CAP Body of Knowledge

Feasibility Study: Identify, Scope, and Justify the Automation Project

Task: Define the preliminary scope through currently established work practices in order to meet the business needs.

• Automation opportunity identification techniques (e.g., dynamic performance measures)
• Basic process and/or equipment
• Control and information technologies (e.g., MES, enterprise software) and equipment
• Developing value analyses

• Safely and securely automating process and/or equipment
• Established work practices
• Project management methodology and work processes

Task: Perform and document cost/benefit analysis of automation alternatives that meet business needs.

• Automation systems technology
• Cost/benefit analysis tools
• Evaluating project viability
• Identifying and assessing business needs

• Choosing the degree of automation, safety and security

Task: Conduct technical studies for the preliminary automation strategy by gathering data and conducting appropriate analyses relative to requirements in order to define development needs and risks.

• Machine control theories and mechatronics (electro-mechanical)
• Process control theories

• Conducting risk analyses
• Defining primary control strategies

Task: Perform justification analyses by generating cost estimates using accepted feasibility and financial models to determine project viability.

• Costs of system lifecycles
• Financial and feasibility models (e.g., ROI, NPV, Lean Six Sigma)

• Understanding business drivers
• Estimating techniques to establish cost of the system
• Evaluating the results of the financial analysis for the automation portion of the project

Task: Solicit stakeholder acceptance by creating a conceptual summary document that reports preliminary decisions, assumptions, feasibility results and financial justifications in order to facilitate approval, denial or revision decision.

• Data presentation tools

• Communicating effectively with varied audiences in written or oral form
• Compiling and summarizing information effectively for varied audiences
• Presenting data and results in a logical and concise manner

Definition: Identify Customer Requirements and Complete High-level Analysis of the Best Way to Meet those Requirements

Task: Collaborate with key stakeholders to identify systems, processes and operational needs, while reviewing codes, standards and other documentation to create and communicate design requirements.

• Codes, standards, and good practices
• Data analysis tools
• Interview techniques
• Processes and operating experience

• Building consensus
• Compiling and summarizing information effectively for varied audiences
• Effective team leadership
• Interpreting data

Task: Analyze technical approaches to establish an automation strategy for the project.

• Automation solutions and techniques
• Basic control elements (e.g., sensors, instruments, actuators, control systems, drive systems, HMI, batch control, machine control)
• Control systems theories and applications
• Process and/or equipment functionality and interoperability
• Safety of systems and security practices
• Codes, standards, and good practices

Task: Establish the basis of design by consolidating and refining detailed requirements and data, encompassing network architecture, communication concepts, safety architecture, regulatory codes and standards, instrument preferences, reporting needs and security architecture.

• Electrical, instrumentation, automation and control system architectures
• Industrial network architectures, control system communication protocols including field-level devices
• Conducting safety analysis using safety concepts, standards, regulations and codes (e.g., IEC, ISA, ISAM, ANSI)
• Conducting control systems security using security concepts, regulations and codes (e.g., IEC, ISA, ISAM, ANSI)
• Report requirements

Task: Generate cost estimates by gathering price information from internal and external sources to support or secure project financing.

• Available templates and tools
• Estimating the cost of control equipment and software
• project viability

• Cost/benefit analysis
• Estimating installation cost
• Estimating operational cost

Task: Finalize the basis-of-design documentation with stakeholder approval to launch the design phase.

• Basis-of-design outlines
• User-requirements documents

• Communicating effectively with varied audiences in written or oral form
• Compiling and summarizing information

System Design: Prepare the complete conceptual design of the control and information systems including specifications of the hardware and software to be used in the system and complete the "detail design" and procurement of the hardware systems including preparation of construction work packages.

Task: Engage safety and/or hazard analyses, security analyses, and regulatory compliance assessments by identifying key issues and risks to comply with applicable standards, policies and regulations.

• Applicable electrical, mechanical, safety, and environmental standards (e.g., EPA, ASME, ISA S84, IEC 61508, 21 CFR Part 11, NFPA, OSHA, UL/FM, NEMA, ISO14000, CSA, ABNT)
• Regulations to design

• Analyzing hazards
• Analyzing safety integrity levels
• Assessing relationships between jurisdictional standards
• Assessing security requirements or relevant security issues
• Participating in a Hazard Analysis (e.g., HAZOPS, FMEA, PHA, Fault Tree Analysis)
• Differences between standards, regulations, codes, and guidance documents

Task: Establish project standards and ensure uniformity by actively listening to and documenting customer requests, reviewing regulations to ensure consistency, reliability, safety and security.

