Bay Butt 2015

7232019 Bay Butt 2015

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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

Article history

Received 22 April 2014

Received in revised form

24 October 2014

Accepted 29 November 2014

Available online 2 December 2014

Keywords

Process hazard analysis

Process safety management

PHA quality

PHA team quali1047297cations

PHA certi1047297cation

a b s t r a c t

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 theUS Occupational Safety and Health Administrations 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 quali1047297ed 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 certi1047297cation of their competency is

desirable Criteria for certi1047297cation are described and their application is discussed

copy 2014 Elsevier Ltd All rights reserved

1 Introduction

Process hazard analysis (PHA) is used to identify hazard sce-

narios 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) pro-

grams PHA studies are conducted by teams of people Conse-

quently they are subject to various possible human failures

in1047298uenced by human factors (Baybutt 2003 Baybutt 2013b) In

particular the quali1047297

cations experience and personal character-istics of participants play a critical role in the quality of PHA

studies Teams with members who are poorly quali1047297ed possess

inadequate experience or have undesirable personal characteris-

tics will produce poor quality studies in which scenarios may be

missed or described inadequately and scenario risks may be esti-

mated incorrectly Such PHA faults can lead to higher risk being

accepted than should be tolerated Consequently individuals who

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 suc-

cessful 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 participantsTeam 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 certi1047297cation requirements Criteria for

certi1047297cation are described and their application is discussed

2 Regulatory requirements for PHA teams

Regulations around the world have established few re-

quirements for PHA participants For example the process safety

management (PSM) standard of the US Occupational Safety and

Health Administration (OSHA) requires only that (OSHA 1992) Corresponding author

E-mail address paulbprimatechcom

Contents lists available at ScienceDirect

Journal of Loss Prevention in the Process Industries

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2014 Elsevier Ltd All rights reserved

Journal of Loss Prevention in the Process Industries 33 (2015) 151e158

7232019 Bay Butt 2015


The PHA shall be performed by a team with expertise in engi-

neering and process operations

The team shall include at least one employee who has experi-

ence and knowledge speci1047297c to the process being evaluated

One member of the team must be knowledgeable in the speci1047297c

process hazard analysis methodology being used

Clearly these are minimal requirements and more detailed re-

quirements are desirable owing to the critical role that people play

in PHA

In the preamble tothe PSM standard OSHA states (OSHA1992)

In order to conduct an effective comprehensive PHA it is

imperative that the analysis be performed by competent per-

sons 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 PHAand 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 doesnot have any prior experience with the particular process being

analyzed to help insure that a fresh view of the process is in-

tegrated into the analysis

Employeesand other experts may be brought onto the team on a

temporary basis to contribute their specialized knowledge

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 theteam with expertise in areas such as process technology pro-

cess design operating procedures and practices alarms

emergency procedures instrumentation maintenance pro-

cedures 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 stan-

dards codes speci1047297cations 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 bene1047297tting

from the expertise of others on the team or outside the team to

resolve issues and to forge a consensus on the 1047297ndings of the

study and recommendations Some team members may only be a partof the team for a limited

time

These criteria go beyond those speci1047297ed in the PSM standard

and begin to identify important selection criteria for PHA

participants

The PSM standard does not specify formal training re-

quirements such as attending short courses for PHA team mem-

bers However in a letter of clari1047297cation (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

other members have acquired a level of understanding that enables

them to effectively use the chosen PHA method

Thus OSHA recognizes that PHAparticipants shouldbe quali1047297ed

and competent to participate in studies in both their technical

capabilities and personal characteristics although the PSM stan-

dard does not speci1047297cally require the screening of participants

against such criteria

3 Competency of personnel and teams

Competency of personnel is de1047297ned as the ability of personnel

to perform tasks according to expectations (Baybutt 2007) Com-

petency implies appropriate quali1047297cations training skills 1047297tness

for duty knowledge and understanding experience behavior at-

titudes and physical and mental capabilities (see Fig 1) as well as

the ability to perform tasks according to de1047297ned 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 compe-

tently 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 attri-

butes of team members including their personalities backgroundsbehaviors 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 in1047298uence the performance of the team

