Standard Process Diagrama

Outline Specification Process/Audit/Clauses 2016
Specification
For combining Processes and Clauses
To improve Efficiency for Process Auditing and Audit
Reporting, including Triennial Reviews
1 Confidential URS DGR version 2.0 May 2016

1.0 Introduction:
This specification has resulted as a result of a perceived change with AB views re clauses
and processes, whilst ensuring that URS remains ahead of the curve re such changes. At
the same time, produce a methodology that systemizes and automates the next level of
detail re reporting and analysis of audit programmes and to assist auditors be consistent in
their approach to reporting across the revised standards.
2.0 Standard Process Diagram
Cardinal
Function
Control
Functions
Activity
Input Output
Support
Functions

3.0 Process Diagram Principle Explained - General Tea Making:
Input Example
Making
Tea
Materials/Information The ingredients to make the Water
output Milk
Tea
Sugar
Specification *How the ingredients are teaspoon

combined to make the desired of sugar
output and Table
*Associated spoon of
regulation/law/code of practise milk
Tea Bag
Add X
Litres of
water
Support Functions Example

Making
Tea
Equipment What is needed to perform the Kettle
activity Cup
Saucer
Control Functions Example

Making
Tea
Inspection What are the places to inspect and what to Correct tea
inspect bag
Milk is
fresh
Water has
boiled
Cup is
clean

Output Example
Making
Tea
Completed Process to specification Nice cup of
Product/Information hot tea
Cardinal Example
Making
Tea
Risk Assessment RA Precautions such
Monitoring Control Audit system, KPI, to be safe
Corrective Actions Make each time
Resource Human, Energy, to correct taste
Environment, establish Audit of process
system, tools results
Environment Clean, well light Corrective
actions applied
Trained person
Etc.
4.0 Process Diagram Explained ISO 9001 and related schemes Example
Paint Shop:
Input Examples
Materials Material to be painted, Paint
Specification Required paint type, thickness, set-up, customer

requirement
Support Examples
Functions
Equipment Spray gun, booth, ventilation and heating
Control Examples
Functions
Inspection Inspect item to be sprayed, checked spray gun settings,

booth working, paint is correct type, inspect final spayed
item for thickness and finish etc.

Output Examples
Completed Item correct to specification and can go to next stage

Product
Cardinal Examples
RA Has the process been RAd
Monitoring Audits done, NCRs, KPIs being met
Resource Is the person trained for the process, is the

environment correct and equipment safe,
documentation approved and current, is the system
available to see Job Instructions on the network
4.0.1 Considerations and Objectives:

ER allows auditors to write, update and amend the clients processes.
ER allows the clauses set at scheme level to be updated and amended to the client record.
Currently, the system does not allow what is seen at the CMS user level to be shown to the auditor
Objective 1 The auditor to see what the CMS report reviewer sees.
Likewise, the requirement that may take place in the coming months to show clauses applicable to
processes is not covered Objective 2 to link clauses and Processes seen over the 3 year
certification cycle.
5.0 Illustration of Anticipated Requirement:
Process &/or 4.1 4.2 5.1 6.1 6.2 6.3 7 8.1 8.2 9 9.1

Department
Stores x x
Paint shop x x x x x
Cutting x x x
Welding x x x x x x
5.0.1 Illustration of Our Requirement and Programme:
Year 1 Year 2 Etc
Process 4.1 4.2 5.1 6.1 6.2 6.3

and/or
Department
P A P A P A P A P A P A
Stores x x x
Paint x x x x x x x
Shop
Cutting x x x x
Welding x x x x x
6.0 Changes from Last Change Request:

1. To bring the clauses and processes together in one table.
2. As you can see from the above example, for a reviewer to see that all relevant clauses
have been seen across a process will make for a difficult read and to determine what has

been missed over the 3 year cycle, we need to think about automating the population and
analysis of what is missed.
3. Important In addition to the above table of processes to clauses, where the quote has
marked number of shifts, then for ALL fundamental processes the left hand column shall
default into subordinate rows up to 4 in total with the heading shift 1, 2, 3 and 4 but
based on the number of shifts stated in the quote.
7.0 Illustration of the Interaction of Processes:
Process
Management
Cardinal
Cardinal
Process
Process
Cardinal
Cardinal
Process Process
Process
es s
roc
lP
nta
me
da
Fun
7.0.1 Definitions:

1. Fundamental Process - Lowest tier in the diagram above:
Any process that is required to complete the process links to produce the final product or
service, without such a process the product or service cannot be produced e.g.:
Cutting
Welding
Painting
Purchasing
Stores.
2. Cardinal Process Second tier in the diagram above:
Any process that that can be applied, or act on, one-or-more fundamental processes e.g.:
Calibration
Internal Audits
Corrective Action
Training and competence
Documentation and Data Control
Network I.T. controls
Maintenance
RA performed
Other
3. Management Processes Third tier in the diagram above:
Process activity that sets the performance and criteria of the Fundamental Processes and
Cardinal Processes e.g.:
Risk Assessments (methodology and Policy)
KPIs/Objectives
Analysis
Review