• Electrical standards (e.g., NEC, DIN, JIS, CENELEC)
• Final control elements and other field devices
• IEC 61131 programming languages
• Instrument selection and sizing
• ISA standards (e.g., ISA88, ISA95, ISA62443)

• Designing security systems
• Designing safety systems
• Designing electrical and control systems
• Developing programming standards
• Drawing requirements (e.g., ISA 5.x)

Task: Create detailed equipment specifications and instrument data sheets to purchase equipment and support system design and development, based on vendor selection criteria, spare parts, instrument characteristics and conditions of the physical environment, regulations and performance requirements.

• Data sheets (e.g., ISA S20, ISA-TR20.00.01)
• Electrical standards (e.g., NEC, IEC, SAC, STQC, CENELEC)
• Final control elements and other field devices

• Designing electrical and control systems
• Evaluating equipment alternatives
• Instrument selection and sizing
• Motor and drive selection and sizing
• Selecting and sizing control system equipment
• Selecting and sizing input/output signal devices and/or conditioners
• Procurement process and purchase specifications

Task: Analyze the quantity, type, and flow of data involved with automation systems, safety systems and security in order to provide specifications for hardware selection and software development.

• Data requirements of system to be automated
• Data structures of control systems

• Data flow in control systems
• Data flow in safety systems and security
• Optimizing, tuning and normalizing databases
• Diagnostic and monitoring

Task: Select the physical communication media, network architecture and protocols based on data requirements in order to complete system design and support system development.

• Data management (e.g., backup, archive, compression)
• and bonding practices
• Physical and logical security requirements
• Physical requirements for networks/media (e.g., copper, fiber, RF, IR)
• Physical topology rules/limitations

• Designing networks based on chosen protocols (e.g., Ethernet, Devicenet, Fieldbus)
• Redundancy and availability requirements

Task: Develop a functional description of the automation solution using process requirements established in the definition stage to guide development and programming.

• Process/equipment to be automated
• Use of operation philosophy
• Visualization, alarming, database/reporting techniques (e.g., control scheme, alarms, HMI, reports)

• Safety and security strategies
• Alarm management and Human-Machine Interface (HMI) philosophy
• the functional description to stakeholders
• Control strategies
• Documentation standards
• Interpreting design specifications and user requirements

Task: Establish testing requirements and methods to assure appropriate testing relative to functional requirements.

• Functional description of the system/equipment to be automated
• Relevant test standards and regulatory requirements (e.g., FDA, CENELEC, STQC, JIS)

• Developing, writing, and performing tests that validate that the system works as specified
• Software testing procedures
• Hardware testing procedures
• Simulation tools
• Safety testing procedures
• Security testing procedures

Task: Complete the detailed design including purchase requisitions, drawings, panel designs and installation details to be consistent with the specification and functional descriptions to provide detailed information for development and deployment of construction work packages.

• Installation standards and practices (e.g., field devices, computer hardware, cabling)
• Understanding customer preferences
• Using functional requirements and specifications of the system/equipment to be automated

• Applicable safety requirements
• security requirements
• Applicable construction codes
• Document and drawing standards
• Electrical and wiring practices
• Field devices, control devices, visualization devices, computers, and networks

Task: Plan all required documentation and user manuals created during the development process.

• Functional requirements of system/equipment to be automated
• General understanding of automation systems

• Documenting equipment information and procedures for end-users
• Documentation practices
• Operations procedures

Development: Identify, develop, and implement requirements for software configuration and development.

Task: Develop Human-Machine Interface (HMI) systems in accordance with standards and design documents to meet the functional requirements and customer preferences.

• Computer operating systems
• Database fundamentals
• Report configurations
• Tag definition schemes

• Alarm configuration for safety, security fundamentals, techniques, schemes, and features
• Capture, analysis, and display of trending and historical data
• Documenting the configuration and programs
• Human factors design (e.g., navigation menus, logical and effective data presentation)
• Implementing network connections and interface systems
• Programming structure techniques and configurations

Task: Develop database and reporting functions in accordance with the design documents to meet the functional requirements.

• Computer operating systems
• Creating reports and formatting/printing specifications for report output
• Data mapping
• Designing logical and effective reports
• Documenting database configuration
• Implementing network connections and interface systems
• Interpreting functional descriptions
• Programming structure techniques and configurations
• Relational database design, theory, and administration
• Writing database queries

• Safety systems
• Security systems
• Data historian/databases
• Reporting requirements and software
• Control systems (e.g., SCADA, DCS, PLC)

Task: Develop control configuration and programming in accordance with system design and functional requirement documentation.

