Pulpo Procesos

TERRAPENE PROCESS MANAGEMENT SUITE ----- USER GUIDE AND HANDBOOK
ERRAPENE PROCESS MANAGEMENT SUITE Plexus Training Systems™
TERRAPENE
Process Management Suite
User Guide and Handbook
Plexus Corporation
1408 Northland Drive
St. Paul, MN, USA 55120-1013
Phone: 651-644-4900
Fax: 651-644-4949
Plexus Training Systems™ i

© 2006 Plexus Corporation 31 October 06
COPYRIGHT
ERRAPENE PROCESS MANAGEMENT SUITE All rights reserved. No part of this work covered by the copyright hereon may be
reproduced or used in any form or by any means — graphic, electronic, or
mechanical, including photocopying, recording, taping, or information storage and
retrieval systems — without the express written permission of the publisher.
Plexus Training Systems™ ii

ERRAPENE PROCESS MANAGEMENT SUITE Table of Contents

User Guide and Handbook
Reading Sections
Introduction Page 3
Introduction to the Process Approach Page 7
Develop Your Model Page 20
Turtles Page 26
Management Buy-In and Involvement Page 45
Process Owners Page 48
Assessment Page 50
Requirements Check Page 52
Key Measures Page 56
Review and Prepare for the Audit Page 59
Application and Learning/Training Sections

Complete Pre-Assessment Page 4
Complete Steps for Application of the Process Approach and the Use of the
Terrapene Process Management Suite
Step 1 – Understand the Problem Exercise Page 18

Discussion Topic – Little things make big things!
Exercise – Cake and bakery
Step 2 – Develop Your System Model Exercise Page 24

Task 1 – Identify the processes you support in your
organization
Task 2 – Affinitize the processes
Task 3 – Determine how the model relates in terms of
hierarchy or levels
Task 4 – Assess the adequacy of the model
Task 5 – Identify management processes
Step 3 – Using Terrapene to Visualize and Record

Processes Page 40
Task 1 – How to log in
Task 2 – An overview of Terrapene features and functions
Task 3 – How to record a process
Plexus Training Systems™ 1

ERRAPENE PROCESS MANAGEMENT SUITE Table of Contents (continued)
Step 4 – Exercise for Management Buy-In Page 46

Discussion Topic/Exercise – Management Buy-In and
Involvement
Step 5 – Exercise for Assigning Process Owners Page 49

Task 1 – Assign Process Owners
Step 6 – Exercise to Assess Progress thus far Page 51

Task 1 – Assess the composite of the work done thus far
to check for accuracy
Step 7 – Exercise to Check for Requirements

Application and Compliance Page 53
Task 1 – Use Question 2 found in each Turtle box to
assist you in thinking about the application of
requirements.
Task 2 – At some point, as time allows, exchange or view
each others’ completed Terrapene Turtles.
Step 8 – Exercise to Establish Key Process

Measures Page 58
Task 1 – During the course of completing the Terrapene
Turtles for each upper level process (and sub-
processes as time permits), measurements
were considered and documented. Now you
need to decide upon the key measures for the
upper level processes
Step 9 – Exercise to Prepare Management System

for Audits Page 60
Task 1 – Imagine you are preparing for a third party audit.
Task 2 – Assess work accomplished and create an action
plan to move forward.
Recipe and Turtle Worksheets

Mississippi Mud Pie Recipe (Step 1 Exercise) Page 61
Blank Turtle Worksheets (Step 2 Exercise) Page 62

ERRAPENE PROCESS MANAGEMENT SUITE Introduction

This handbook provides you with a multi-faceted resource. It –
• Explains to you the steps of a practical and tested process approach to
management implementation.
• Integrates the use of Terrapene Process Management Suite into the steps
of implementation.
• Provides background reading for both process approach management
and its implementation.
• Can be used by individuals and groups, as well as a resource guide for a
facilitated workshop on process management implementation, process
mapping and the use of Terrapene Process Management Suite.
• Provides a quick and easy-to-use assessment to help you determine your
and your colleagues’ level of knowledge and experience, regarding
process approach management and new standards/requirements that
incorporate process approach management.
For your convenience, this handbook is designed to be used in several ways.

