Integrity Integration Intelligence Ingenuity Implementation Classification of Processes

Integrity Integration Intelligence Ingenuity Implementation Classification of Processes Order from Chaos Version 2 – Post Harwell update Ian Dalling - Unified Management Solutions CQI Nuclear Special Interest Group Meeting – Harwell June 2011

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Presentation Contents n FIRST PRINCIPLES • • • n Emergence of management Essence of management Structure and dynamics Plan-do-check-act Rule or map? Principal process types TAXONOMY PRINCIPLES • • • n n Classification examples Why classify? Taxonomy design principles 12 ELEMENT TAXONOMY • • • Circular format Linear format Synergy June 2011 APPLICATION TO MANAGEMENT SYSTEMS • • • n Applicability potential Stakeholder specific requirements Overt and covert processes Standards and regulations mapping Variation in elements application GENERAL APPLICATION • Potential universality across management instruments SUMMARY AND CONCLUSIONS ADDITIONAL SLIDES • Organisation Universal Model • Overall Process Types © 2011 Unified Management Solutions

FIRST PRINCIPLES June 2011 © 2011 Unified Management Solutions

Management Systems and Processes Natural Systems and Processes Engineered Systems and Processes Emergence of Management Systems 13, 750, 000 Years since big bang June 2011 © 2011 Unified Management Solutions Homo sapiens evolved between 400, 000 and 250, 000 years ago

Essence of Management Manager Consciousness Process of managing That which is managed ? June 2011 © 2011 Unified Management Solutions

Structure and Dynamics Manager consciousness Process of managing That which is managed ? Structure hosts Dynamics creates, maintains and destroys June 2011 © 2011 Unified Management Solutions

Structure and Dynamics Manager consciousness Process of managing That which is managed P A D C Management System June 2011 Structure System © 2011 Unified Management Solutions ? Dynamics Process

Structure and Dynamics Manager consciousness Process of managing That which is managed P A D C Management System Structure System ? Dynamics Process Management topic structure (taxonomy) June 2011 © 2011 Unified Management Solutions

Top Management ‘Strategy’ P A C P Middle Management A P D Project A P A D C D A C P D A C A P P D C P D D P P A A C C P D D P C A P C P A D C C Task A C P Team D Increasing Cycle Frequency Increasing Cooperation & Coordination Application of Plan-Do-Check-Act A D C a stratified pyramid of plan-do-check-act cycles

Process Rule or Process Map? Structure and Process Justification (Safety Case) Risk Assessment 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’ 1

Process Rule or Process Map? management topic taxonomy Structure and Process Justification (Safety Case) Possible Structures and Processes Generic Process Rule Risk Assessment & Only work to current approved documents & Retainstructures record for 7 Permitted years and processes (operational envelope) (Operating Rules) Mandatory maintenance, inspection, and test requirements (MIT Schedule) Mandatory and permitted structures and processes Non-permitted structures processes Process Map orand Definition Known unsafe structures and processes Structures and processes outside scope of ‘structure References and process justification’ 2

Principal Process Types Supporting Core Contingency Supply (input) Delivery (output)

TAXONOMY PRINCIPLES (CLASSIFICATION) June 2011 © 2011 Unified Management Solutions

Examples of classification n n n 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 n n n n n 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? n n Simplify and create orderliness (lower entropy) Improve understanding: • Patterns • Group characteristics and synergy • Hierarchy n Improve communication • mutually understood conventions and definitions n Be able to manage more successfully

Taxonomy Design Principles 1. 2. 3. 4. 5. 6. 7. 8. 9. Hierarchical element structure Plan-Do-Check-Act embedded Reflect theory and practice Distinct non-replicated element characteristics Element clusters facilitate generic control and guidance Elements facilitate simple interrelationships Inclusive element scopes Universal, concise and intuitive element titles Comprehensive - all organisational structures and dynamics covered.

