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Competency requirements for process hazard analysis (PHA) teams
Journal of Loss Prevention in the Process Industries 33 (2015) 151e158
Contents lists available at ScienceDirect
Journal of Loss Prevention in the Process Industries journal homepage: www.elsevier.com/locate/jlp
Competency requirements for process hazard analysis (PHA) teams Paul Baybutt* Primatech Inc., Columbus, OH, USA
a r t i c l e i n f o
a b s t r a c t
Article history: Received 22 April 2014 Received in revised form 24 October 2014 Accepted 29 November 2014 Available online 2 December 2014
Process hazard analysis (PHA) is a cornerstone of process safety management programs. The quality of the PHA performed directly affects the level of risk tolerated for a process. The lower the quality of a PHA, the more likely higher risk will be tolerated. There are few requirements for PHA team members in the U.S. Occupational Safety and Health Administration's process safety management regulations. More detailed requirements for participation in a PHA are desirable. A competency management program should be used to ensure PHA practitioners and teams are appropriately qualified. Criteria for selecting PHA team leaders, or facilitators, and other team members are key to such a program and are described in this paper. The criteria cover both technical and personal attributes. Application of the criteria is described and team performance metrics, which can be used to correlate performance with the assessment of competency to validate the criteria and methods used, are discussed. Owing to the importance of the role played by team leaders, certification of their competency is desirable. Criteria for certification are described and their application is discussed. © 2014 Elsevier Ltd. All rights reserved.
Keywords: Process hazard analysis Process safety management PHA quality PHA team qualifications PHA certification
1. Introduction Process hazard analysis (PHA) is used to identify hazard scenarios that can have adverse impacts on such receptors as people, property and the environment so that a determination can be made as to whether or not the level of risk posed by a process is tolerable (CCPS, 2008; Baybutt, 2013a). If not, recommendations can be made for appropriate risk reduction measures. PHA is a foundation element of process safety management (PSM) programs. PHA studies are conducted by teams of people. Consequently, they are subject to various possible human failures influenced by human factors (Baybutt, 2003; Baybutt, 2013b). In particular, the qualifications, experience, and personal characteristics of participants play a critical role in the quality of PHA studies. Teams with members who are poorly qualified, possess inadequate experience, or have undesirable personal characteristics will produce poor quality studies in which scenarios may be missed or described inadequately, and scenario risks may be estimated incorrectly. Such PHA faults can lead to higher risk being accepted than should be tolerated. Consequently, individuals who
* Corresponding author. E-mail address: [email protected]. http://dx.doi.org/10.1016/j.jlp.2014.11.023 0950-4230/© 2014 Elsevier Ltd. All rights reserved.
possess the appropriate competencies to perform their role as a member of a PHA team should be selected by screening them against suitable criteria. Not only is the competency of individuals important but also the competency of individuals acting as a team is critical to the success of PHA. This paper suggests appropriate criteria for selecting PHA participants and teams and describes how they can be applied. Selection of PHA team members should be governed by a competency management program. Each aspect of a competency management program is described in this paper. Of course, successful performance of PHA is the desired outcome so performance metrics are discussed to help determine the degree of success in applying selection criteria to PHA participants. Team leaders or facilitators guide PHA teams in applying the chosen PHA method. Consequently, they play a critical role in PHA and should be subject to certification requirements. Criteria for certification are described and their application is discussed. 2. Regulatory requirements for PHA teams Regulations around the world have established few requirements for PHA participants. For example, the process safety management (PSM) standard of the U.S. Occupational Safety and Health Administration (OSHA) requires only that (OSHA, 1992):
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The PHA shall be performed by a team with expertise in engineering and process operations. The team shall include at least one employee who has experience and knowledge specific to the process being evaluated. One member of the team must be knowledgeable in the specific process hazard analysis methodology being used. Clearly, these are minimal requirements and more detailed requirements are desirable owing to the critical role that people play in PHA. In the preamble to the PSM standard, OSHA states (OSHA, 1992): In order to conduct an effective, comprehensive PHA, it is imperative that the analysis be performed by competent persons, knowledgeable in engineering and process operations. Those persons be familiar with the process being evaluated. A team approach is the best because no one person will possess all of the knowledge and experience necessary to perform an effective PHA and when more than one person is performing the analysis, different disciplines, opinions, and perspectives will be represented and additional knowledge and expertise will be contributed to the analysis. Some companies include an individual on the team who does not have any prior experience with the particular process being analyzed to help insure that a fresh view of the process is integrated into the analysis. Employees and other experts may be brought onto the team on a temporary basis to contribute their specialized knowledge.
other members have acquired a level of understanding that enables them to effectively use the chosen PHA method. Thus, OSHA recognizes that PHA participants should be qualified and competent to participate in studies, in both their technical capabilities and personal characteristics, although the PSM standard does not specifically require the screening of participants against such criteria. 3. Competency of personnel and teams Competency of personnel is defined as the ability of personnel to perform tasks according to expectations (Baybutt, 2007). Competency implies appropriate qualifications, training, skills, fitness for duty, knowledge and understanding, experience, behavior, attitudes and physical and mental capabilities (see Fig. 1) as well as the ability to perform tasks according to defined performance standards (see Fig. 2). Not only must PHA team members be competent individually, but also the team of which they are a part must function competently. Of course, the ability of the team to perform PHA constructively and cooperatively depends on the interactions of the team members, which in turn is a function of the personal attributes of team members, including their personalities, backgrounds, behaviors and attitudes. Thus, team competency can be controlled by appropriate selection of team members, taking into account not only their competency as an individual but also how their personal characteristics may influence the performance of the team. 4. Competency management program
In another publication, OSHA stated that (OSHA, 1994): The team leader needs to be fully knowledgeable in the proper implementation of the PHA methodology to be used. The team leader should be impartial in the evaluation. The team leader needs to be able to manage the team and the PHA study. The other full or part-time team members need to provide the team with expertise in areas such as process technology; process design; operating procedures and practices; alarms; emergency procedures; instrumentation; maintenance procedures, both routine and nonroutine tasks, including how the tasks are authorized; procurement of parts and supplies; safety and health; and any other relevant subjects. The ideal team will have an intimate knowledge of the standards, codes, specifications, and regulations applicable to the process being studied. The selected team members need to be compatible. The team needs to be able to work together while benefitting from the expertise of others on the team or outside the team to resolve issues and to forge a consensus on the findings of the study and recommendations. Some team members may only be a part of the team for a limited time. These criteria go beyond those specified in the PSM standard and begin to identify important selection criteria for PHA participants. The PSM standard does not specify formal training requirements, such as attending short courses, for PHA team members. However, in a letter of clarification (OSHA, 2001), OSHA stated that if an OSHA representative needs to determine whether or not a team member or the facilitator is knowledgeable in the chosen PHA method, the representative may choose to review training records (formal, non-formal, on-the-job training, etc.) and interview team members to collect information to determine if the team leader or
The competency of PHA team members and teams should be addressed using a competency management program that covers these topics:
Responsibilities Competency requirements Team composition Selection criteria for teams and team members Development of competencies Assessment of competency Documentation of competency Maintaining competency Reassessing competency Monitoring competency Defining and using performance metrics Certification of practitioners Continuous improvement Each topic is now described. Qualifications Training
Experience
Skills
Behavior
Fitness for duty
Attitudes
Knowledge and understanding
Physical and mental capabilities
Fig. 1. Elements of competency for individuals.
