Classification of Processes Order from Chaos Version 2 – Post Harwell update Ian Dalling - Unified...

Classification of ProcessesOrder from Chaos

Version 2 – Post Harwell update

Ian Dalling - Unified Management Solutions CQI Nuclear Special Interest Group Meeting – Harwell June 2011

Implementation

Integrity

Integration

Intelligence

Ingenuity

Copyright Notice

The author, Ian Dalling, owns the copyright of this presentation.

No part of this publication may be reproduced, stored in or introduced into a retrieval system, or transmitted in any form or by any means (electronic, mechanical, photocopying, recording, or otherwise), without prior written permission of Ian Dalling.

This presentation may be used freely for private study or research purposes.

Requests for permission to reproduce all or part of this document must be addressed to:

Mr Ian Dalling, Unified Management Ltd, 9 Little Lane, Alverstoke, Gosport, Hampshire PO12 2LA, United Kingdom.

Tel: +1695 728059 or +44 2392511043Email: [email protected]

www.UnifiedManagement.com

mailto:[email protected]

http://www.unifiedmanagement.com/

Presentation Contents FIRST PRINCIPLES

• Emergence of management• Essence of management• Structure and dynamics• Plan-do-check-act• Rule or map?• Principal process types

TAXONOMY PRINCIPLES• Classification examples• Why classify?• Taxonomy design principles

12 ELEMENT TAXONOMY• Circular format• Linear format• Synergy

APPLICATION TO MANAGEMENT SYSTEMS• Applicability potential• Stakeholder specific requirements• Overt and covert processes• Standards and regulations mapping• Variation in elements application

GENERAL APPLICATION• Potential universality across manage

ment instruments

SUMMARY AND CONCLUSIONS

ADDITIONAL SLIDES• Organisation Universal Model• Overall Process Types

June 2011 ©2011 Unified Management Solutions

FIRST PRINCIPLES


Emergence of Management Systems


13,750,000,000 Years since big bang

Homo sapiens evolved between 400,000 and 250,000 years ago

Natu

ral S

yst

em

s and P

roce

sses

Eng

ineere

d S

yst

em

s and P

roce

sses

Managem

en

t Syst

em

s and P

roce

sses

Essence of Management


ManagerConsciousness

?

That whichis managed

Process ofmanaging

Structure and Dynamics


?

Process ofmanaging


Structure Dynamicshosts

creates, maintains and destroys

Managerconsciousness



?

Process ofmanaging



Structure Dynamics

System Process

ManagementSystem

A

C

D

P



?

Process ofmanaging



Structure Dynamics

System Process

ManagementSystem

Management topic structure (taxonomy)

A

C

D

P

Application of Plan-Do-Check-Act

A

C

D

P

A

C

D

P

A

C

D

P

A

C

D

P

A

C

D

P

A

C

D

P

A

C

D

P

A

C

D

P

A

C

D

P

A

C

D

P

A

C

D

P

A

C

D

P

A

C

D

P

A

C

D

P

A

C

D

P

Task

Team

Project

MiddleManagement

Top Management‘Strategy’

Incr

easi

ng C

ycl

e F

requency

Incr

easi

ng C

oopera

tion &

Coord

inati

on

a stratified pyramid of plan-do-check-act cycles

Process Rule or Process Map?1

Structure and Process Justification

(Safety Case)

Permitted structures and processes

(operational envelope) (Operating Rules)

Mandatory maintenance,

inspection, and test requirements(MIT Schedule)

Possible Structures and Processes

Mandatory and permitted structures and processes

Non-permitted structures and processes

Known unsafe structures and processes

Structures and processes outside scope of ‘structure and process justification’

Risk Assessment

Process Rule or Process Map?2


(Safety Case)

Permitted structures and processes

(operational envelope) (Operating Rules)

Mandatory maintenance,

inspection, and test requirements(MIT Schedule)

Possible Structures and Processes

Mandatory and permitted structures and processes

Non-permitted structures and processes

Known unsafe structures and processes

Structures and processes outside scope of ‘structure and process justification’

Risk AssessmentGeneric Process Rule Only work to current

approved documents Retain record for 7

years

Process Map or Definition

References

management topic taxonomy

Principal Process Types

Supply (input)

Delivery (output)

CoreSupporting Contingency

TAXONOMY PRINCIPLES(CLASSIFICATION)


Examples of classification

Structure and dynamics Species Periodic table of chemical elements Right wing and left wing politics Relationships (superior, peer and subordinate) Branches of knowledge and library books Supermarket products

Organisations (size, industry size etc) Alpha/numeric Mathematical set theory Human emotions Professions Age and gender Personnel fitness Risk (high, medium, low) Prioritisation (first, next, last) Processes???