Most important to you is that it does not need to be used in its entirety. You
(and/or your instructor or group leader) need to skim and scan the handbook
prior to using it to determine what is most applicable and most useful to you.
If you need further advice about the use of this handbook or anything else
related to the use of Terrapene Process Management Suite, feel free to call the
Plexus Corporation at 1-877-TURTLE4.

ERRAPENE PROCESS MANAGEMENT SUITE Pre-Assessment

The following three questions are designed to help you determine –
• Your current level of knowledge about and/or experience with the process
approach to management
• Your current level of knowledge about and/or experience with quality
management systems standards/requirements (ISO 9001:2000, ISO/TS
16949:2002, AS9100, etc.)
This Pre-Assessment is for you to use (along with your instructor if this pre-
assessment is used as part of a classroom training course) to help you determine
which readings, exercises, problems, etc., from this manual may be of most value
to you.
Additionally, the Pre-Assessment can help you determine if you need additional
instruction and/or reading in order to fully understand the underlying concepts
and principles essential to fully utilize this handbook and the Terrapene Process
Management Suite.
Following each question select the response that best indicates your most
appropriate answer/reaction.
Understand that the Pre-Assessment is a tool for you to use to better understand
your current level of understanding; consequently, it is in your best interest to
answer the questions in a manner that most accurately reflects your current
understanding and/or experience.
Following the Pre-Assessment is a detailed explanation of how you should

interpret your individual and cumulative answers and what actions you may want
to take as a result.

ERRAPENE PROCESS MANAGEMENT SUITE Pre-Assessment

1. My experience with the new, process approach-based quality management
standards/requirements is best described by which of the following statements?
(Select only one response.)
a. None
b. I am aware that the new quality management standards are process-based,
but I have not read any of them.
c. I have read ISO 9001:2000 in its entirety either by itself or as part of the
standard applicable to my industry (ISO, TS, AS, etc.).
d. I have read and have practical experience with ISO 9001:2000 and/or one of
the sector-specific standards.
e. I hold a certificate that indicates I have achieved a certain level of knowledge
and skill in the use/application of ISO 9001:2000 and/or one of the sector-
specific standards.
2. My understanding of the process approach to management systems is best

described by which of the following statements? (Select only one response.)
a. None
b. I am aware that something called a process approach is being used as part of
quality management systems.
c. I have read about the process approach to quality management systems and
am familiar with at least one example (read about, observed, or experienced).
d. I have read about and have practical experience working in a system that
applies the process approach to quality management.
and skill in the use/application of the process approach to quality
management systems.
3. My understanding and practice of using measures of a process’ performance as the

basis for my decisions about a process are best described by which of the following
statements? (Select only one response.)
a. None
b. I am aware that something called the voice of the process and that
measurement of performance can be used for decision-making with regard to
that process.
c. I have read about the use of performance measures in quality management
systems and am familiar with at least one example (read about, observed, or
experienced).
d. I have read about and have practical experience working with performance
measures in a management system.
and skill in the use/application of performance measures within a quality
management system.

ERRAPENE PROCESS MANAGEMENT SUITE Results of Your Pre-Assessment

Answering a, b or c for Questions 1, 2 and 3 of the Pre-Assessment
indicates that you are probably lacking the basic background for understanding
the new, process-based approach to quality systems management, as mandated
in each of the current quality management standards/requirements – ISO
9001:2000, ISO/TS 16949:2002, AS9100, etc. To remedy the situation, you
would need to enroll in a course that teaches this basic understanding, or
undertake some intense individual study. An advanced process mapping and
implementation course is not recommended. For those answering c to both
questions, the next 10 pages of this handbook should be read at a minimum.
Answering d to one or both Questions 1 and 2 of the Pre-Assessment

means you have either completed a course recommended in the first response to
results, or you have gained your experience in the field, or both. Either way, you
are well suited to using this handbook about advanced process mapping and
using Terrapene Process Management Suite to implement a process-based
management system. The first 10 pages would be a good review for you and
may help you pull together some of the concepts that are the basis for it. Each
step and exercise in this handbook would be helpful to you.
Answering e to one or both Questions 1 and 2 of the Pre-Assessment