P. Baybutt / Journal of Loss Prevention in the Process Industries 33 (2015) 151e158
+
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Specialty team members Possess technical expertise in a particular area and attend only certain sessions where their expertise is needed. Typical specialty team members are shown in Table 1.
=
Other personnel Competency
Performance standards
Acceptable performance
Fig. 2. Competency management.
4.1. Responsibilities Company management is responsible for the selection of team leaders and ensuring that they are appropriately qualified. Usually, the manager responsible for a PHA study, or the team leader assigned to a study, selects the other team members. They should advise each other and jointly approve the other team members.
4.2. Competency requirements Competencies should be defined for the various types of PHA team members together with assessment criteria. They should be realistic and appropriate for the tasks to be performed. The levels of competency required should match the complexity of the process being studied and the PHA method used. Various tools can be used to identify competency requirements including task analysis and skill and knowledge inventories. 4.3. Team composition Different types of team members require different types of competencies, although there is overlap in those required. This section describes the various roles that must be played by PHA participants. They include: Leader/facilitator Prepares and organizes the study, guides the team in the use of the chosen PHA technique, manages the team and the study, and prepares a study report. Scribe/technical secretary Records PHA sessions and may prepare the study report under the guidance of the team leader. Experienced team leaders may act as their own scribe. Technical team members Brainstorm the identification of hazard scenarios. Identify initiating events, intermediate events, consequences, safeguards, and enablers. Perform risk ranking and may identify recommendations for risk reduction measures. There are two types of team members: Core team members Participate in the study on a full-time basis. Their involvement is critical to the success of the study. They help to achieve consistency across study sessions. They may need to be present to satisfy regulatory requirements. Typical core team members are shown in Table 1.
May be representatives from vendors of self-contained processes, such as skid-mounted units, and licensed technology; contractors who perform activities such as maintenance; the design company responsible for a new process; or the engineering company that will construct a new process. They provide information on equipment design, maintenance, operation, etc. that may not be known by company personnel. Interpreter PHA studies may be conducted by teams who are unable to communicate in a common language or cannot do so well enough to perform the study properly. Thus, the role of an interpreter is to enable team members to communicate effectively. Site coordinator Acts as a liaison between the team and the process facility. Helps to ensure that adequate facilities, such as a meeting room, are provided and that other team needs are met. Not a participating member of the PHA team. 4.4. Selection criteria for teams and team members Different types of team members require different types of competencies, although there is some overlap in requirements. Overall team or group competency is also important. Therefore, selection criteria are needed for both individual team members and teams. Each type of team member should be selected based on technical qualifications and personal characteristics, or attributes, that are appropriate for each type of team member. It is useful to define both critical and recommended attributes because ideal team members are unlikely to be found in the real world. 4.4.1. Team selection This section provides some suggested overall criteria that should be met by PHA teams. PHA teams necessarily must be multidisciplinary. Team members are needed who together can
Table 1 Typical core and specialty PHA team members. Core team members
Specialty team members
Design engineer
Instrumentation/electrical engineer Mechanical engineer Programmer
Process engineer Operator (cover inside and outside activities). More than one may be needed Maintenance technician or engineer. More than one may be needed Controls engineer Safety engineer
Inspection/materials engineer Research scientist/chemist Environmental engineer/ regulatory specialist Quality assurance/quality control specialist Human factors specialist Industrial hygienist Industrial engineer Emergency responder
Note: There can be some overlap between core and specialty team members.
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provide the information needed to define the design intent completely for a process including how it is operated, controlled and maintained. Suggested technical disciplines are shown in Table 2. More than one person from the same technical discipline may be needed, e.g. operators, to reflect different levels of experience, ways of performing their jobs, attitudes, etc. Team members may cover more than one technical area if their expertise allows. Team dynamics are very important for an effective and efficient study and they are determined by the selection of team members. Suggested criteria that should be met by PHA team members as a group are: Collectively possess the knowledge and skill necessary to identify hazard scenarios for the process. Be compatible and able to work together effectively. Be able to reach a consensus on PHA worksheet entries. Comply, individually and collectively, with applicable regulatory, industry and/or company requirements. A team should not consist entirely of people who know the process as groupthink can be a problem (Baybutt, 2013b). It is a good idea to have an independent senior engineer to challenge assumptions that otherwise would be made by the team and to contribute knowledge that may not be possessed by the team. This role can be played by an independent experienced team leader. It is not unusual for people to be included on a team for training purposes to gain process knowledge and PHA experience. Other people may be included for other purposes, such as a union shop steward as an observer. Such people should not be relied upon as full team members and must not interfere with achieving the study objectives. 4.4.2. Team member selection This section provides suggested criteria for each type of PHA team member. There are various positive and negative attributes for team members that influence their effectiveness as a team member. The criteria for positive attributes cover both technical qualifications and personal characteristics of participants which are divided into critical and recommended categories. The criteria also include negative attributes. 4.4.2.1. Leader/facilitator. Team leaders must have a thorough technical understanding of PHA and excellent facilitation skills. Suggested positive technical and personal attributes for team leaders are provided in Table 3. Negative attributes are provided in
Table 2 Suggested technical disciplines for a PHA team. Design engineering - Knowledge of how the process is intended to operate - Knowledge of applicable standards, codes, specifications and regulations Process engineering - Understanding of the process science and technology - Ability to judge the adequacy of existing safeguards Process controls engineer - Knowledge of the process instrumentation, controls, alarms and interlocks Operations and maintenance - “Hands on” operating and maintenance experience - Knowledge of how the process responds to upsets Safety engineering - Knowledge of process hazards, safety systems, relevant company policies Other - Specialty technical areas - PHA facilitation and recording - Quality control - Etc.
Table 4. The team leader does not need to be a technical expert on the process under study and, arguably, should not be, as they would undoubtedly have mindsets about the process that could inhibit their independence in facilitating the study. 4.4.2.2. Scribe/technical secretary. Scribes must be able to understand and accurately record the team discussions without interfering with the process of conducting the PHA. Suggested positive technical and personal attributes for scribes are provided in Table 5. Negative attributes are provided in Table 6. Young engineers are often selected as scribes. They should not be someone whose input to the PHA is critical. 4.4.2.3. Technical team members. Team members must possess technical knowledge in some aspect of the process, be able to contribute that knowledge to the PHA team, and be capable of participating in the identification of hazard scenarios for the process. Suggested positive technical and personal attributes for technical team members are provided in Table 7. Negative attributes are provided in Table 8. They apply to both core and specialty team members. 4.4.2.4. Other personnel. Their technical and personal attributes are similar to core and specialty team members. 4.4.2.5. Interpreter. Interpreters may provide interpretation simultaneously, or on an as-needed basis. Owing to the effort involved, more than one interpreter may be needed. Interpreters need a high level of technical ability and need to know technical terms in the languages used. They must have high stamina owing to the intellectual effort involved and the durations of PHA sessions.