Why do we classify?

Simplify and create orderliness (lower entropy)

Improve understanding:• Patterns• Group characteristics and synergy• Hierarchy

Improve communication• mutually understood conventions and

definitions Be able to manage more successfully

Taxonomy Design Principles

1. Hierarchical element structure2. Plan-Do-Check-Act embedded3. Reflect theory and practice4. Distinct non-replicated element characteristics5. Element clusters facilitate generic control and

guidance6. Elements facilitate simple interrelationships7. Inclusive element scopes8. Universal, concise and intuitive element titles9. Comprehensive - all organisational structures

and dynamics covered.

12 ELEMENT MANAGEMENT TOPIC TAXONOMY


ActElement 12

PlanElement 1

CheckElements 10 and 11

DoElements 2 to 9

Management Topic

Taxonomy

10

1211

1

2

3

4

567

8

9

Asse

ssm

ent

Cont

rols

and

Personnel

Commerce

Data

MatterandEnergy

Suppliers

Prod

uct

and

Serv

ice

Del

iver

y

Contingencie

s

Change

Reactive

Proactive

Monitoring

Monitoring

Review

Actionand

P

D

C

A

Planning & control

Leading KPI’s

Lagging KPI’sRoot causes

Immediate causes

Evidence

Structure & process

Corrective & preventiveStrategic

Project

Tracking

Vis

ion

& p

olic

yO

bjec

tives

& ta

rget

sLe

gisl

atio

n

Opp

ortu

nity

& R

isk

Just

ifica

tion

Tool

s &

tech

niqu

es

Review

Planning

Outputs

Org

anis

atio

nRes

pons

ibilit

ies

Interacti

ons

Employment li

fecycle

Structure

Control

DatabasesSecurity

ProcessingConventions

Organisation entity

Stakeholders

SelectionHandling & use

Processing

Waste & em

issions

Infrastructure

Maintenance,

inspection & testing

Approval

Specification &

ordering

Receipt

Perform

ance

Projec

ts

Plan

ningGen

eral

Testi

ng & tr

ainingEvents

Non

-aw

ard

Mar

ketin

g

Pro

posa

l

Impl

emen

tatio

n

Pos

t com

plet

ion

PlanElement 1

ActElement 12

DoElements 2 to 9


Finance

12. Reviewand Action

1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers

7. Service andProduct Delivery

8. Contingencies

9. Change

10. ReactiveMonitoring11. ProactiveMonitoring

PLAN

DOCH

ECK

ACT

Twelve Element Structure

10

1211

1

2

3

4

567

8

9

Asse

ssm

ent

Cont

rols

and

Personnel

Commerce

Data

MatterandEnergy

Suppliers

Prod

uct

and

Serv

ice

Del

iver

y

Contingencie

s

Change

Reactive

Proactive

Monitoring

Monitoring

Review

Actionand

P

D

C

A

Planning & control

Leading KPI’s

Lagging KPI’sRoot causes

Immediate causes

Evidence

Structure & process

Corrective & preventiveStrategic

Project

Tracking

Vis

ion

& p

olic

yO

bjec

tives

& ta

rget

sLe

gisl

atio

n

Opp

ortu

nity

& R

isk

Just

ifica

tion

Tool

s &

tech

niqu

es

Review

Planning

Outputs

Org

anis

atio

nRes

pons

ibilit

ies

Interacti

ons

Employment li

fecycle

Structure

Control

DatabasesSecurity

ProcessingConventions

Organisation entity

Stakeholders

SelectionHandling & use

Processing

Waste & em

issions

Infrastructure

Maintenance,

inspection & testing

Approval

Specification &

ordering

Receipt

Perform

ance

Projec

ts

Plan

ningGen

eral

Testi

ng & tr

ainingEvents

Non

-aw

ard

Mar

ketin

g

Pro

posa

l

Impl

emen

tatio

n

Pos

t com

plet

ion

PlanElement 1

ActElement 12

DoElements 2 to 9


Finance

1 Assessment and Controls1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change

11. ProactiveMonitoring12. Reviewand Action

PLAN

DOCH

ECK

ACT

10. ReactiveMonitoring

Vision and Policy

Objectives and Targets

Legislation and Standards

Opportunity and Risk Assessment


Management Tools and Techniques

ReviewsSpecialist

PlanningGeneral

Review

MaintenanceReview

SelectionApplication

Identification

Evaluation

Identify potential harm

Identify stakeholders affected

Assess risks

Develop controls