might mean that you could skip all the reading areas provided for individuals
using this handbook. In addition, you may be familiar with the concepts covered
in Steps 1-4 (you should briefly review them to see if that is the case). You may
wish to begin with Step 5, which will indicate to you how well you measure up to
the benchmarking upon which this handbook is based. Depending on how well
you come out with your self-assessment in Step 5, you can determine if you
should advance to Step 6 or back up to review any of the other earlier steps.
Answering d or e to Question 3 of the Pre-Assessment along with at least a

d to Questions 1 and 2 probably means that you should begin working in
Terrapene Process Management Suite. You will want to understand the
applications that Terrapene will make available to you, but you should have no
problem with the basic concepts that form the foundation of Terrapene.

Introduction to the Process

Approach
ERRAPENE PROCESS MANAGEMENT SUITE
Note: Many people feel more comfortable reading about something (especially
software and the work it is supposed to support) before diving into it. If you are
one of those people, then you will want to read the next few pages. If you are not
one of those people, and you would rather jump right in, you will want to go
directly to Page 18 of this handbook.
Introduction to the Process Approach

Many of today’s most important management system standards — ISO
9001:2000, ISO/TS 16949, AS9100, TL 9000 and others — are based on a
process approach. This is nothing less (and nothing more) than a system for
managing your business based around a recognition that every manufactured
part, component, service or software program is designed, produced, delivered
and serviced through a series of interlinked processes. These processes flow
from one to another in a giant loop that includes customer requirements and
feedback, not unlike the network of pipes that carries fresh water to our homes
each day and then on to a treatment facility. Without a proper understanding of
the process approach, organizations implementing these standards will be
doomed to a poor return on investment and system-wide inefficiencies. These
companies may get a certificate to hang on the wall, but they will not add value to
their organizations. For little more than a few hours of your time, you can learn
how to implement the process approach in a manner that will add value by
eliminating waste and ultimately improving your products and services.
This handbook and guide to process implementation using Terrapene Process

Management Suite is written for the legions of auditors, line operators, managers
and CEOs who are somehow involved in the use of the process approach to
quality systems management, but whose participation in it or with it is seen as not
the pathway to put their children through college, buy houses for their families
and will not satisfy their need to do things better — in other words, people and
organizations that want to improve.
While parts of the information conveyed by this handbook, its accompanying

implementation exercises and the software it supports may be too technical for
some, others may find them elementary. Each piece carries with it a necessary
message and essential information. The message and information allows you to
positively react to the realization that it is imperative that everyone touched by

your organization’s network of processes be grounded with a common

understanding of the process approach. And obviously, we would very much like
to see you and your organization use Terrapene Process Management Suite.
ERRAPENE PROCESS MANAGEMENT SUITE But whether or not you do, your organization still gains value from the
implementation of the process approach because your organization gains a
common understanding of its processes, their measures and their interactions.
We have tried to incorporate as much implementation guidance as possible in

this handbook (and to the extent possible in the Terrapene Process Management
Suite) without being overly prescriptive. We know that no training, consultation or
software, which claims to support quality management systems should be
prescriptive. After all, the heart of a quality management system is self-
ownership. It is up to you to determine what works best for your organization,
group, process, etc.
While it may be tempting to take a cookie-cutter approach to quality

management, be forewarned that such approaches simply don’t work and are a
waste of resources. Quality management systems that work and provide the
expected benefits germinate from an organization of people who engage one
another in planned and consistent ways and who constantly reflect on the quality
of that engagement and the quality of the byproduct(s) of that engagement. This
handbook and your interaction with Terrapene Process Management Suite
attempt to provide you with the right tools, ideas, sequences, processes,
examples, terminology and applications to get the job done.
The Process Approach

Processes have long been recognized as the lifeblood of the manufacturing
system, but an understanding of all the workings of an organization as a group of
interrelated and interactive processes is relatively new. This new recognition is
called the process approach. ISO 9001:2000 defines the process approach in
the following manner.
For an organization to function effectively, it must identify and manage numerous

linked activities. A process is an activity using resources and managed in order
to enable the transformation of inputs into outputs. Often the output from one
process directly forms the input to the next.
The application of a system of processes within an organization, together with the

identification and interactions of the processes and their management, is referred
to as the process approach. The process model employed in the International
Standard ISO 9001:2000 is depicted graphically in the publications, which bear
its name. See top of next page.