Table 3 Positive attributes for PHA team leaders. Technical Critical Technical education Formal training in PHA and leadership/ facilitation skills Knowledge of and expertise in the PHA method to be used Knowledge of regulatory, industry and company requirements for PHA Understands processes and their operation quickly Reads engineering drawings and understands other process documentation easily Motivational/interpersonal skills Communications skills
Personal Impartial in the evaluation Organized Seeks consensus High stamina Able to focus on multiple items simultaneously Respected by the team
Friendly and cooperative Strong personality to control the team and drive the study but not overbearing
People and project management skills Recommended Experience as a team member Patient No day-to-day responsibilities for the Able to read people process being studied, e.g. the team leader should not be the process engineer or the designer for the process Not an expert on the process under Diplomatic study Imaginative Quick thinking Gently authoritative Able to help team members see matters in a new light
P. Baybutt / Journal of Loss Prevention in the Process Industries 33 (2015) 151e158 Table 4 Negative attributes for PHA team leaders.
Wants to participate in brainstorming Poor listener Insensitive to team members Projects sense of superiority Rushes the team Rushes to judgment Biased Opposite of positive attributes
4.4.2.6. Site coordinator. Requirements for site coordinators are straightforward. They need to be available for the duration of the study and should be well-connected within the company so as to be able to procure whatever may be needed by the team. They should be helpful and responsive to the team. 4.4.3. Practical considerations in selecting team members There may be only one choice of person for a particular role on the team, e.g. the process engineer. To the extent that the person does not meet the selection criteria, usually in their personal attributes, the team leader needs to be ready to deal with any issues that may arise (Baybutt, 2013b). Often, the pool of core and specialty team members is limited, thus preventing the selection of an ideal team and compromises likely will be needed. Of course, the availability of personnel also must be taken into account. The division of competencies into critical and recommended categories assists in making compromises. 4.5. Development of competencies PHA participants must possess both technical and personal competencies. The ability to perform tasks competently can be developed through training and experience. Competency for performing a task is often developed through initial training followed by coaching and supervision by experienced personnel combined with periodic refresher training. Thus, PHA team leaders can gain competency in the technical requirements of the position through attendance at suitable short courses, on-the-job mentoring by more experienced PHA team leaders, and refresher training. Typically, technical team members develop their technical competency through job experience. Scribes and interpreters gain their technical competency through training and practice. Competencies in personal attributes largely are inherent to the person and may be difficult to change, particularly in team members whose participation in PHA studies is a small part of their overall job responsibilities. Team leaders who lead studies frequently may be motivated to modify their personal attributes, at least insofar as they are perceived by other team members during a study. However, some behaviors are easier to change than others, for example, a team leader may be able to teach themselves to be a better listener but they may have difficulty overcoming a tendency to be impatient.
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In some fields of endeavor, aptitude tests and psychometric personality tests are used to assess individual competencies, particularly those relating to personal characteristics. However, they are not yet employed routinely in selecting PHA participants. Behavioral observation and personality typing can be employed and are desirable for prospective team leaders. However, such methods may discourage participation in PHA studies by prospective technical team members. Reliance may need to be placed on prior knowledge of and experience with their personal competencies. The assessment of competency should be correlated with subsequent task performance to validate the method used. The assessment requires the use of metrics to gauge the performance of teams and participants. They are described in a later section. Assessors should themselves be competent in assessing competency as well as credible, consistent, and independent. 4.7. Documentation of competency Companies should formally designate personnel as meeting required competencies through documentation. Some participants, such as team leaders, should be certified or accredited by external organizations owing to the importance of the role they play during a PHA study. 4.8. Maintaining competency Maintenance of competency by PHA participants should include refresher or on-going training provided at a frequency based on the anticipated deterioration in competency. The provision of PHA procedures and requirements is also an important part of helping to ensure tasks are performed consistently and correctly. Other forms of assistance, such as supervision, coaching and job aids, should be provided, as appropriate. 4.9. Reassessing competency Competencies should be re-assessed periodically, such as through re-examination and observation of performance by a qualified assessor. Actual performance may be reviewed, or other forms of assessments, such as demonstrations, may be used. The frequency of reassessment should be based on the frequency of task performance and the anticipated decay rate for competencies. There must be suitable responses in the event of substandard performance, for example, improvement in training, personnel selection, etc. Reassessment also should be performed to qualify an individual to return to a designated role on a PHA team after the elapse of a significant time period. 4.10. Monitoring competency Competency levels should be tracked over time in order to determine if systemic problems develop in the competency management program and to permit continuous improvement. Such tracking is facilitated by the use of performance metrics which can be used to help gauge the effectiveness of PHA performance.
4.6. Assessment of competency 4.11. Defining and using performance metrics Competency should be assessed before personnel are allowed to participate in a PHA study. Methods used should be appropriate, valid and reliable. Technical competencies and some personal competencies, such as leadership skills, can be assessed by verbal or written tests, demonstrations, and observation of task performance. Other personal competencies, such as the ability to read people, can be more difficult to assess.
The purpose of ensuring the competency of PHA participants and teams is to help ensure that PHA studies are performed effectively and efficiently. In particular, they should identify hazard scenarios as thoroughly and completely as possible. Thus, metrics for team performance are more meaningful than metrics for the performance of individual team members.
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Table 5 Positive attributes for scribes.
Table 8 Negative attributes for PHA team members.
Technical
Personal
Critical Technically-oriented
Able to establish a good working relationship with the team leader Understand the PHA process Responsiveness to the team leader Expertise with the means used to record Attention to detail PHA sessions, typically software on a computer Good typing, spelling and grammar skills Recommended Familiarity with terms and acronyms used Capable of being a helper for the team leader, not just a recorder Knowledge of processes Good listener
Table 6 Negative attributes for scribes.