12 ELEMENT MANAGEMENT TOPIC TAXONOMY June 2011 © 2011 Unified Management Solutions

Plan Act Element 1 g ive Monitoring s Evidence Tracking ts ec l ne tte r g g derin al Propos rd -awa tion atio ent ple lem Non & or Imp tion com ers ehold Stak Finance Structure Control Data base Sec s urity Pro ces sing Co nve ntio ns Se lec tio Ha n Pr ndli n oc es g & us sin e g val ifica ipt Po st n nin pro Pl Ap Rece Elements 10 and 11 Performance Check c Spe an G en er al oj Pr Ma ity ent ns io iss em & e te tur g as uc e, tin W nc es str ra na & t Inf inte tion Ma pec ins & ng ini tra 6 e Data liers ng 7 Pr and S oduct ervic e Delivery ti n Co nts sti Te es ci e Ev 4 5 ion isat merc 3 8 e ym plo Em an Org Com d an ergy En e ctiv P D en ng t In 2 Supp rre Co A 1 C cess tegic Stra ive ent rev &p 12 1 1 1 0 9 ge Chan Project Str g Rea ct cause ro e&p uctur rin e s v cti use ito oa on KP I’s Roo t ca Imme diate Pr M gin g le yc c life nt on l rs ro s n io ct a er Pe nt Review and ion Act co Marketing & I’s g KP nin Assess and ment Con trol s ing an Lag Vision & policy n nni ad Pl Outputs w Revie Pla Le Management Topic Taxonomy Objectiv es & targ ets Legisla tion Opp ortu nity &R Jus isk tific atio To n ols &t ech niq Or ue ga s nis ati Re on sp on sib ilit ie s Element 12 Do Elements 2 to 9

Plan Act Element 1 ive Monitoring cause s Tracking l ne on g er al g derin & or Propos al n rd -awa tion lem ent ple com Po st tion Imp G an Pl ers ehold Stak Finance Control Data base Sec s urity Pro ces sing Co nve ntio ns Se lec tio Ha n Pr ndli n oc es g & us sin e g val ifica CHECK pro ipt ACT Ap c Spe Rece Elements 10 and 11 Pr and S oduct ervic e Delivery ts ec oj Pr tte r ity ent ns io iss em & e te tur g as uc e, tin W nc es str ra na & t Inf inte tion Ma pec ins & ng ini tra 6 Performance Check 7 Ma liers 9. Change ti n Co nts ng es ci e Ev sti Te 5 ion Structure Data nin e ctiv 4 8 e merc 3 D en ng plo Em isat Com d an ergy En rre Co P e ym c life nt an Org 2 Supp 8. Contingencies tegic Stra ive ent rev &p A 1 C cess en Str 12 1 1 1 0 9 ge Chan Project ro e&p uctur g Rea ct Evidence 7. Service and Product Delivery rin e 6. Suppliers s v cti use ito oa on KP I’s Roo t ca Imme diate Pr M gin g le yc t In rs l s n io ct a er Pe ro Assess and ment Con trol s nt Review and ion Act co Marketing & I’s KP DO ing nin g Lag Vision & policy g ad an 5. Matter and Energy Outputs n nni Le Pl 4. Data 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action w Revie Pla 3. Commerce Objectiv es & targ ets Legisla tion Opp ortu nity &R Jus isk tific atio To n ols &t ech niq Or ue ga s nis ati Re on sp on sib ilit ie s Element 12 Non 2. Personnel Twelve Element Structure atio PLA 1. Assessment and Controls Do Elements 2 to 9

DO 4. Data 5. Matter and Energy Legislatio n and Standard s 6. Suppliers 7. Service and Product Delivery 8. Contingencies ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action Opportunit y and Risk Assessme nt PLAN Objectives and Targets Revie w Plannin g General Speciali st Review s Structure and Process Justification Management Tools and Techniques 1. Assessment and Controls 2. Personnel Identificati on Evaluation 3. Commerce 4. Data DO 3. Commerce Vision and Policy risks Develop controls Assess residual risks Maintenanc e Review Selection Applicatio n 5. Matter and Energy 6. Suppliers Identify potential harm Identify stakeholders affected Assess 7. Service and Product Delivery 8. Contingencies 9. Change CHECK 2. Personnel 1 Assessment and Controls ACT PLA 1. Assessment and Controls 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action