4 Competency management program

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

De1047297ning and using performance metrics

Certi1047297cation of practitioners

Continuous improvement

Each topic is now described

Qualifications

Physical and mental

capabilities

Attitudes

Experience

Behavior

Training

Knowledge and

understanding

Skills

Fitness for duty

Fig 1 Elements of competency for individuals

P Baybutt Journal of Loss Prevention in the Process Industries 33 (2015) 151e158152

7232019 Bay Butt 2015


41 Responsibilities

Company management is responsible for the selection of

team leaders and ensuring that they are appropriately quali1047297ed

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

42 Competency requirements

Competencies should be de1047297ned 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

43 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 PHAparticipants They include

Leaderfacilitator

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

Scribetechnical 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 identi1047297cation of hazard scenarios Identify

initiating events intermediate events consequences safeguards

and enablers Perform risk ranking and may identify recommen-

dations 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

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

May be representatives from vendors of self-contained pro-

cesses such as skid-mounted units and licensed technology con-

tractors who perform activities such as maintenance the design

company responsible for a new process or the engineering com-

pany 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

44 Selection criteria for teams and team members


competencies although there is some overlap in requirements

Overall team or group competency is also important Therefore

selection criteria are neededfor both individual team members and

teams Each type of team member should be selected based on

technical quali1047297cations and personal characteristics or attributesthat are appropriate for each type of team member It is useful to

de1047297ne both critical and recommended attributes because ideal

team members are unlikely to be found in the real world

441 Team selection

This section provides some suggestedoverall criteria that should

be met by PHA teams PHA teams necessarily must be multi-

disciplinary Team members are needed who together can

Competency Performance standards Acceptable performance

+ =

Fig 2 Competency management

Table 1

Typical core and specialty PHA team members

Core team members Specialty team members

Design engineer Instrumentationelectrical

engineer

Process engineer Mechanical engineer

Operator (cover inside and outside activities)

More than one may be needed

Programmer

Maintenance technician or engineer More than

one may be needed

Inspectionmaterials

engineer

Controls engineer Research scientistchemist

Safety engineer Environmental engineer

regulatory specialist

Quality assurancequality

control specialist

Human factors specialist

Industrial hygienist

Industrial engineer

Emergency responder

Note There can be some overlap between core and specialty team members

P Baybutt Journal of Loss Prevention in the Process Industries 33 (2015) 151e158 153

7232019 Bay Butt 2015


provide the information needed to de1047297ne 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 eg operators to re1047298ect different levels of experi-

ence 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 ef 1047297cient

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 regulato-

ry industry andor 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 tocontribute 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

442 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 in1047298uence their effectiveness as a team

member The criteria for positive attributes cover both technical

quali1047297cations and personal characteristics of participants which are

divided into critical and recommended categories The criteria also

include negative attributes

4421 Leaderfacilitator 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 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

4422 Scribetechnical secretary Scribes must be able to under-

stand and accurately record the team discussions without inter-

fering with the process of conducting the PHA Suggested positivetechnical 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

4423 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 identi1047297cation of hazard scenarios for the pro-

cess Suggested positive technical and personal attributes for

technical team members are provided in Table 7 Negative attri-

butes are provided in Table 8 They apply to both core and specialty

team members

4424 Other personnel Their technical and personal attributes are

similar to core and specialty team members

4425 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 2

Suggested technical disciplines for a PHA team

Design engineering

- Knowledge of how the process is intended to operate

- Knowledge of applicable standards codes speci1047297cations 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