Challenges the team leader for control of the team Makes worksheet entries before the team has reached a consensus Plays with recording software Jumps around the worksheet unnecessarily Participates in the study at the expense of recording it Does not know or understand guidelines for worksheet entries Opposite of desirable attributes
Table 7 Positive attributes for PHA team members. Technical Critical Knowledge of and expertise in some aspect of the process Work with the process to be studied Knowledge of codes, standards, regulations and other requirements that apply to their area of expertise Able to read engineering drawings and understand other process documentation
Personal Creative Good memory Willing to participate
Willing to listen to others
Able to communicate technical issues in their area(s) of expertise to other team members Able to express themselves clearly Open-minded Unbiased Willing to tolerate a detailed and thorough study Committed to time required Recommended Knowledge and experience with the PHA method to be used
Sense of ownership and responsibility for the process to help ensure their commitment and motivation for the study Logical Alert Patient Able to concentrate Focused Not afraid to express their opinion Not intimidated by working in group made up of different disciplines Pays attention Comes to the point quickly
Unfortunately, there is no way of knowing if all credible scenarios have been identified in a study. Some people may argue that the occurrence of an actual incident that is not identified in a PHA study is an indicator that the study was not performed as well as possible. However, catastrophic incidents, which are the type of most concern in PHA, occur infrequently and not often enough to
Talkative Over-enthusiastic
Argumentative Sarcastic Dominant Arrogant Skeptical Wants to control the study
Will not let go of an issue Wants to go beyond the defined scope and objectives for the study Promotes a personal agenda Poor attendance/punctuality Uses offensive language Brings other work to sessions Opposite of desirable attributes
provide sufficient data to validate effective performance, the details of real-world incidents often are far more complex than can be identified by PHA, and it is highly unlikely that any PHA study will identify all possible scenarios owing to the difficulty of doing so. Hence, the unidentified incident rate is not a good measure of the quality of a PHA study. Possible metrics to judge the quality of a PHA, and indirectly the effectiveness of a competency management program for PHA teams, include: The average amount of time taken to identify a hazard scenario. Values that are significantly lower or higher than the norm for a particular company and type of process may indicate issues with the competency of the participants. Of course, such determinations must be made in the context of each study. The ratio of the number of hazard scenarios identified to the size and complexity of the process using a suitable measure such as capital cost, or an index representing the number and size of each piece of equipment present. Significant deviations from this ratio may indicate issues with the competency of team members. Of course, the measure used for size and complexity of the process must be meaningful and consistent across processes. Number and type of departures from PHA guidelines governing the study. They can be identified by peer review. Number and type of findings from periodic audits. Audits may identify omissions and deficiencies in PHA studies. Number and type of findings from audits of teams during the performance of a PHA study, although the results are subjective and qualitative in nature and necessarily are based on a sampling of the PHA sessions actually conducted during a study. Metrics for the performance of individual team members are more difficult to specify. Direct observation of team members in action is required by an observer who is an expert PHA practitioner. Checklists of desired attributes can be used to score performances of individuals but the approach suffers from the subjective and qualitative nature of the results as for performance audits of the team as a whole. Also, the presence of an observer may influence the behavior of the PHA participants. When the need for corrective action is identified, it may be straightforward, for example, an instruction to a team member to be punctual, or it may be difficult, for example, the need for a team member to avoid being argumentative. All of these metrics require the application of expert judgment to determine how meaningful they are in the context of a particular PHA study. Such assessments are in their infancy and need further development. 4.12. Certification of practitioners Often, companies assume the competency of team leaders based on the adequacy of their experience or training, possession of
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certain qualifications, or the availability of a procedure for them to follow. Not only may these assumptions be invalid but also they are insufficient to qualify a person to facilitate the performance of PHA studies where people's lives are at stake. Sometimes PHA team leaders are qualified on poor grounds, for example, they have read a book on PHA, been a member or scribe for a study, or attended a short course. Maybe they are just a team member who volunteers to lead a team in the absence of anyone else willing to do so. These may be useful attributes for a PHA team leader but they are not nearly sufficient to qualify a person to lead a study. Owing to the importance of the role played by team leaders, formal certification of their competency against a set of defined criteria is desirable. Certification at different levels should be possible. Novice practitioners without actual experience facilitating a PHA need to be capable of certification at a low level so they can begin facilitating simple studies. Once they have actual PHA leadership experience, they can move to higher certification levels after meeting criteria appropriate to each level. Companies should restrict the type of study facilitated according to the certification level of the leader. Certification criteria should include:
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Successful completion of a written examination that meets prevailing standards for tests of competency should be required. University engineering degrees alone do not provide the level of knowledge or the skills to act as PHA team leaders. Consequently, attendance at continuing education courses is necessary for all prospective team leaders. Certification should be provided and administered by an independent third party using a defined set of publicly-available standards and certification criteria so that there is transparency in the process.
4.13. Continuous improvement Competency management programs should be subject to continuous improvement. Performance metrics for PHA studies should be monitored and ways sought not only to achieve tolerable levels of performance but also to improve performance steadily over time.
5. Conclusions Academic qualifications A technical degree in a relevant discipline, or equivalent, will demonstrate that the individual has the needed intellectual capacity and basic technical knowledge. Independent confirmation that the individual has earned the claimed qualifications is essential. Experience Relevant on-the-job work experience provides a background and knowledge that is useful for a team leader. Confirmation of the claimed work experience by peers and/or supervisors should be required. Facilitation skills For higher certification levels, feedback on the performance of the team leader in managing the team should be sought from team members. Team members providing feedback should owe no allegiance or obligation to the team leader to help ensure objectivity in the feedback provided. Work products For higher certification levels, examples of PHA studies facilitated by the individual can be utilized to demonstrate competency. Expert PHA practitioners should review the work products against the PHA guidelines that were used to produce them to determine their validity. Training Team leaders should have successfully completed appropriate training courses recently. Professional references References should attest to the academic qualifications, experience, work products and professional ethics of the individual. Examination
PHA studies play a critical role in process safety programs. They must be performed by competent practitioners. Both the competency of individual team members and the entire PHA team are important. Participants and teams should be screened against appropriate criteria to demonstrate their competency as part of a competency management program. There are few formal regulatory requirements for team members. Of course, PHA teams must comply with those requirements that do exist but more detailed requirements are desirable owing to the importance of PHA. Competencies for PHA team members can be categorized as technical and personal. Technical competencies include education, experience, skills, and training. Personal competencies address behavior, attitudes, etc. Competencies can be classified as critical and recommended to assist in selecting team members in the real world where ideal team members likely will not exist. Competencies were defined using this categorization and classification scheme for the key participants in a PHA study, specifically, team leaders, scribes and technical team members. Technical competencies can be developed through training, coaching, mentoring, supervision by experienced personnel, job experience and practice. Competencies in personal attributes largely are inherent to the person and may be difficult to change. However, team leaders who facilitate studies frequently may be motivated to try and modify their personal attributes. Competency assessment is an essential aspect of competency management and involves such approaches as verbal or written tests, demonstrations, observation of task performance, behavioral observation, personality typing, and prior knowledge of behaviors. Assessing technical competencies usually is easier than assessing personal competencies. Competencies should be maintained, for example, through refresher or on-going training, and re-assessed periodically, for example, through examinations. Competency management programs should be subject to continuous improvement, for example, by monitoring performance metrics for PHA studies. Metrics should be used for both individual and team performance. Owing to the critical role played by team leaders, they should be certified formally using criteria that address academic qualifications, experience, facilitation skills, work products, training, professional references, and examination.
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References Baybutt, P., 2003. On the ability of process hazard analysis to identify accidents. Process Saf. Prog. 22 (3), 191e194. Baybutt, P., 2007. Competence management (Chapter 29). Human Factors Methods for Improving Performance in the Process Industries. American Institute of Chemical Engineers/Center for Chemical Process Safety, New York, New York. Baybutt, P., 2013a. Analytical methods in process safety management and system safety engineering e process hazards analysis. In: Haight, J.M. (Ed.), Handbook of Loss Prevention Engineering. Wiley-VCH.
Baybutt, P., 2013b. The role of people and human factors in performing process hazard analysis and layers of protection analysis. J. Loss Prev. Process Ind. 26, 1352e1365. CCPS, 2008. Guidelines for Hazard Evaluation Procedures, third ed., Center for Chemical Process Safety/American Institute of Chemical Engineers. OSHA, 1992. Process Safety Management of Highly Hazardous Chemicals, 29 CFR Part 1910.119, U.S. Department of Labor, Occupational Safety and Health Administration. OSHA, 1994. Publication 3133, Process Safety Management Guidelines for Compliance. OSHA, 2001. November 19. Letter to Mr. Robert Summers. The Norac Company Inc.