Assess residual risks12. Reviewand Action


2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


11. ProactiveMonitoring

PLAN

DOCH

ECK

ACT

3 Commerce1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


Entity Maintenance

StakeholdersContracts

Interfaces

Licenses

Accreditations and Certifications

Registrations

Finance

Revenue

Payments

Cash

4 Data1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


Control

Databases

Access

Processing

Conventions

Structures

Accounting

Key Performance Indicators

Finance

?

Matter and Energy

Personnel

Infrastructure Condition

Energy

?CarbonWaste

Working Hours

Management System

External

InternalDocuments- company- project

Records

Filing

Numbering and Nomenclature

Library

Lifecycle

Literature and Web SiteNotice Boards

Signage

CreationRetentionDisposalComputer Software

5 Matter and Energy1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


Selection

Handling and Use

Processing

Maintenance, Inspection and Testing

Waste & Emissions

Infrastructure

Receipt

Storage

Transport

Work Environment

Estates

Facilities

Plant and Equipment

Personal Protective Equipment

Configuration

6 Suppliers1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


Approval

Specification and Ordering

Receipt

Performance Evaluation

Reconciliation and Payment

Vetting

Classification

Audit

Data Collection



2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change



PLAN

DOCH

ECK

ACT

7 Service and Product Delivery1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


Marketing

Pre-contract

Failure to Obtain Contract

Contract Implementation

Post Contract Completion Activities

7 Service and Product Delivery+1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


Marketing

Proposals

Contract Non-award Review


Post Completion Activities

Business Development

Preparation of Proposals


Lost Contract Evaluation

Post Contract Evaluation

12. Review and Action

Potential Contract Classification

8 Contingencies1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


PlanningNonconformances

Succession Planning

Project Arrangements

Testing and Training

Insurance

Symptom Based Procedures

First Aid

General Arrangements

Emergencies, Crises and Disaster Recovery

Standard Procedures

EventsGeneral Management

Classification

Product Recall

9 Change1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


Corrective and Preventive

Strategic

Structure and Process

Project

Lifecycle

Markets

Product/Service Definitions

Vision and Policies

Organisation

Management System

Infrastructure

Classification

Registration

Approval

Review

Implementation

12.Management

Review

10 Reactive Monitoring1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


Evidence

Immediate Causes

Root Causes

Lagging Key Performance Indicators (KPI’s)

12. Management Review and

Action

9. Change



2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change



PLAN

DOCH

ECK

ACT

11 Proactive Monitoring1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


Planning and Control

Leading Key Performance Indicators (KPI’s)

Audits

Benchmarking

Inspections

Self Monitoring

Surveys



2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change



PLAN

DOCH

ECK

ACT

11 Proactive Monitoring+1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


Types

Leading Key Performance Indicators (KPI’s)

Audits

Benchmarking

Inspections

Self Monitoring

Surveys



2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change



PLAN

DOCH

ECK

ACT

April 2011 ©2011 Unified Management Solutions

incr

easi

ng f

orm

alit

y

incr

easi

ng f

requency

and d

eta

il

Each Shift

DailySupervisor Inspections

WeeklyManager Inspections

Yearly3rd Party Audits

Supplier Audits

Internal Audits

Self Monitoring

Continual

Monthly

Surveys

Benchmarking

What? When?