The Way a Business Operates

There was an early recognition by the leaders of industry, when they first saw the
new Standard(s) and its emphasis on the process approach -- that the process
approach, if properly understood, implemented and audited, could provide
substantial value to implementing organizations. Their expectations were realized
from an attitudinal perspective, once early implementers of the Standard become
familiar with the process model, to which most users observed: “It’s the way a
business operates.”
However, there is one caveat. Though the process approach is considered the
lynchpin to improved quality system performance, the process approach is not
well defined, at least as indicated by the reaction of many of the organizations
trying to implement it. It looks easy, but perhaps it has not been defined in ways
that are practical and applicable.
Some confusion was anticipated by the leaders of quality systems management

(ISO, TS, AS, etc.), though certainly not fully understood, on how the process
approach might be received and implemented by the many diverse cultures it
would encounter. How would the practices, language and beliefs of a particular
country or company be preserved within the process approach? For example, it
is almost second nature for some cultures to self-audit, making the provision for
internal audit superfluous and odd. As stated, those issues were not totally
missed by the Technical Committee that drafted ISO 9001:2000. They clearly
understood that the process approach could not be “legislated.” Measuring,
monitoring, providing certain system elements, submitting pieces of evidence,
etc., were parts of a quality system that could benefit from common rules. But

processes were an entirely different matter. It was understood that individually,

processes may have some common characteristics and common elements; but
when they are interlinked and networked to create a complete system, their
ERRAPENE PROCESS MANAGEMENT SUITE complexity, variability and uniqueness ruled out prescriptive rules. The writers of
ISO 9001:2000 understood that too much regulation in this area would prove to
be counterproductive. It was understood further that the differences are
increased by the influences of culture. In some national cultures it is second
nature to check, verify and carefully attend to details, while in others it is intuitive
to innovate, invent and create. To a lesser degree, the same can be said of
organizational cultures. Though it seems logical and compelling on the surface
that rules provide consistency, when taken too far, rules create inconsistency, not
consistency.
Understanding the Concepts that make up the Process Approach

The first stumbling block in attempting to conceptualize a process approach that
would meet the definition (and expectation) stated in ISO 9001:2000 -- “…a
system of processes within an organization, together with the identification and
interactions of these processes, and their management …” -- is to make sense of
the process approach definition. It seems plain enough, but sometimes initial
perceptions can be misleading. So, let’s start by looking at processes and how
they might be applied.
It is relatively simple to identify a process. It has an input, a transformation and an

output. This can be illustrated with a simple diagram.
Input Materials (Product) or Actions (Service)

Process Output
Specifications
Included in the definition is a need to understand that the process must be

managed. It doesn’t say how to manage; it simply says it will be managed. What
gets tricky then is to understand that the process approach as detailed in a
standard can never be prescriptive to an organization. The process approach
spoken of in the standard, any standard, is fundamental in method and generic in
application. You are expected to define how it is applied to/within your system.
You can certainly look to the generic definitions as a benchmark that can be