Contents lists available at ScienceDirect
Journal of Loss Prevention in the Process Industries journal homepage: www.elsevier.com/locate/jlp
Competency requirements for process hazard analysis (PHA) teams Paul Baybutt* Primatech Inc., Columbus, OH, USA
a r t i c l e i n f o
a b s t r a c t
Article history: Received 22 April 2014 Received in revised form 24 October 2014 Accepted 29 November 2014 Available online 2 December 2014
Process hazard analysis (PHA) is a cornerstone of process safety management programs. The quality of the PHA performed directly affects the level of risk tolerated for a process. The lower the quality of a PHA, the more likely higher risk will be tolerated. There are few requirements for PHA team members in the U.S. Occupational Safety and Health Administration's process safety management regulations. More detailed requirements for participation in a PHA are desirable. A competency management program should be used to ensure PHA practitioners and teams are appropriately qualified. Criteria for selecting PHA team leaders, or facilitators, and other team members are key to such a program and are described in this paper. The criteria cover both technical and personal attributes. Application of the criteria is described and team performance metrics, which can be used to correlate performance with the assessment of competency to validate the criteria and methods used, are discussed. Owing to the importance of the role played by team leaders, certification of their competency is desirable. Criteria for certification are described and their application is discussed. © 2014 Elsevier Ltd. All rights reserved.
Keywords: Process hazard analysis Process safety management PHA quality PHA team qualifications PHA certification
1. Introduction Process hazard analysis (PHA) is used to identify hazard scenarios that can have adverse impacts on such receptors as people, property and the environment so that a determination can be made as to whether or not the level of risk posed by a process is tolerable (CCPS, 2008; Baybutt, 2013a). If not, recommendations can be made for appropriate risk reduction measures. PHA is a foundation element of process safety management (PSM) programs. PHA studies are conducted by teams of people. Consequently, they are subject to various possible human failures influenced by human factors (Baybutt, 2003; Baybutt, 2013b). In particular, the qualifications, experience, and personal characteristics of participants play a critical role in the quality of PHA studies. Teams with members who are poorly qualified, possess inadequate experience, or have undesirable personal characteristics will produce poor quality studies in which scenarios may be missed or described inadequately, and scenario risks may be estimated incorrectly. Such PHA faults can lead to higher risk being accepted than should be tolerated. Consequently, individuals who
* Corresponding author. E-mail address: [email protected]. http://dx.doi.org/10.1016/j.jlp.2014.11.023 0950-4230/© 2014 Elsevier Ltd. All rights reserved.
possess the appropriate competencies to perform their role as a member of a PHA team should be selected by screening them against suitable criteria. Not only is the competency of individuals important but also the competency of individuals acting as a team is critical to the success of PHA. This paper suggests appropriate criteria for selecting PHA participants and teams and describes how they can be applied. Selection of PHA team members should be governed by a competency management program. Each aspect of a competency management program is described in this paper. Of course, successful performance of PHA is the desired outcome so performance metrics are discussed to help determine the degree of success in applying selection criteria to PHA participants. Team leaders or facilitators guide PHA teams in applying the chosen PHA method. Consequently, they play a critical role in PHA and should be subject to certification requirements. Criteria for certification are described and their application is discussed. 2. Regulatory requirements for PHA teams Regulations around the world have established few requirements for PHA participants. For example, the process safety management (PSM) standard of the U.S. Occupational Safety and Health Administration (OSHA) requires only that (OSHA, 1992):
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The PHA shall be performed by a team with expertise in engineering and process operations. The team shall include at least one employee who has experience and knowledge specific to the process being evaluated. One member of the team must be knowledgeable in the specific process hazard analysis methodology being used. Clearly, these are minimal requirements and more detailed requirements are desirable owing to the critical role that people play in PHA. In the preamble to the PSM standard, OSHA states (OSHA, 1992): In order to conduct an effective, comprehensive PHA, it is imperative that the analysis be performed by competent persons, knowledgeable in engineering and process operations. Those persons be familiar with the process being evaluated. A team approach is the best because no one person will possess all of the knowledge and experience necessary to perform an effective PHA and when more than one person is performing the analysis, different disciplines, opinions, and perspectives will be represented and additional knowledge and expertise will be contributed to the analysis. Some companies include an individual on the team who does not have any prior experience with the particular process being analyzed to help insure that a fresh view of the process is integrated into the analysis. Employees and other experts may be brought onto the team on a temporary basis to contribute their specialized knowledge.
other members have acquired a level of understanding that enables them to effectively use the chosen PHA method. Thus, OSHA recognizes that PHA participants should be qualified and competent to participate in studies, in both their technical capabilities and personal characteristics, although the PSM standard does not specifically require the screening of participants against such criteria. 3. Competency of personnel and teams Competency of personnel is defined as the ability of personnel to perform tasks according to expectations (Baybutt, 2007). Competency implies appropriate qualifications, training, skills, fitness for duty, knowledge and understanding, experience, behavior, attitudes and physical and mental capabilities (see Fig. 1) as well as the ability to perform tasks according to defined performance standards (see Fig. 2). Not only must PHA team members be competent individually, but also the team of which they are a part must function competently. Of course, the ability of the team to perform PHA constructively and cooperatively depends on the interactions of the team members, which in turn is a function of the personal attributes of team members, including their personalities, backgrounds, behaviors and attitudes. Thus, team competency can be controlled by appropriate selection of team members, taking into account not only their competency as an individual but also how their personal characteristics may influence the performance of the team. 4. Competency management program
In another publication, OSHA stated that (OSHA, 1994): The team leader needs to be fully knowledgeable in the proper implementation of the PHA methodology to be used. The team leader should be impartial in the evaluation. The team leader needs to be able to manage the team and the PHA study. The other full or part-time team members need to provide the team with expertise in areas such as process technology; process design; operating procedures and practices; alarms; emergency procedures; instrumentation; maintenance procedures, both routine and nonroutine tasks, including how the tasks are authorized; procurement of parts and supplies; safety and health; and any other relevant subjects. The ideal team will have an intimate knowledge of the standards, codes, specifications, and regulations applicable to the process being studied. The selected team members need to be compatible. The team needs to be able to work together while benefitting from the expertise of others on the team or outside the team to resolve issues and to forge a consensus on the findings of the study and recommendations. Some team members may only be a part of the team for a limited time. These criteria go beyond those specified in the PSM standard and begin to identify important selection criteria for PHA participants. The PSM standard does not specify formal training requirements, such as attending short courses, for PHA team members. However, in a letter of clarification (OSHA, 2001), OSHA stated that if an OSHA representative needs to determine whether or not a team member or the facilitator is knowledgeable in the chosen PHA method, the representative may choose to review training records (formal, non-formal, on-the-job training, etc.) and interview team members to collect information to determine if the team leader or
The competency of PHA team members and teams should be addressed using a competency management program that covers these topics:
Responsibilities Competency requirements Team composition Selection criteria for teams and team members Development of competencies Assessment of competency Documentation of competency Maintaining competency Reassessing competency Monitoring competency Defining and using performance metrics Certification of practitioners Continuous improvement Each topic is now described. Qualifications Training
Experience
Skills
Behavior
Fitness for duty
Attitudes
Knowledge and understanding
Physical and mental capabilities
Fig. 1. Elements of competency for individuals.