PLA 1. Assessment and Controls 2. Personnel 3. Commerce 3 Commerce Entity Maintenanc e Registratio ns Accreditations and Certifications Licenses DO 4. Data 5. Matter and Energy Contracts Stakehold ers Interfaces 6. Suppliers 7. Service and Product Delivery Revenue Financ e Payments 8. Contingencies Cash ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action

PLA 1. Assessment and Controls 2. Personnel 4 Data Structure s 3. Commerce DO 4. Data Contr ol 5. Matter and Energy 6. Suppliers 8. Contingencies CHECK ACT 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action Database s. Document Internal s Extern - company al Library - project Record s Computer Software Literature and Web Site Notice Boards Signage 7. Service and Product Delivery 9. Change Management System Processin g Access Conventio ns Accounti ng Key Performan ce Indicators Numbering and Nomenclature Filing Matter and Energy Financ e Personn el ? Lifecycle Creatio n Retentio n Disposal Infrastructure Condition Energy Waste Carbon ? Working Hours

PLA 1. Assessment and Controls 2. Personnel 5 Matter and Energy Selection Receipt 3. Commerce DO 4. Data 5. Matter and Energy Handlin g and Use Processing 6. Suppliers 7. Service and Product Delivery Waste & Emissions 8. Contingencies ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action Storag e Transport Infrastructu re Maintenanc e, Inspection and Testing Work Environme nt Estate s Faciliti es Plant and Equipme Configuration nt Personal Protective Equipment

PLAN 6 Suppliers 2. Personnel 3. Commerce DO 4. Data 5. Matter and Energy Approva l Classification Vetting Specification and Ordering 6. Suppliers 7. Service and Product Delivery Data Collection Aud it 3. Commerce 4. Data 7. Service and Product Delivery Recei pt 8. Contingencies Reconciliation and Payment CHECK Performance Evaluation 9. Change ACT CHECK ACT 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action 5. Matter and Energy 6. Suppliers 8. Contingencies 9. Change 1. Assessment and Controls 2. Personnel DO PLA 1. Assessment and Controls 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action

PLA 1. Assessment and Controls 7 Service and Product Delivery 2. Personnel Marketing 3. Commerce DO 4. Data 5. Matter and Energy 6. Suppliers 7. Service and Product Delivery 8. Contingencies ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action Precontract Failure to Obtain Contract Implementati on Post Contract Completio n Activities

PLA 1. Assessment and Controls 7 Service and Product Delivery+ 2. Personnel Marketing 3. Commerce Business Development DO 4. Data 5. Matter and Energy 6. Suppliers 7. Service and Product Delivery 8. Contingencies ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action Proposals Contract Nonaward Review Contract Implementati on Post Completio n Activities Potential Contract Classification Preparation of Proposals Lost Contract Evaluation Contract Implementation Post Contract Evaluation 12. Review and Action

PLA 1. Assessment and Controls 2. Personnel 8 Contingencies Planning 3. Commerce DO 4. Data 5. Matter and Energy General Arrangeme nts 6. Suppliers 7. Service and Product Delivery 8. Contingencies ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action Project Arrangeme nts Testing and Training Events Nonconforman ces Emergencies, Crises and Disaster Recovery Product Recall Succession Planning First Aid Insuran ce Classification General Management Standard Procedures Symptom Based Procedures

PLA 1. Assessment and Controls 2. Personnel 9 Change Corrective and Preventive Vision and Policies 3. Commerce DO 4. Data Strategi c Markets 5. Matter and Energy 6. Suppliers 7. Service and Product Delivery 8. Contingencies Structure and Process Project ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action Product/Service Definitions Lifecycl e Management System Organisati on Infrastructu re Registratio n Classification Approval Implementati on Review 12. Manageme nt Review