12 Review and Action1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


Planning

Review

Outputs

Agenda

Actions

Product/service delivery

Technological options

Vision and Strategy

New and changed aspects and hazards

Reactive monitoring

Stakeholder interactions, needs and expectations

Proactive monitoring

Use of management tools



2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change



PLAN

DOCH

ECK

ACT

Action Plan

Minutes

Meetings Schedule

Reports, Discussion and Decisions

Agenda Templates Legislation

Suppliers

Internal projects and change

Sales, marketing and prospects

Personnel

Objectives

Key Performance Indicators

Management System

Taxonomy Synergy1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


Organisation failures have multiple contributing causes related to multiple taxonomy elements

Nearly all major loss events have an impact on total performance Quality Health and safety Environment Financial Reputation

Elements are like a chain

APPLICATION OF TAXONOMY TO MANAGEMENT SYSTEMS


IMS Taxonomy Application1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


Applicable to any organisation, irrespective of type and size.

Applicable globally. Enables alignment throughout

supply and delivery chains.

+ Stakeholder Specific Requirements

Stakeholder Specific Controls1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


+


2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change



PLAN

DOCH

ECK

ACT



2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change



PLAN

DOCH

ECK

ACT



2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change



PLA

ND

OC

HEC

KA

CT


Dedicated arrangements can be defined to comply with specific stakeholder requirements using the same twelve element taxonomy to complement the organisation’s generic twelve generic management procedures.

Overt and Covert Processes1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT



2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change



PLA

ND

OC

HEC

KA

CT


Overt and covert processes can use the same twelve element taxonomy


2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change



PLAN

DOCH

ECK

ACT


Standards and Management Regulations Mapping


2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


???

ISO17025

OHSAS18001

ISO14001

ISO9001

Construction, Design and Management Regulations

Management of H&S at Work Regulations

???

Application Variation Across Taxonomy Elements

Others tend to vary considerably across organisations.


2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


Some applications of taxonomy elements tend to vary very little across organisations.

GENERAL APPLICATION OF TAXONOMY TO MANAGEMENT

INSTRUMENTS


Taxonomy Universal Application1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


Taxonomy has potential to be universally applied to the structuring of:

Management standards Legislation

overall structuring individual statutes and regulations

Licensing arrangements Databases Records Key performance indicators and dashboards Root cause analysis Audits and inspections Management review Problem-solving Education and training programs Knowledge structures Artificial management intelligence Research planning

Summary and Conclusion1. Assessmentand Controls

2. Personnel

3. Commerce

4. Data

5. Matter andEnergy

6. Suppliers


8. Contingencies

9. Change


PLAN

DOCH

ECK

ACT


All of an organisation’s processes can be controlled and guided via twelve management procedures

An organisation’s management system can be totally integrated with no residual fragmented parts

The taxonomy can be applied universally to a range of management instruments and processes

Potential to align and streamline management processes

Ian Dalling may be contacted via [email protected]

ADDITIONAL SLIDES


©2005 Unified Management Ltd

Organisation Universal Model

Per

form

ance

Internal Climate

Stakeholders

Consciousness

ManagementSystem

CompetenceBase

OrganisationCulture

Cor

pora

te

Lead

ersh

ip

(Top

Man

agem

ent)

Hum

an R

esou

rce

Dat

a,

Mat

ter,

Ene

rgy

etc

Processes

Delivery Chain

Supply Chain

Overall Process Types

trigger

trigger

trigger

trigger

trigger

trigger

Per

form

ance

Internal Climate

Stakeholders

Consciousness

ManagementSystem

CompetenceBase

OrganisationCulture

Cor

pora

te

Lead

ersh

ip (T

op M

anag

emen

t)

Hum

an R

esou

rce

Dat

a, M

atte

r, E

nerg

y et

c

Processes

Delivery Chain

Supply Chain

Management Systems and Processes

Natural Systems and ProcessesEngineered Systems and Processes

The End

Feedback is always welcome and is used to drive continual improvement

for the good of everyone

[email protected]

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