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+
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Specialty team members Possess technical expertise in a particular area and attend only certain sessions where their expertise is needed. Typical specialty team members are shown in Table 1.
=
Other personnel Competency
Performance standards
Acceptable performance
Fig. 2. Competency management.
4.1. Responsibilities Company management is responsible for the selection of team leaders and ensuring that they are appropriately qualified. Usually, the manager responsible for a PHA study, or the team leader assigned to a study, selects the other team members. They should advise each other and jointly approve the other team members.
4.2. Competency requirements Competencies should be defined for the various types of PHA team members together with assessment criteria. They should be realistic and appropriate for the tasks to be performed. The levels of competency required should match the complexity of the process being studied and the PHA method used. Various tools can be used to identify competency requirements including task analysis and skill and knowledge inventories. 4.3. Team composition Different types of team members require different types of competencies, although there is overlap in those required. This section describes the various roles that must be played by PHA participants. They include: Leader/facilitator Prepares and organizes the study, guides the team in the use of the chosen PHA technique, manages the team and the study, and prepares a study report. Scribe/technical secretary Records PHA sessions and may prepare the study report under the guidance of the team leader. Experienced team leaders may act as their own scribe. Technical team members Brainstorm the identification of hazard scenarios. Identify initiating events, intermediate events, consequences, safeguards, and enablers. Perform risk ranking and may identify recommendations for risk reduction measures. There are two types of team members: Core team members Participate in the study on a full-time basis. Their involvement is critical to the success of the study. They help to achieve consistency across study sessions. They may need to be present to satisfy regulatory requirements. Typical core team members are shown in Table 1.
May be representatives from vendors of self-contained processes, such as skid-mounted units, and licensed technology; contractors who perform activities such as maintenance; the design company responsible for a new process; or the engineering company that will construct a new process. They provide information on equipment design, maintenance, operation, etc. that may not be known by company personnel. Interpreter PHA studies may be conducted by teams who are unable to communicate in a common language or cannot do so well enough to perform the study properly. Thus, the role of an interpreter is to enable team members to communicate effectively. Site coordinator Acts as a liaison between the team and the process facility. Helps to ensure that adequate facilities, such as a meeting room, are provided and that other team needs are met. Not a participating member of the PHA team. 4.4. Selection criteria for teams and team members Different types of team members require different types of competencies, although there is some overlap in requirements. Overall team or group competency is also important. Therefore, selection criteria are needed for both individual team members and teams. Each type of team member should be selected based on technical qualifications and personal characteristics, or attributes, that are appropriate for each type of team member. It is useful to define both critical and recommended attributes because ideal team members are unlikely to be found in the real world. 4.4.1. Team selection This section provides some suggested overall criteria that should be met by PHA teams. PHA teams necessarily must be multidisciplinary. Team members are needed who together can
Table 1 Typical core and specialty PHA team members. Core team members
Specialty team members
Design engineer
Instrumentation/electrical engineer Mechanical engineer Programmer
Process engineer Operator (cover inside and outside activities). More than one may be needed Maintenance technician or engineer. More than one may be needed Controls engineer Safety engineer
Inspection/materials engineer Research scientist/chemist Environmental engineer/ regulatory specialist Quality assurance/quality control specialist Human factors specialist Industrial hygienist Industrial engineer Emergency responder
Note: There can be some overlap between core and specialty team members.
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provide the information needed to define the design intent completely for a process including how it is operated, controlled and maintained. Suggested technical disciplines are shown in Table 2. More than one person from the same technical discipline may be needed, e.g. operators, to reflect different levels of experience, ways of performing their jobs, attitudes, etc. Team members may cover more than one technical area if their expertise allows. Team dynamics are very important for an effective and efficient study and they are determined by the selection of team members. Suggested criteria that should be met by PHA team members as a group are: Collectively possess the knowledge and skill necessary to identify hazard scenarios for the process. Be compatible and able to work together effectively. Be able to reach a consensus on PHA worksheet entries. Comply, individually and collectively, with applicable regulatory, industry and/or company requirements. A team should not consist entirely of people who know the process as groupthink can be a problem (Baybutt, 2013b). It is a good idea to have an independent senior engineer to challenge assumptions that otherwise would be made by the team and to contribute knowledge that may not be possessed by the team. This role can be played by an independent experienced team leader. It is not unusual for people to be included on a team for training purposes to gain process knowledge and PHA experience. Other people may be included for other purposes, such as a union shop steward as an observer. Such people should not be relied upon as full team members and must not interfere with achieving the study objectives. 4.4.2. Team member selection This section provides suggested criteria for each type of PHA team member. There are various positive and negative attributes for team members that influence their effectiveness as a team member. The criteria for positive attributes cover both technical qualifications and personal characteristics of participants which are divided into critical and recommended categories. The criteria also include negative attributes. 4.4.2.1. Leader/facilitator. Team leaders must have a thorough technical understanding of PHA and excellent facilitation skills. Suggested positive technical and personal attributes for team leaders are provided in Table 3. Negative attributes are provided in
Table 2 Suggested technical disciplines for a PHA team. Design engineering - Knowledge of how the process is intended to operate - Knowledge of applicable standards, codes, specifications and regulations Process engineering - Understanding of the process science and technology - Ability to judge the adequacy of existing safeguards Process controls engineer - Knowledge of the process instrumentation, controls, alarms and interlocks Operations and maintenance - “Hands on” operating and maintenance experience - Knowledge of how the process responds to upsets Safety engineering - Knowledge of process hazards, safety systems, relevant company policies Other - Specialty technical areas - PHA facilitation and recording - Quality control - Etc.
Table 4. The team leader does not need to be a technical expert on the process under study and, arguably, should not be, as they would undoubtedly have mindsets about the process that could inhibit their independence in facilitating the study. 4.4.2.2. Scribe/technical secretary. Scribes must be able to understand and accurately record the team discussions without interfering with the process of conducting the PHA. Suggested positive technical and personal attributes for scribes are provided in Table 5. Negative attributes are provided in Table 6. Young engineers are often selected as scribes. They should not be someone whose input to the PHA is critical. 4.4.2.3. Technical team members. Team members must possess technical knowledge in some aspect of the process, be able to contribute that knowledge to the PHA team, and be capable of participating in the identification of hazard scenarios for the process. Suggested positive technical and personal attributes for technical team members are provided in Table 7. Negative attributes are provided in Table 8. They apply to both core and specialty team members. 4.4.2.4. Other personnel. Their technical and personal attributes are similar to core and specialty team members. 4.4.2.5. Interpreter. Interpreters may provide interpretation simultaneously, or on an as-needed basis. Owing to the effort involved, more than one interpreter may be needed. Interpreters need a high level of technical ability and need to know technical terms in the languages used. They must have high stamina owing to the intellectual effort involved and the durations of PHA sessions.