10 Reactive Monitoring PLAN PLA 1. Assessment and Controls 2. Personnel 3. Commerce DO 4. Data 5. Matter and Energy 7. Service and Product Delivery 8. Contingencies ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action 8. Contingencies 9. Change Evidence Immediate Causes CHECK 6. Suppliers 7. Service and Product Delivery ACT DO 4. Data 5. Matter and Energy 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action Root Causes Lagging Key Performance Indicators (KPI’s) 9. Change 12. Manageme nt Review and Action

11 Proactive Monitoring PLAN PLA 1. Assessment and Controls 2. Personnel 3. Commerce 7. Service and Product Delivery 8. Contingencies ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action Surveys Benchmarkin g Inspection s Self Monitoring DO Planni ng and Control 4. Data 5. Matter and Energy 6. Suppliers 7. Service and Product Delivery 8. Contingencies 9. Change Leading Key Performance Indicators (KPI’s) CHECK 6. Suppliers Audits ACT DO 4. Data 5. Matter and Energy 1. Assessment and Controls 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action

DO 4. Data 5. Matter and Energy 6. Suppliers PLAN 3 rd Party Audits Supplier Audits Surveys Benchmarking Type s Benchmarkin Surveys Monthly Self Monitoring © 2011 Unified Management Solutions 5. Matter and Energy Weekly 7. Service and Product Delivery 8. Contingencies Daily Inspections Leading Key Performance Indicators (KPI’s) 4. Data 6. Suppliers 9. Change ACT CHECK ACT 10. Reactive Monitoring 11. Proactive Monitoring 12. Review April 2011 and Action increasing formality 8. Contingencies Supervisor 2. Personnel 3. Commerce Internal. Audits g Manager Inspections Inspection 7. Service and s Self Product Delivery Monitoring 9. Change Yearly DO 3. Commerce 1. Assessment When? and Controls What? CHECK 2. Personnel 11 Proactive Monitoring+ increasing frequency and detail PLA 1. Assessment and Controls 10. Each Reactive. Shift Monitoring 11. Proactive Monitoring Continual 12. Review and Action

12 Review and Action Reactive monitoring 5. Matter and Energy 6. Suppliers 7. Service and Product Delivery Revie w CHECK 9. Change ACT Legislation Agenda 8. Contingencies 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action Agenda Template s Output s Reports, Discussi on and Decision s Actions Minute s Action Plan Stakeholder interactions, needs and expectations New and changed aspects and hazards Technological options Suppliers Sales, marketing and prospects Product/service delivery PLAN DO 4. Data Proactive monitoring 3. Commerce Personnel Key Performance Indicators 4. Data 5. Matter and Energy 6. Suppliers Use of management tools 7. Service and Product Delivery Management System 8. Contingencies Vision and Strategy Objectives 1. Assessment and Controls 2. Personnel Internal projects and change DO 3. Commerce Plannin g Meetings Schedule 9. Change CHECK 2. Personnel ACT PLA 1. Assessment and Controls 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action

PLA 1. Assessment and Controls Taxonomy Synergy 2. Personnel 3. Commerce q DO 4. Data 5. Matter and Energy q 6. Suppliers q Quality q Health and safety q Environment q Financial q Reputation 7. Service and Product Delivery 8. Contingencies ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action Organisation failures have multiple contributing causes related to multiple taxonomy elements Nearly all major loss events have an impact on total performance q Elements are like a chain

APPLICATION OF TAXONOMY TO MANAGEMENT SYSTEMS June 2011 © 2011 Unified Management Solutions

PLA 1. Assessment and Controls IMS Taxonomy Application 2. Personnel 3. Commerce q DO 4. Data 5. Matter and Energy 6. Suppliers 7. Service and Product Delivery 8. Contingencies ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action q q Applicable to any organisation, irrespective of type and size. Applicable globally. Enables alignment throughout supply and delivery chains.