• Interpreting drawings and functional descriptions, including control strategies, logic drawings, P&IDs and PFDs
• Memory addressing and tag definition schemes
• Process and/or equipment to be automated
• Programming, configuration, and processor capabilities
• Standard nomenclature (e.g., ISA)
• Structured programming techniques

• Alarm schemes and standards
• Safety schemes and standards
• Security schemes and standards
• Computer operating systems
• Documenting the configuration and programs
• Hardware configuration and I/O structure (e.g., DCS, PLC Rack, HMIs, SIS, DMZ)
• Implementing network connections and interface systems (e.g., HMIs, Firewalls and routers, gateways)

Task: Implement data transfer methodology using communications and network protocols in accordance with design documents to meet functional requirements.

• Data mapping
• Documenting the configuration and programs
• Interfacing and systems and gateways
• Network protocols and topology

• Safety systems
• Security systems (e.g., ANSI/ISA/IEC 62443)
• Analyzing throughput
• Computer operating systems
• Configure network products

Task: Implement automation safety and security in accordance with the design documents, standards and regulatory requirements to meet the functional requirements.

• Industry and regulatory standards (e.g., ANSI/ISA/IEC 62443, 21 CFR Part 11, ANSI/ISA84/IEC61511/IEC61508)
• System/network security techniques

• Configuring/programming of security system
• Configuring/programming of safety system
• Documenting the security configuration and programs
• Documenting the safety configuration and programs

Task: Conduct stakeholder and peer reviews of HMI, database configuration and control programming to establish compliance with functional requirements.

• Functional requirements of system/equipment to be automated
• I/O structure
• Memory addressing schemes
• Networking and data communications
• Programming and/or configuration capabilities
• Programming structure techniques and configurations
• Reviewing programming/configuration for compliance with design requirements

• Alarming schemes
• Application programming
• Safety scheme programming
• Security scheme programming
• Computer operating systems
• Documenting the configuration and programs
• Hardware configuration and I/O structure (e.g., DCS, PLC Rack)

Task: Finalize the test plan and conduct factory, functional acceptance testing or other testing using the test plan to determine compliance with functional requirements.

• Functional requirements of system/equipment to be automated
• Interpreting functional requirements of system/equipment to be automated
• Interpreting P&IDs and wiring diagrams
• Application programs
• Memory addressing schemes
• Industrial networking and data communications
• Programming and/or configuration capabilities
• Testing techniques
• Writing Factory Acceptance Testing (FAT) and functional testing procedure

• Alarm schemes and features
• Security schemes and features
• Safety schemes and features
• Computer operating systems
• Documenting test results and deviations
• Executing test plans
• Hardware configuration and I/O structure (e.g., DCS, PLC Rack)
• Implementing connections to remote devices

Deployment: Develop, Review, and Execute all Phases of Project Field Installation, Testing and Start-up

Task: Review and/or perform the physical inspection process of installed equipment to ensure installation in accordance with design drawings and specifications.

• Applicable codes and regulations (e.g., NEC, building codes, OSHA, CENELEC EN codes, applicable IEC regulations)
• Construction documentation
• Installation standards and practices (e.g., field devices, computer hardware, cabling)
• Safety standards
• Security standards

• Comparing physical implementation to drawings
• Development of discrepancy reporting process (e.g., punch lists)
• Reconciling and reporting of redlines and other discrepancies

Task: Conduct site acceptance testing of systems and devices in accordance with design specifications to ensure proper device operation.

• Applicable standards, regulations, and procedures relative to testing
• Communication networks and protocols
• Field devices and their performance requirements
• Management of change procedures
• Test plan and methodology (e.g., loop checks, point-to-point) for the system/equipment to be automated
• Safety specifications
• Security specifications

• Comparing test results to design specifications
• Conducting and documenting field device tests
• Verifying control system installation (e.g., PLC, DCS, PC)
• Versioning techniques and revision control
• Verifying safety performance
• Verifying security performance
• Application programing functions

Task: Test safety elements and systems in accordance with test plans to ensure that safety functions operate as designed.

• Applicable safety standards, regulations, and procedures
• Safety system design

• Executing and documenting test plans

Task: Test security features in accordance with test plans to ensure that security functions operate as designed.

• Applicable security standards, regulations, and procedures
• Security system design
• Vulnerability assessments

• Executing and documenting test plans

Task: Execute operational tests in accordance with the test plan; make necessary adjustments to ensure the entire system, including safety and security systems, functions as designed.