Table 3 Positive attributes for PHA team leaders. Technical Critical Technical education Formal training in PHA and leadership/ facilitation skills Knowledge of and expertise in the PHA method to be used Knowledge of regulatory, industry and company requirements for PHA Understands processes and their operation quickly Reads engineering drawings and understands other process documentation easily Motivational/interpersonal skills Communications skills
Personal Impartial in the evaluation Organized Seeks consensus High stamina Able to focus on multiple items simultaneously Respected by the team
Friendly and cooperative Strong personality to control the team and drive the study but not overbearing
People and project management skills Recommended Experience as a team member Patient No day-to-day responsibilities for the Able to read people process being studied, e.g. the team leader should not be the process engineer or the designer for the process Not an expert on the process under Diplomatic study Imaginative Quick thinking Gently authoritative Able to help team members see matters in a new light
P. Baybutt / Journal of Loss Prevention in the Process Industries 33 (2015) 151e158 Table 4 Negative attributes for PHA team leaders.
Wants to participate in brainstorming Poor listener Insensitive to team members Projects sense of superiority Rushes the team Rushes to judgment Biased Opposite of positive attributes
4.4.2.6. Site coordinator. Requirements for site coordinators are straightforward. They need to be available for the duration of the study and should be well-connected within the company so as to be able to procure whatever may be needed by the team. They should be helpful and responsive to the team. 4.4.3. Practical considerations in selecting team members There may be only one choice of person for a particular role on the team, e.g. the process engineer. To the extent that the person does not meet the selection criteria, usually in their personal attributes, the team leader needs to be ready to deal with any issues that may arise (Baybutt, 2013b). Often, the pool of core and specialty team members is limited, thus preventing the selection of an ideal team and compromises likely will be needed. Of course, the availability of personnel also must be taken into account. The division of competencies into critical and recommended categories assists in making compromises. 4.5. Development of competencies PHA participants must possess both technical and personal competencies. The ability to perform tasks competently can be developed through training and experience. Competency for performing a task is often developed through initial training followed by coaching and supervision by experienced personnel combined with periodic refresher training. Thus, PHA team leaders can gain competency in the technical requirements of the position through attendance at suitable short courses, on-the-job mentoring by more experienced PHA team leaders, and refresher training. Typically, technical team members develop their technical competency through job experience. Scribes and interpreters gain their technical competency through training and practice. Competencies in personal attributes largely are inherent to the person and may be difficult to change, particularly in team members whose participation in PHA studies is a small part of their overall job responsibilities. Team leaders who lead studies frequently may be motivated to modify their personal attributes, at least insofar as they are perceived by other team members during a study. However, some behaviors are easier to change than others, for example, a team leader may be able to teach themselves to be a better listener but they may have difficulty overcoming a tendency to be impatient.
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In some fields of endeavor, aptitude tests and psychometric personality tests are used to assess individual competencies, particularly those relating to personal characteristics. However, they are not yet employed routinely in selecting PHA participants. Behavioral observation and personality typing can be employed and are desirable for prospective team leaders. However, such methods may discourage participation in PHA studies by prospective technical team members. Reliance may need to be placed on prior knowledge of and experience with their personal competencies. The assessment of competency should be correlated with subsequent task performance to validate the method used. The assessment requires the use of metrics to gauge the performance of teams and participants. They are described in a later section. Assessors should themselves be competent in assessing competency as well as credible, consistent, and independent. 4.7. Documentation of competency Companies should formally designate personnel as meeting required competencies through documentation. Some participants, such as team leaders, should be certified or accredited by external organizations owing to the importance of the role they play during a PHA study. 4.8. Maintaining competency Maintenance of competency by PHA participants should include refresher or on-going training provided at a frequency based on the anticipated deterioration in competency. The provision of PHA procedures and requirements is also an important part of helping to ensure tasks are performed consistently and correctly. Other forms of assistance, such as supervision, coaching and job aids, should be provided, as appropriate. 4.9. Reassessing competency Competencies should be re-assessed periodically, such as through re-examination and observation of performance by a qualified assessor. Actual performance may be reviewed, or other forms of assessments, such as demonstrations, may be used. The frequency of reassessment should be based on the frequency of task performance and the anticipated decay rate for competencies. There must be suitable responses in the event of substandard performance, for example, improvement in training, personnel selection, etc. Reassessment also should be performed to qualify an individual to return to a designated role on a PHA team after the elapse of a significant time period. 4.10. Monitoring competency Competency levels should be tracked over time in order to determine if systemic problems develop in the competency management program and to permit continuous improvement. Such tracking is facilitated by the use of performance metrics which can be used to help gauge the effectiveness of PHA performance.
4.6. Assessment of competency 4.11. Defining and using performance metrics Competency should be assessed before personnel are allowed to participate in a PHA study. Methods used should be appropriate, valid and reliable. Technical competencies and some personal competencies, such as leadership skills, can be assessed by verbal or written tests, demonstrations, and observation of task performance. Other personal competencies, such as the ability to read people, can be more difficult to assess.
The purpose of ensuring the competency of PHA participants and teams is to help ensure that PHA studies are performed effectively and efficiently. In particular, they should identify hazard scenarios as thoroughly and completely as possible. Thus, metrics for team performance are more meaningful than metrics for the performance of individual team members.
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Table 5 Positive attributes for scribes.
Table 8 Negative attributes for PHA team members.
Technical
Personal
Critical Technically-oriented
Able to establish a good working relationship with the team leader Understand the PHA process Responsiveness to the team leader Expertise with the means used to record Attention to detail PHA sessions, typically software on a computer Good typing, spelling and grammar skills Recommended Familiarity with terms and acronyms used Capable of being a helper for the team leader, not just a recorder Knowledge of processes Good listener
Table 6 Negative attributes for scribes.