Stakeholder Specific Controls 8. Contingencies ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action DO + and 1. Controls Assessment 2. Personnel and Controls 2. Personnel 3. Commerce 4. Data 5. Matter and 4. Dataand Energy 5. Matter and 6. Suppliers Energy 6. Suppliers 7. Service and 6. Suppliers Product Delivery 7. Service and 8. Contingencies Product Delivery 8. Contingencies 9. Change 10. Reactive Change Monitoring 10. 9. Reactive 11. Monitoring Proactive 10. Reactive Monitoring 11. Monitoring Proactive 12. Monitoring Review 11. Proactive and 12. Action Review Monitoring and 12. Action Review DO 7. Service and Product Delivery DO 6. Suppliers CHECK 5. Matter and Energy ACT DO 4. Data PLAN 3. Commerce 1. Assessment and 1. Controls Assessment ACT CHECK 2. Personnel + Stakeholder Specific Requirements PLAN PLA 1. Assessment and Controls and Action 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.

3. Commerce 5. Matter and Energy DO 7. Service and Product Delivery 8. Contingencies ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action 4. Data 5. Matter and Energy 6. Suppliers 7. Service and Product 7. Delivery Service and Product Delivery 8. Contingencies 9. Change 10. Reactive Monitoring 11. Proactive CHECK 6. Suppliers 4. Data DO DO 4. Data PLAN 3. Commerce 1. Assessment and Controls 2. Personnel Monitoring 11. Proactive Monitoring 12. Review and Action ACT 2. Personnel Overt and Covert Processes PLAN PLA 1. Assessment and Controls Overt and covert processes can use the same twelve element taxonomy

PLA 1. Assessment and Controls 2. Personnel Standards and Management Regulations Mapping 3. Commerce ? ? ? DO 4. Data 5. Matter and Energy 6. Suppliers 7. Service and Product Delivery 8. Contingencies ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action ISO 17025 OHSAS 18001 ISO 14001 ISO 9001 Construction, Design and Management Regulations Management of H&S at Work Regulations ? ? ?

PLA 1. Assessment and Controls 2. Personnel 3. Commerce DO 4. Data Application Variation Across Taxonomy Elements q 5. Matter and Energy 6. Suppliers 7. Service and Product Delivery Some applications of taxonomy elements tend to vary very little across organisations. 8. Contingencies ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action q Others tend to vary considerably across organisations.

GENERAL APPLICATION OF TAXONOMY TO MANAGEMENT INSTRUMENTS June 2011 © 2011 Unified Management Solutions

PLA 1. Assessment and Controls 2. Personnel 3. Commerce DO 4. Data 5. Matter and Energy 6. Suppliers 7. Service and Product Delivery 8. Contingencies ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action Taxonomy Universal Application 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

PLA 1. Assessment and Controls 2. Personnel 3. Commerce DO 4. Data 5. Matter and Energy 6. Suppliers 7. Service and Product Delivery 8. Contingencies ACT CHECK 9. Change 10. Reactive Monitoring 11. Proactive Monitoring 12. Review and Action Summary and Conclusion J All of an organisation’s processes can be controlled and guided via twelve management procedures J An organisation’s management system can be totally integrated with no residual fragmented parts J The taxonomy can be applied universally to a range of management instruments and processes J Potential to align and streamline management processes Ian Dalling may be contacted via iandalling@live. com

ADDITIONAL SLIDES June 2011 © 2011 Unified Management Solutions

Organisation Universal Model Stakeholders Organisation Culture Competence Base Internal Climate Processes Delivery Chain Consciousness © 2005 Unified Management Ltd Performance Management System Human Resource Data, Matter, Energy etc (Top Management) Corporate Leadership Supply Chain

Overall Process Types Management Systems and Processes Stakeholders Organisation Culture Competence Base Performance (Top Management) Corporate Leadership Management System Human Resource Data, Matter, Energy etc Supply Chain Processes Internal Climate trigger Delivery Chain Consciousness trigger Engineered Systems and Processes Natural Systems and Processes

The End Feedback is always welcome and is used to drive continual improvement for the good of everyone Ian. Dalling@live. com