Policy
Resource/Organization/Environment
Context/Knowledge/Scope/Information.
8.0.1 ER and Process Model Labelling for Read/Write ability and System
Storage Fundamental Processes:
A B
Fundamental Variable
Process Process Name
(Painting)
State Shift if
applicable
(6-2.00)
Element Element Objective Findings Clauses*
Topic(s) Evidence
Input Materials Iron Angle mounts, Paint 5.6, 5.7
Specifications Spec. v.1 on JI dated.., shows paint

spec. and thickness together with
equipment settings to be used and
Inspection points
Support Equipment Spray gun, booth, ventilation and 4.6, 7.2,

heating 8.4
Functions
Control Inspection JI states Inspect metal for 6.3, 6.4.

cleanliness, number to batch, check 8.1
Functions
paint as per JI paint grey aaa,
applied at 0.1 mm thick

A B
(Painting)
State Shift if
applicable
(6-2.00)
Inspect first-off coverage okay, no

holes
Output Painted components
Specific
Requirement:
Storage Cardinal Processes:
C D
Cardinal Variable

Process Cardinal Process
Name
(Internal Audit)
Element Element Objective Findings Clauses*
Topic(s) Evidence
5.6, 5.7
4.6, 7.2, 8.4
6.3, 6.4. 8.1
Storage Management Processes:
C D
Management Variable
Process Cardinal Process Name
(Policy)
Element Element Objective Finding Clauses*

s

Topic(s) Evidence
5.8
9.1, 9.2
10.1, 10.2, 10.3
Notes:
i) Create Table ER If table label is Fundamental Process, then system will now know this
and does count and ties-up Process name which is already a read/write field need to
change current system?
ii) We have a configuration field at scheme level to draw-up a table where clauses are
assigned to a Fundamental Process label, with Element Labels - Input, Support Function,
Control Function, Output. Therefore, for each sub-process element e.g.: Control Functions
there would be a label and that label would have a group of defined clauses attached. See
section Process Diagram and Model for other Standards.

iii) Likewise we have a configuration field at scheme level to draw-up a table where clauses
are assigned to Cardinal Process label with their associated the sub-labels (elements)
defined.
iv) As (ii) and (iii) above for Management Process.
V) The sub-process label/elements need to be determined at scheme set-up and are

themselves free text fields created by the database administrator.
vi) Summary Element (possibly Element Topics) and Clauses are Variable and determined
by the database administrator on scheme set-up.
8.0.4 Process Diagram and Model for other Standards:

So far the process model and explanation is defined for ISO 9001 and related standards.
Does the model hold-true for other standards such as 18001 H&S?
If we test the model say for the example used above, such as a paint-shop, whilst we know
the model works for 9001 and related matters, the approach for H&S is different, i.e.: we
need to be assured that the process is safe for those working or come in to contact with it
i.e. hazards within the process to persons see Process Diagram Representation 18001
below.

A B
(Paint Shop)
Element Element Objective Finding Clauses

s
Topic(s) Evidence
Installed & Portable Installed booth with ducting 5.6, 5.7

Machinery (INC. Lifting) and fan
No lifting equipment
Transit and Transportation 4.6, 7.2,

8.4
Hazardous, Toxic or Some cellulose paint most 6.3, 6.4.

Explosive Material water soluble 8.1
Signage Only authorised persons can

enter, must use PPE
Manual Handling N/A
PPE Full gown and breathing unit,

plus goggles
Fire Fe present for water and

electrical
9.0 Ensuring the Auditor Maps Processes to the Correct Process Level:
Currently the system allows auditors to add, amend and remove processes via ER and
update CMS and vice versa.
However, the format will not allow the above structured methodology to work if we place
a new table which is broken down in to the three tier system (Fundamental, Cardinal and
Management), we could, I hope, enable the system to recognise the data and have some
form of data structure.
In other words, have a Table for the processes that has a heading Fundamental Processes,
Cardinal Processes and Management Processes this table would then be written back to
CMS and ER, but allow the pre-listed clauses and table labels to work.

