53 | Failure to inspect as prescribed | Type B |
| 65 | 54 | Failure to annually audit the competency of all employees as prescribed | Type B |
| 66 | 55 | Failure to develop, implement and maintain a record retention and handling program | Type A |
PART 4
National Energy Board Pipeline Crossing Regulations, Part 1
| Item | Column 1 | Column 2 | Column 3 |
|---|---|---|---|
| Provision | Short-form Description | Classification | |
| 1 | 4 | Failure to construct or install a facility as prescribed or to obtain leave | Type B |
| 2 | 5 | Failure to install an overhead line across a pipeline as prescribed or to obtain leave | Type B |
| 3 | 6 | Failure to excavate as prescribed or to obtain leave | Type B |
| 4 | 7 | Failure to meet the circumstances and conditions as prescribed or to obtain leave | Type B |
PART 5
National Energy Board Pipeline Crossing Regulations, Part II
| Item | Column 1 | Column 2 | Column 3 |
|---|---|---|---|
| Provision | Short-form Description | Classification | |
| 1 | 4(1) | Failure to establish a public awareness program as prescribed | Type B |
| 2 | 4(2) | Failure to assess the effectiveness of a public awareness program as prescribed and to maintain a record of the assessment | Type B |
| 3 | 5(1) | Failure to develop guidelines as prescribed, and to make them public | Type B |
| 4 | 5(2) | Failure to submit guidelines for approval as prescribed | Type B |
| 5 | 6(1) | Failure to inform as prescribed | Type A |
| 6 | 7 | Failure to provide information and assistance as prescribed | Type B |
| 7 | 8 | Failure to send comments to the Board as prescribed | Type A |
| 8 | 9(1)(a) | Failure to inform the facility owner or excavator as prescribed | Type B |
| 9 | 9(1)(b) | Failure to mark the location of pipes as prescribed | Type B |
| 10 | 9(1)(c) | Failure to explain the significance of stakes as prescribed | Type B |
| 11 | 10(a) | Failure to carry out inspections as prescribed | Type B |
| 12 | 10(b) | Failure to inspect all exposed pipe prior to backfilling | Type B |
| 13 | 10(c) | Failure to maintain a record of all inspection findings and observations | Type A |
| 14 | 10(d) | Failure to include the prescribed information in the inspection record | Type A |
| 15 | 11 | Failure to maintain records as prescribed | Type A |
| 16 | 12 | Failure to provide a list as prescribed | Type A |
| 17 | 13 | Failure to report as prescribed | Type A |
| 18 | 14(2) | Failure to notify the Board as prescribed | Type A |
| 19 | 15(1) | Failure to inspect and to inform as prescribed | Type B |
| 20 | 15(2) | Failure to inform the Board as prescribed | Type A |
| 21 | 16 | Failure to make records and other materials available to the prescribed persons and to assist as prescribed | Type B |
PART 6
Power Line Crossing Regulations
| Item | Column 1 | Column 2 | Column 3 |
|---|---|---|---|
| Provision | Short-form Description | Classification | |
| 1 | 3 | Failure to construct a facility or excavate as prescribed or failure to obtain leave | Type B |
| 2 | 4 | Failure to construct a power line as prescribed or failure to obtain leave | Type B |
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