- ldquoHands onrdquo 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 3

Positive attributes for PHA team leadersTechnical Personal

Critical

Technical education Impartial in the evaluation

Formal training in PHA and leadership

facilitation skills

Organized

Knowledge of and expertise in the PHA

method to be used

Seeks consensus

Knowledge of regulatory industry and

company requirements for PHA

High stamina

Understands processes and their

operation quickly

Able to focus on multiple items

simultaneously

Reads engineering drawings and

understands other process

documentation easily

Respected by the team

Motivationalinterpersonal skills Friendly and cooperative

Communications skills 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

process being studied eg the team

leader should not be the process

engineer or the designer for the

process

Able to read people

Not an expert on the process under

study

Diplomatic

Imaginative

Quick thinking

Gently authoritative

Able to help team members see

matters in a new light


7232019 Bay Butt 2015


4426 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

443 Practical considerations in selecting team members

There may be only one choice of person for a particular role on

the team eg the process engineer To the extent that the person

does not meet the selection criteria usually in their personal at-

tributes 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

45 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 per-

forming a task is often developed through initial training followedby 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 Typi-

cally technical team members develop their technical competency

through job experience Scribes and interpreters gain their tech-

nical competency through training and practice

Competencies in personal attributes largely are inherent to the

person and may be dif 1047297cult to change particularly in team mem-

bers 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 dif 1047297culty overcoming a tendency

to be impatient

46 Assessment of competency

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 perfor-

mance Other personal competencies such as the ability to read

people can be more dif 1047297

cult to assess

In some 1047297elds 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 prospec-

tive 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 sub-

sequent 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 As-

sessors should themselves be competent in assessing competency

as well as credible consistent and independent

47 Documentation of competency

Companies should formally designate personnel as meeting

required competencies through documentation Some participants

such as team leaders should be certi1047297ed or accredited by external

organizations owing to the importance of the role they play duringa PHA study

48 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

proceduresand 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

49 Reassessing competency

Competencies should be re-assessed periodically such as

through re-examination and observation of performance by a

quali1047297ed 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 signi1047297cant time period

410 Monitoring competency

Competency levels should be tracked over time in order to

determine if systemic problems develop in the competency man-

agement 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

411 De 1047297ning and using performance metrics

The purpose of ensuring the competency of PHA participants

and teams is to help ensure that PHA studies are performed

effectively and ef 1047297ciently 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

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


7232019 Bay Butt 2015


Unfortunately there is no way of knowing if all credible sce-

narios have been identi1047297ed in a study Some people may argue that

the occurrence of an actual incident that is not identi1047297ed 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

provide suf 1047297cient data to validate effective performance the details

of real-world incidents often are far more complex than can be

identi1047297ed by PHA and it is highly unlikely that any PHA study will

identify all possible scenarios owing to the dif 1047297culty of doing so

Hence the unidenti1047297ed 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 scenarioValues that are signi1047297cantly lower or higher than the norm for a

particular company and type of process may indicate issueswith

the competency of the participants Of course such de-

terminations must be made in the context of each study

The ratio of the number of hazard scenarios identi1047297edto 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 Signi1047297cant 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 identi1047297ed by peer review Number and type of 1047297ndings from periodic audits Audits may

identify omissions and de1047297ciencies in PHA studies

Number and type of 1047297ndings 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 sam-

pling of the PHA sessions actually conducted during a study

Metrics for the performance of individual team members are

more dif 1047297cult 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 in1047298

uencethe behavior of the PHA participants When the need for corrective

action is identi1047297ed it may be straightforward for example an in-

struction toa team member to be punctual or it may be dif 1047297cult 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

412 Certi 1047297cation of practitioners

Often companies assumethe competency of team leaders based

on the adequacy of their experience or training possession of

Table 5

Positive attributes for scribes

Technical Personal

Critical

T ec hni ca lly -or iented Abl e t o esta bl ish a good wor king

relationship with the team leader

Understand the PHA process Responsiveness to the team leader

Expertise with the means used to record

PHA sessions typically software on acomputer

Attention to detail

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 Personal

Critical

Knowledge of and expertise in some

aspect of the process

Creative

Work with the process to be studied Good memory

Knowledge of codes standards

regulations and other requirements

that apply to their area of expertise

Willing to participate

Able to read engineering drawings and

understand other processdocumentation

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

AlertPatient

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

Table 8

Negative attributes for PHA team members

Talkative Will not let go of an issue

Over-enthusiastic Wants to go beyond the de1047297ned scope and objectives

for the study

Argumentative Promotes a personal agenda

Sarcastic Poor attendancepunctuality

Dominant Uses offensive language

Arrogant Brings other work to sessions

Skeptical Opposite of desirable attributes

Wants to control the

study


7232019 Bay Butt 2015


certain quali1047297cations or the availability of a procedure for them to

follow Not only may these assumptions be invalid but also they are

insuf 1047297cient to qualify a person to facilitate the performance of PHA

studies where peoples lives are at stake Sometimes PHA team

leaders are quali1047297ed onpoor 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 suf 1047297cient to qualify a person to lead a study