10.0 Summary of the Data Structure Tables for READ/WRITE ER/CMS:

10.1 At Scheme Level the clause section will require to be modified. The existing
functionality of adding a clause, making a clause in-active and selecting whether a clause is
mandatory to allow the Audit Programme to be created by the system automatically will
remain.
However, at the scheme set-up level when clauses are created, we shall need to have an
additional option to create a clause and determine whether it falls within the Category of
Fundamental, Cardinal or Management.
Like now, the number of clauses for each standard against Category will not have a limit.
10.2 Further, when the administrator is within the above section, a drop-down, or similar
field should be presented to allow the clause to be placed within an Element (and element
topic if the Element allows the administrator to Bold Element and have sub-titles then
happy to remove the element topic to reduce complexity and table complexity it would
also allow greater space for the auditor to add his/her findings in the eventual ER template).
10.3 The above point 10.2 above, makes the assumption that when setting up the standard
on CMS, the administrator of CMS will need to be mindful to create, in effect, the
standard/scheme tables for each Process Type i.e.: Fundamental, Cardinal and
Management, as well as the Element Headings before the clauses are assigned in order to
then complete 10.2 above.
Please note that there must be the ability to amend the above table for whatever reason.
10.4 Once the process tables and clauses have been determined at scheme level, then on
the creation of the relevant ER template, such tables as R/W can then be selected in a
similar manner to existing ER table templates, providing their label is clear for the ER
creator.
10.5 Note also, the existing facility of adding and amending Processes during the completion
of an Audit Report will still exist; however, the existing system will need to allow the
identification of the Process name (Process Variable) to be linked to the Process Type i.e.:
Fundamental, Cardinal, Management to allow the write back to CMS and write to ER with
the correct data.
OR
We do away with the existing process R/W functionality and change to reflect the Process
Variable table entries.

10.6 Once the system is built around the requirements in 10.1 10.5 above, then the
illustration in 5.0.2 above, can be produced and shown on CMS and the ER for the auditor
objective 1.
The illustration must show the processes as described, or within the headings Fundamental,
Cardinal or Management but this labelling is not essential.
10.7 Summary Element (possibly Element Topics) and Clauses are Variable and determined
by the database administrator on scheme set-up.
Process Diagram Representation ISO 14001:

Process to control Aspects
From Escaping the process
Process Diagram Representation 18001:
Process to control Hazards
From within the process
10.0 Carried Forward Requirements:

Still ensure bringing all from and to ER and CMS and PRMS etc., to allow auditors to see
what the LO and HO users see.

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Outline Specification Process/Audit/Clauses 2016

1 Confidential URS DGR version 2.0 May 2016

2.0 Standard Process Diagram

2 Confidential URS DGR version 2.0 May 2016

3.0 Process Diagram Principle Explained - General Tea Making:

Specification *How the ingredients are teaspoon

Support Functions Example

Control Functions Example

3 Confidential URS DGR version 2.0 May 2016

Materials Material to be painted, Paint

Specification Required paint type, thickness, set-up, customer

Equipment Spray gun, booth, ventilation and heating

Inspection Inspect item to be sprayed, checked spray gun settings,

4 Confidential URS DGR version 2.0 May 2016

Completed Item correct to specification and can go to next stage

RA Has the process been RAd

Monitoring Audits done, NCRs, KPIs being met

Resource Is the person trained for the process, is the

4.0.1 Considerations and Objectives:

5.0 Illustration of Anticipated Requirement:

5 Confidential URS DGR version 2.0 May 2016

5.0.1 Illustration of Our Requirement and Programme:

Year 1 Year 2 Etc

Process 4.1 4.2 5.1 6.1 6.2 6.3

6.0 Changes from Last Change Request:

6 Confidential URS DGR version 2.0 May 2016

7.0 Illustration of the Interaction of Processes:

7 Confidential URS DGR version 2.0 May 2016

2. Cardinal Process Second tier in the diagram above:

Training and competence

Documentation and Data Control

Network I.T. controls

3. Management Processes Third tier in the diagram above:

Risk Assessments (methodology and Policy)

8 Confidential URS DGR version 2.0 May 2016

Process Process Name

Element Element Objective Findings Clauses*

Input Materials Iron Angle mounts, Paint 5.6, 5.7

Specifications Spec. v.1 on JI dated.., shows paint

Support Equipment Spray gun, booth, ventilation and 4.6, 7.2,

Control Inspection JI states Inspect metal for 6.3, 6.4.

9 Confidential URS DGR version 2.0 May 2016

Process Process Name

Inspect first-off coverage okay, no

Output Painted components

10 Confidential URS DGR version 2.0 May 2016

Element Element Objective Findings Clauses*

4.6, 7.2, 8.4

6.3, 6.4. 8.1

Process Cardinal Process Name

Element Element Objective Finding Clauses*

11 Confidential URS DGR version 2.0 May 2016

10.1, 10.2, 10.3

12 Confidential URS DGR version 2.0 May 2016

iv) As (ii) and (iii) above for Management Process.

V) The sub-process label/elements need to be determined at scheme set-up and are

8.0.4 Process Diagram and Model for other Standards:

13 Confidential URS DGR version 2.0 May 2016

Process Process Name

Element Element Objective Finding Clauses

Installed & Portable Installed booth with ducting 5.6, 5.7

14 Confidential URS DGR version 2.0 May 2016

Transit and Transportation 4.6, 7.2,

Hazardous, Toxic or Some cellulose paint most 6.3, 6.4.