• Applicable standards, regulations and procedures relative to testing
• Control system hardware
• Network and data communications
• Safety testing
• Security testing
• Application testing
• Management of change

• Adjusting final control elements
• Communicating final results to facility personnel
• Computer system performance tuning
• Executing and documenting test plans
• Loop tuning methods/control theory
• Optimizing software performance

Task: Troubleshoot and resolve problems identified during installation and testing using a structured methodology.

• Equipment history documentation
• Processes, equipment, configurations and programming
• Safety systems
• Security systems
• Application programs

• Communicating effectively with varied audiences in written or oral form
• Implementing problem solutions within system limitations
• Structure troubleshooting techniques (e.g., isolation, trial and error, "circle the wagon," trends, root-cause analysis)

Task: Facilitate the turnover process by coordinating the documentation, training and transfer of responsibilities from the project team to the end-users and ensure a smooth transition of the system.

• System handover
• Final project documentation (e.g., as built)

• Training facilitation
• Documentation management
• Change management
• End-user support
• Project management

Operation Maintenance and Decommissioning: Prepare and Implement Lifecycle Strategy for a Project

Task: Develop and conduct periodic systems and component inspection to verify the operation of systems to pre-determined standards and requirements.

• Applicable standards, regulations and procedures relative to testing
• Inspection and testing methods

• Analyzing test results
• Using software and hardware diagnostic tools

Task: Provide technical support for automation systems

• Automation system functionality
• Safety system functionality
• Security system functionality
• Communication tools and techniques for working with end-user audiences
• Control systems theories and applications
• Operation maintenance procedures
• Processes and equipment

• Analytical troubleshooting and root-cause analyses
• Investigating and listening
• Programming and configuring automation system applications, and components using appropriate tools
• Continuous improvement and optimization

Task: Work with training professionals to perform training needs analysis and establish training goals and measurable outcomes.

• Applicable standards, regulations, and procedures
• Safety systems
• Security systems
• Automation systems

• Assessing personnel training requirements
• Instructional techniques and methods
• Training program development

Task: Participate in the delivery of the training for customers and personnel on the safe and secure operation of automated systems.

• Applicable standards, regulations, and procedures
• Assessing personnel training requirements
• Instructional techniques and methods
• Training program development
• Safety systems
• Security systems
• Automation systems

Task: Monitor performance using software and hardware diagnostic tools to support predictive and preventive maintenance.

• Acceptable performance limits
• Automation systems
• Baseline/normal system performance
• Potential problem indicators
• Safety systems
• Security systems

• Applying key performance indicators (KPIs)
• Analyzing data
• System monitoring techniques (e.g., tracking and trending, asset management, alarming)
• Diagnostic software
• Statistical process control (SPC)

Task: Perform continuous improvement and optimization by working with facility personnel.

• Control systems theories and applications
• Security theories and applications
• Safety theories and applications
• Performance metrics
• System/equipment operations

• Analyzing data
• Understanding business needs
• Communicating effectively with varied audiences in written or oral form
• Continuous improvement techniques and procedures
• Optimization tools and methods

Task: Document lessons learned by reviewing the project with stakeholders to improve future projects.

• Documenting project history, methodology, work processes, and metrics

• Communicating effectively with varied audiences in written or oral form

Task: Facilitate license renewals, updates, and service contracts for the automation system.

• Appropriate internal and external support resources
• Documenting installed base of system equipment and software
• Lifecycle state and support level, including support agreements, vendor product plans and future changes

• Applying software updates (e.g., keys, patches)
• Applying security updates
• Applying safety updates
• Organizing and scheduling upgrades
• Project budget management

Task: Evaluate the availability of spare parts based on an assessment of installed base and probability of failure.

• Critical system components
• Documenting installed base of system equipment and software

• Acquiring and organizing information
• Analyzing data
• Appropriate sourcing of spare parts
• Reliability analysis tools and techniques

Task: Perform predictive and preventive maintenance, implement backups and design recovery plans to avoid and recover from system failures.

• Acceptable system downtime
• Backup and restore practices (e.g., frequency, storage media, storage location)
• Disaster recovery and business continuity

• Crisis management techniques
• Preventative maintenance procedures
• Predictive maintenance procedures
• Security maintenance procedures
• Safety maintenance procedures

Task: Facilitate a management of change process aligned with established standards and practices.

• Automation systems and documentation
• Management of change procedures
• Safety systems
• Security systems

• Configuration management practices
• Version control