Owing to the importance of the role played by team leaders

formal certi1047297cation of their competency against a set of de1047297ned

criteria is desirable Certi1047297cation at different levels should be

possible Novice practitioners without actual experience facilitating

a PHA need to be capable of certi1047297cation at a low level so they can

begin facilitating simple studies Once they have actual PHA lead-

ership experience they can move to higher certi1047297cation levels after

meeting criteria appropriate to each level Companies should

restrict the type of study facilitated according to the certi1047297cation

level of the leader

Certi1047297cation criteria should include

Academic quali1047297cations

A technical degree in a relevant discipline or equivalent will

demonstrate that the individual has the needed intellectual ca-

pacity and basic technical knowledge Independent con1047297rmation

that the individual has earned the claimed quali1047297cations is

essential

Experience

Relevant on-the-job work experience provides a background

and knowledge that is useful for a team leader Con1047297rmation of the

claimed work experience by peers andor supervisors should be

required

Facilitation skills

For higher certi1047297cation 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 alle-

giance or obligation to the team leader to help ensure objectivity in

the feedback provided

Work products

For higher certi1047297cation levels examples of PHA studies facili-

tated 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 determinetheir validity

Training

Team leaders should have successfully completed appropriate

training courses recently

Professional references

References should attest to the academic quali1047297cations expe-

rience work products and professional ethics of the individual

Examination

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

Certi1047297cation should be provided and administered by an inde-

pendent third party using a de1047297ned set of publicly-available stan-

dards and certi1047297cation criteria so that there is transparency in the

process

413 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

PHA studies play a critical role in process safety programs They

must be performed by competent practitioners Both the compe-

tency 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 mem-

bers 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 classi1047297ed as criticaland recommended to assist in selecting team members in the real

world where ideal team members likely will not exist Compe-

tencies were de1047297ned using this categorization and classi1047297cation

scheme for the key participants in a PHA study speci1047297cally 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 dif 1047297cult 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 behavioralobservation 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 pro-

grams 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

certi1047297ed formally using criteria that address academic quali1047297ca-

tions experience facilitation skills work products training pro-

fessional references and examination


7232019 Bay Butt 2015


References

Baybutt P 2003 On the ability of process hazard analysis to identify accidentsProcess Saf Prog 22 (3) 191e194

Baybutt P 2007 Competence management (Chapter 29) Human FactorsMethods for Improving Performance in the Process Industries AmericanInstitute of Chemical EngineersCenter for Chemical Process Safety NewYork New York

Baybutt P 2013a Analytical methods in process safety management and systemsafety engineering e process hazards analysis In Haight JM (Ed) Handbookof Loss Prevention Engineering Wiley-VCH

Baybutt P 2013b The role of people and human factors in performing processhazard analysis and layers of protection analysis J Loss Prev Process Ind 261352e1365

CCPS 2008 Guidelines for Hazard Evaluation Procedures third ed Center forChemical Process SafetyAmerican Institute of Chemical Engineers

OSHA 1992 Process Safety Management of Highly Hazardous Chemicals 29 CFR Part 1910119 US Department of Labor Occupational Safety and HealthAdministration

OSHA 1994 Publication 3133 Process Safety Management Guidelines forCompliance

OSHA 2001 November 19 Letter to Mr Robert Summers The Norac Company Inc


7232019 Bay Butt 2015


The PHA shall be performed by a team with expertise in engi-

neering and process operations

The team shall include at least one employee who has experi-

ence and knowledge speci1047297c to the process being evaluated

One member of the team must be knowledgeable in the speci1047297c

process hazard analysis methodology being used

Clearly these are minimal requirements and more detailed re-

quirements are desirable owing to the critical role that people play

in PHA

In the preamble tothe PSM standard OSHA states (OSHA1992)