applied directly and/or used for comparisons; but ultimately the system of
processes will need to reflect your organization.
ERRAPENE PROCESS MANAGEMENT SUITE To get started, the successful implementers of the process approach have
discovered that they need to have a single, or unified, approach to processes.
They have discovered it is very important to have a singular model to achieve the
expected benefits of a process approach, and to make it possible for an
organization and its stakeholders to better understand how it accomplishes what
it does. To complement that conclusion, early implementers (based on lessons
from early practitioners of the process approach — military planners, for
example) are finding that a simple, fundamental question can be the start of
implementation. That question is How does an organization account for all its
processes in a single, unified, understandable process approach model? Other
questions that could come into play as the answer to this question is pondered
could include: Does the organization think of itself as serving customers? Does
the organization think of itself as serving customers but doing so via a specific
arrangement of processes? Does the organization think of itself as a series of
steps that result in one product or line of products?
Whatever the answer, most organizations have the answers to the questions.
They may not have thought about them consciously, but often the model comes
out in the open without a lot of coaxing. If a model does not come to mind, don’t
worry, we will talk more about the concept and do some practical exercises that
will help you find your organization’s model.
Customer-Oriented/Core/Key Processes
As depicted by the writers of ISO 9001:2000 — International Organization for
Standardization (ISO) Technical Committee (TC) 176 — the process model
provides the first part of the answer. On the input side are customer requirements
(specifications, expectations, etc.). On the output side are customer satisfaction
indicators (needs met, expectations fulfilled, etc.). In the center are the
organization’s processes. This is a solid model as far as it goes. But it’s probably
not a good selection for your organization’s process model.
The shortcoming of the ISO 9001:2000 graphic is that it depicts the interaction
between the customer and the organization as having a single occurrence. For
most organizations, that simply is not a realistic portrayal of the number of
customer interactions with the organization over the span of a typical project from
concept to delivery (product realization). There are several sets of requirements
and several times when the level of customer satisfaction could be affected
through customer interfaces. These interfaces are referred to as customer-
oriented processes, core processes or key processes (you may call them “Dan”
or some other name of your choosing, if you prefer – what you call them is not
important). But because the Standard places such a high premium on customer
orientation by including in its process model and repeatedly mentioning in the text

of the Standard, we have settled on customer-oriented process or COP as a

primary example of process approach application for this handbook. It makes
sense especially when you consider that several large customers such as the
ERRAPENE PROCESS MANAGEMENT SUITE automotive industry also appear to be moving in this direction.
A simple definition of COPs may be those processes that begin with a customer
requirement, specification, expectation or implied contract (input) and end with a
fulfillment of the requirement and/or expectation being met (output). Notice, there
is no specific mention about the importance of a particular process, criticality to
the organization or role in all that happens within the organization. The labeling of
processes as customer-oriented is simply a matter of identification. They are
what they are. COPs are a straightforward and simple means with which to
identify the processes that exist due to specific interfaces with the customer.
They are simply a direct application of the process model with one exception: The
recognition of COPs adds a critical dimension — number of interfaces.
There are several interfaces between customer and organization, no longer just
one. The illustration below, nicknamed the “Octopus” model, attempts to visualize
the adaptation of the process model to the application of COPs.
This illustration seeks to illustrate only the external input and output interfaces
between a customer and an organization as part of a COP.)
Applying the COP concept to something generic like a supermarket might be

represented like the below graphic.
Customer who has

found products (O) Customer who
Customer who wants to pay (I)
wants to find
products (I)
Customer who
has paid (O)
Customer who 4 5
has a
shopping cart
(O)
3 Customer
6 who wants
Customer who to find his
wants to be able car (I)
to transport his
purchases (I) Customer
2
1 who has
found his
car (O)
Customer who
has parked his
car (O ) The customer does
not know of the
Customer who existence of a
ha s a vehicle Customer knows the nearby
to park (I) supermarket supermarket (I)
“Incredible Edibles”
(O)

This graphic illustrates the central tenets behind the need to recognize multiple
interactions between customer and organization. The tenets may be summarized
as follows:
ERRAPENE PROCESS MANAGEMENT SUITE • Each interaction has the potential to be successful or not.
• Each interaction has the potential to lead to customer satisfaction or
not.
• Each interaction has the need for a network of processes to support it.
• Each interaction must be supported by the organization, but the
customer may enter into any one interaction as their first.
The plain and simple conclusion, which is central to the discussion of COPs, is
this: COPs exist in every organization whether or not the organization chooses to
formally recognize them in their quality or business management systems. But
are the same COPs required of all organizations? No. Of course not. One of the
first tasks in implementing a process-based quality management system is to
establish a process approach that is capable of bringing about the “identification
and interactions of [the] processes and their management.” The underlying hope,
of course, is that this will lead to an improved quality management system and
improved performance by the organization.
Sub-Processes
COPs provide a direct link to customers. In other words, they are “macro”
processes. But as discussed earlier, they do not represent the complete picture
of what transpires within an organization. In reality, most of the activities that take
place are performed by sub-processes.
A sub-process is any planned process whose input, output and transformational