Challenges the team leader for control of the team Makes worksheet entries before the team has reached a consensus Plays with recording software Jumps around the worksheet unnecessarily Participates in the study at the expense of recording it Does not know or understand guidelines for worksheet entries Opposite of desirable attributes
Table 7 Positive attributes for PHA team members. Technical Critical Knowledge of and expertise in some aspect of the process Work with the process to be studied Knowledge of codes, standards, regulations and other requirements that apply to their area of expertise Able to read engineering drawings and understand other process documentation
Personal Creative Good memory Willing to participate
Willing to listen to others
Able to communicate technical issues in their area(s) of expertise to other team members Able to express themselves clearly Open-minded Unbiased Willing to tolerate a detailed and thorough study Committed to time required Recommended Knowledge and experience with the PHA method to be used
Sense of ownership and responsibility for the process to help ensure their commitment and motivation for the study Logical Alert Patient Able to concentrate Focused Not afraid to express their opinion Not intimidated by working in group made up of different disciplines Pays attention Comes to the point quickly
Unfortunately, there is no way of knowing if all credible scenarios have been identified in a study. Some people may argue that the occurrence of an actual incident that is not identified in a PHA study is an indicator that the study was not performed as well as possible. However, catastrophic incidents, which are the type of most concern in PHA, occur infrequently and not often enough to
Talkative Over-enthusiastic
Argumentative Sarcastic Dominant Arrogant Skeptical Wants to control the study
Will not let go of an issue Wants to go beyond the defined scope and objectives for the study Promotes a personal agenda Poor attendance/punctuality Uses offensive language Brings other work to sessions Opposite of desirable attributes
provide sufficient data to validate effective performance, the details of real-world incidents often are far more complex than can be identified by PHA, and it is highly unlikely that any PHA study will identify all possible scenarios owing to the difficulty of doing so. Hence, the unidentified incident rate is not a good measure of the quality of a PHA study. Possible metrics to judge the quality of a PHA, and indirectly the effectiveness of a competency management program for PHA teams, include: The average amount of time taken to identify a hazard scenario. Values that are significantly lower or higher than the norm for a particular company and type of process may indicate issues with the competency of the participants. Of course, such determinations must be made in the context of each study. The ratio of the number of hazard scenarios identified to the size and complexity of the process using a suitable measure such as capital cost, or an index representing the number and size of each piece of equipment present. Significant deviations from this ratio may indicate issues with the competency of team members. Of course, the measure used for size and complexity of the process must be meaningful and consistent across processes. Number and type of departures from PHA guidelines governing the study. They can be identified by peer review. Number and type of findings from periodic audits. Audits may identify omissions and deficiencies in PHA studies. Number and type of findings from audits of teams during the performance of a PHA study, although the results are subjective and qualitative in nature and necessarily are based on a sampling of the PHA sessions actually conducted during a study. Metrics for the performance of individual team members are more difficult to specify. Direct observation of team members in action is required by an observer who is an expert PHA practitioner. Checklists of desired attributes can be used to score performances of individuals but the approach suffers from the subjective and qualitative nature of the results as for performance audits of the team as a whole. Also, the presence of an observer may influence the behavior of the PHA participants. When the need for corrective action is identified, it may be straightforward, for example, an instruction to a team member to be punctual, or it may be difficult, for example, the need for a team member to avoid being argumentative. All of these metrics require the application of expert judgment to determine how meaningful they are in the context of a particular PHA study. Such assessments are in their infancy and need further development. 4.12. Certification of practitioners Often, companies assume the competency of team leaders based on the adequacy of their experience or training, possession of
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certain qualifications, or the availability of a procedure for them to follow. Not only may these assumptions be invalid but also they are insufficient to qualify a person to facilitate the performance of PHA studies where people's lives are at stake. Sometimes PHA team leaders are qualified on poor grounds, for example, they have read a book on PHA, been a member or scribe for a study, or attended a short course. Maybe they are just a team member who volunteers to lead a team in the absence of anyone else willing to do so. These may be useful attributes for a PHA team leader but they are not nearly sufficient to qualify a person to lead a study. Owing to the importance of the role played by team leaders, formal certification of their competency against a set of defined criteria is desirable. Certification at different levels should be possible. Novice practitioners without actual experience facilitating a PHA need to be capable of certification at a low level so they can begin facilitating simple studies. Once they have actual PHA leadership experience, they can move to higher certification levels after meeting criteria appropriate to each level. Companies should restrict the type of study facilitated according to the certification level of the leader. Certification criteria should include:
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Successful completion of a written examination that meets prevailing standards for tests of competency should be required. University engineering degrees alone do not provide the level of knowledge or the skills to act as PHA team leaders. Consequently, attendance at continuing education courses is necessary for all prospective team leaders. Certification should be provided and administered by an independent third party using a defined set of publicly-available standards and certification criteria so that there is transparency in the process.
4.13. Continuous improvement Competency management programs should be subject to continuous improvement. Performance metrics for PHA studies should be monitored and ways sought not only to achieve tolerable levels of performance but also to improve performance steadily over time.
5. Conclusions Academic qualifications A technical degree in a relevant discipline, or equivalent, will demonstrate that the individual has the needed intellectual capacity and basic technical knowledge. Independent confirmation that the individual has earned the claimed qualifications is essential. Experience Relevant on-the-job work experience provides a background and knowledge that is useful for a team leader. Confirmation of the claimed work experience by peers and/or supervisors should be required. Facilitation skills For higher certification levels, feedback on the performance of the team leader in managing the team should be sought from team members. Team members providing feedback should owe no allegiance or obligation to the team leader to help ensure objectivity in the feedback provided. Work products For higher certification levels, examples of PHA studies facilitated by the individual can be utilized to demonstrate competency. Expert PHA practitioners should review the work products against the PHA guidelines that were used to produce them to determine their validity. Training Team leaders should have successfully completed appropriate training courses recently. Professional references References should attest to the academic qualifications, experience, work products and professional ethics of the individual. Examination
PHA studies play a critical role in process safety programs. They must be performed by competent practitioners. Both the competency of individual team members and the entire PHA team are important. Participants and teams should be screened against appropriate criteria to demonstrate their competency as part of a competency management program. There are few formal regulatory requirements for team members. Of course, PHA teams must comply with those requirements that do exist but more detailed requirements are desirable owing to the importance of PHA. Competencies for PHA team members can be categorized as technical and personal. Technical competencies include education, experience, skills, and training. Personal competencies address behavior, attitudes, etc. Competencies can be classified as critical and recommended to assist in selecting team members in the real world where ideal team members likely will not exist. Competencies were defined using this categorization and classification scheme for the key participants in a PHA study, specifically, team leaders, scribes and technical team members. Technical competencies can be developed through training, coaching, mentoring, supervision by experienced personnel, job experience and practice. Competencies in personal attributes largely are inherent to the person and may be difficult to change. However, team leaders who facilitate studies frequently may be motivated to try and modify their personal attributes. Competency assessment is an essential aspect of competency management and involves such approaches as verbal or written tests, demonstrations, observation of task performance, behavioral observation, personality typing, and prior knowledge of behaviors. Assessing technical competencies usually is easier than assessing personal competencies. Competencies should be maintained, for example, through refresher or on-going training, and re-assessed periodically, for example, through examinations. Competency management programs should be subject to continuous improvement, for example, by monitoring performance metrics for PHA studies. Metrics should be used for both individual and team performance. Owing to the critical role played by team leaders, they should be certified formally using criteria that address academic qualifications, experience, facilitation skills, work products, training, professional references, and examination.
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References Baybutt, P., 2003. On the ability of process hazard analysis to identify accidents. Process Saf. Prog. 22 (3), 191e194. Baybutt, P., 2007. Competence management (Chapter 29). Human Factors Methods for Improving Performance in the Process Industries. American Institute of Chemical Engineers/Center for Chemical Process Safety, New York, New York. Baybutt, P., 2013a. Analytical methods in process safety management and system safety engineering e process hazards analysis. In: Haight, J.M. (Ed.), Handbook of Loss Prevention Engineering. Wiley-VCH.
Baybutt, P., 2013b. The role of people and human factors in performing process hazard analysis and layers of protection analysis. J. Loss Prev. Process Ind. 26, 1352e1365. CCPS, 2008. Guidelines for Hazard Evaluation Procedures, third ed., Center for Chemical Process Safety/American Institute of Chemical Engineers. OSHA, 1992. Process Safety Management of Highly Hazardous Chemicals, 29 CFR Part 1910.119, U.S. Department of Labor, Occupational Safety and Health Administration. OSHA, 1994. Publication 3133, Process Safety Management Guidelines for Compliance. OSHA, 2001. November 19. Letter to Mr. Robert Summers. The Norac Company Inc.