In order to conduct an effective comprehensive PHA it is

imperative that the analysis be performed by competent per-

sons 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 PHAand 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 doesnot have any prior experience with the particular process being

analyzed to help insure that a fresh view of the process is in-

tegrated into the analysis

Employeesand other experts may be brought onto the team on a

temporary basis to contribute their specialized knowledge

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 theteam with expertise in areas such as process technology pro-

cess design operating procedures and practices alarms

emergency procedures instrumentation maintenance pro-

cedures 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 stan-

dards codes speci1047297cations 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 bene1047297tting

from the expertise of others on the team or outside the team to

resolve issues and to forge a consensus on the 1047297ndings of the

study and recommendations Some team members may only be a partof the team for a limited

time

These criteria go beyond those speci1047297ed in the PSM standard

and begin to identify important selection criteria for PHA

participants

The PSM standard does not specify formal training re-

quirements such as attending short courses for PHA team mem-

bers However in a letter of clari1047297cation (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

other members have acquired a level of understanding that enables

them to effectively use the chosen PHA method

Thus OSHA recognizes that PHAparticipants shouldbe quali1047297ed

and competent to participate in studies in both their technical

capabilities and personal characteristics although the PSM stan-

dard does not speci1047297cally require the screening of participants

against such criteria

3 Competency of personnel and teams

Competency of personnel is de1047297ned as the ability of personnel

to perform tasks according to expectations (Baybutt 2007) Com-

petency implies appropriate quali1047297cations training skills 1047297tness

for duty knowledge and understanding experience behavior at-

titudes and physical and mental capabilities (see Fig 1) as well as

the ability to perform tasks according to de1047297ned 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 compe-

tently 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 attri-

butes of team members including their personalities backgroundsbehaviors 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 in1047298uence the performance of the team

4 Competency management program

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

De1047297ning and using performance metrics

Certi1047297cation of practitioners

Continuous improvement

Each topic is now described

Qualifications

Physical and mental

capabilities

Attitudes

Experience

Behavior

Training

Knowledge and

understanding

Skills

Fitness for duty

Fig 1 Elements of competency for individuals


7232019 Bay Butt 2015


41 Responsibilities






members









43 Team composition




Leaderfacilitator







as their own scribe






members

Core team members










Other personnel








Interpreter





Site coordinator














441 Team selection





+ =


Table 1




engineer




Programmer


one may be needed

Inspectionmaterials

engineer





control specialist



Industrial engineer

Emergency responder



7232019 Bay Butt 2015












group are

















objectives






























team members









Table 2


Design engineering



Process engineering








Safety engineering


Other



- Quality control

- Etc

Table 3


Critical



facilitation skills

Organized


method to be used

Seeks consensus



High stamina


operation quickly


simultaneously








overbearing


Recommended






process

Able to read people


study

Diplomatic

Imaginative

Quick thinking





7232019 Bay Butt 2015


















compromises






















to be impatient









cult to assess










competencies













































Table 4



Poor listener



Rushes the team

Rushes to judgment

Biased



7232019 Bay Butt 2015
















teams include












processes



















argumentative




development




Table 5


Technical Personal

Critical






Attention to detail


Recommended




Table 6








Table 7


Technical Personal

Critical



Creative











team members


Open-minded

Unbiased


thorough study


Recommended






study

Logical

AlertPatient

Able to concentrate

Focused




Pays attention


Table 8




for the study







study


7232019 Bay Butt 2015





















level of the leader







essential

Experience




required

Facilitation skills






Work products





Training






Examination










process






over time

5 Conclusions




































performance






7232019 Bay Butt 2015


References










7232019 Bay Butt 2015


41 Responsibilities






members









43 Team composition




Leaderfacilitator







as their own scribe






members

Core team members










Other personnel








Interpreter





Site coordinator














441 Team selection





+ =


Table 1




engineer




Programmer


one may be needed

Inspectionmaterials

engineer





control specialist



Industrial engineer

Emergency responder



7232019 Bay Butt 2015












group are

















objectives






























team members









Table 2


Design engineering



Process engineering








Safety engineering


Other



- Quality control

- Etc

Table 3


Critical



facilitation skills

Organized


method to be used

Seeks consensus



High stamina


operation quickly


simultaneously








overbearing


Recommended






process

Able to read people


study

Diplomatic

Imaginative

Quick thinking





7232019 Bay Butt 2015


















compromises






















to be impatient









cult to assess










competencies













































Table 4



Poor listener



Rushes the team

Rushes to judgment

Biased



7232019 Bay Butt 2015
















teams include












processes



















argumentative




development




Table 5


Technical Personal

Critical






Attention to detail


Recommended




Table 6








Table 7


Technical Personal

Critical



Creative











team members


Open-minded

Unbiased


thorough study


Recommended






study

Logical

AlertPatient

Able to concentrate

Focused




Pays attention


Table 8




for the study







study


7232019 Bay Butt 2015





















level of the leader







essential

Experience




required

Facilitation skills






Work products





Training






Examination










process






over time

5 Conclusions




































performance






7232019 Bay Butt 2015


References










7232019 Bay Butt 2015












group are

















objectives






























team members









Table 2


Design engineering



Process engineering








Safety engineering


Other



- Quality control

- Etc

Table 3


Critical



facilitation skills

Organized


method to be used

Seeks consensus



High stamina


operation quickly


simultaneously








overbearing


Recommended






process

Able to read people


study

Diplomatic

Imaginative

Quick thinking





7232019 Bay Butt 2015


















compromises






















to be impatient









cult to assess










competencies













































Table 4



Poor listener



Rushes the team

Rushes to judgment

Biased



7232019 Bay Butt 2015
















teams include












processes



















argumentative




development




Table 5


Technical Personal

Critical






Attention to detail


Recommended




Table 6








Table 7


Technical Personal

Critical



Creative











team members


Open-minded

Unbiased


thorough study


Recommended






study

Logical

AlertPatient

Able to concentrate

Focused




Pays attention


Table 8




for the study







study


7232019 Bay Butt 2015





















level of the leader







essential

Experience




required

Facilitation skills






Work products





Training






Examination










process






over time

5 Conclusions




































performance






7232019 Bay Butt 2015


References










7232019 Bay Butt 2015


















compromises






















to be impatient









cult to assess










competencies













































Table 4



Poor listener



Rushes the team

Rushes to judgment

Biased



7232019 Bay Butt 2015
















teams include












processes



















argumentative




development




Table 5


Technical Personal

Critical






Attention to detail


Recommended




Table 6








Table 7


Technical Personal

Critical



Creative











team members


Open-minded

Unbiased


thorough study


Recommended






study

Logical

AlertPatient

Able to concentrate

Focused




Pays attention


Table 8




for the study







study


7232019 Bay Butt 2015





















level of the leader







essential

Experience




required

Facilitation skills






Work products





Training






Examination










process






over time

5 Conclusions




































performance






7232019 Bay Butt 2015


References










7232019 Bay Butt 2015
















teams include












processes



















argumentative




development




Table 5


Technical Personal

Critical






Attention to detail


Recommended




Table 6








Table 7


Technical Personal

Critical



Creative











team members


Open-minded

Unbiased


thorough study


Recommended






study

Logical

AlertPatient

Able to concentrate

Focused




Pays attention


Table 8




for the study







study


7232019 Bay Butt 2015





















level of the leader







essential

Experience




required

Facilitation skills






Work products





Training






Examination










process






over time

5 Conclusions




































performance






7232019 Bay Butt 2015


References










7232019 Bay Butt 2015





















level of the leader







essential

Experience




required

Facilitation skills






Work products





Training






Examination










process






over time

5 Conclusions




































performance






7232019 Bay Butt 2015


References










7232019 Bay Butt 2015


References










Documents

Bay Butt 2015