activities are established and maintained by an organization in order to comply
with requirements or specifications and/or to meet organizational needs in
supporting COPs. As we consider COPs to be macro processes, sub-processes
are “sub-macro” processes. The relationship between COPs and sub-processes
is not unlike the relationship of a genus and specie in science. A genus is more
general, while specie is more specific. Multiple species may be part of a single
genus.
As stated earlier, COPs are more for identification rather than invention or
development. The same, however, is not true of sub-processes. Sub-processes
are created, organized and maintained by the organization in a manner it
determines appropriate. They may be mandated by requirements, regulations,
standards and the like, and some are undeniably repeated. But, by and large, the
organization has significant discretion in establishing its sub-processes.
As a general rule, organizations need to recognize and apply two truths about
sub-processes:

1. They are in place to support COPs or other sub-processes.

2. They are in place to mitigate risk.
ERRAPENE PROCESS MANAGEMENT SUITE With respect to the automotive industry, most suppliers implementing ISO/TS
16949:2002 will not be starting from scratch in terms of a quality management
system, so these truths have direct application in the analysis of the processes
already in existence.
Although no one set of questions concerning the processes in an organization fits

every situation, the following sets of questions provide a helpful foundation for
establishing the need for, and adequacy of, processes.
Need
• Does the process support a COP and/or another sub-process?
• Does the process mitigate any current or potential risk?
Adequacy
• What is the customer requirement (input) to include both internal and external
customers?
• What must be delivered to the customer (output) with respect to both internal
and external customers?
• Who will be involved in the process? What are their needs with respect to
training, knowledge and skills?
• What technology is needed to support the process? What equipment,
infrastructure, etc., is needed?
• How will the details of activities be communicated? What instructions,
procedures and methods/tools are needed?
• What will be measured and how will it be measured? What are the
performance indicators?
A tool was invented several years ago that graphically depicts the interactions of
processes. The tool is called the “Turtle.” It was given that name due to its shape
with a head (input), body (process definition), tail (output) and four legs -- who,
what, how and measure.
What Who
Input Organization’s
Process
Output
Name /
Description:
How Measure

The questions with respect to need can be asked at any level of process,
including the COP level. For COPs, we simply substitute the first question on our
list with, Does it support a customer interface (input and output)?
At the sub-sub level (the sub-processes of sub-processes), the first and second
questions regarding adequacy often refer to an internal customer. In such cases
the final, external customer is kept in mind at all times, but the immediate need is
to fulfill the need/requirement of the intended recipient of the process output. The
nearer to the COP and, of course, the COP itself, the greater the chance that a
sub-process must be established to mitigate risk. Each process to be established
or that already is in place may require other processes for support to mitigate
potential risks. Each process must always competently address the questions
listed earlier with respect to need and adequacy.
Points To Remember
In summary, risk is handled two ways by a quality management system based on
the process approach structure:
1. Establishing processes to support other processes
2. Establishing processes competently in order to thoroughly answer
questions regarding need and adequacy
The bottom-line goals for a process-based system should be that:

• All risks are mitigated in a way that the organization and customer find
acceptable.
• All processes are in place to mitigate risk.
Both goals cannot help but lead the organization toward effectiveness and
efficiency, both of which are requirements of ISO 9001:2000. Stated simply, the
ultimate product or service should work, and time, money and effort should not
have been wasted in getting it to do so.
A simple, conceptual picture of a sub-process along with its relationship to the

COP is shown in the graphic below.
O
4
C u s to m e r
O r ie n te d 3
P ro c e s s
O r g a n i zS ua pt pi oo rnt
2 P ro c e s s e s
O r g a n iz a tio n
O
C
S u p p o rt S u p pSP uroob rc- eSt sus1pepso r t
P ro c e s s B

Perhaps the most important element to consider when attempting to understand

the process approach is what is being sought and what is being found,
particularly at the conceptual level as depicted by abstract models of COPs, sub-
ERRAPENE PROCESS MANAGEMENT SUITE processes and sub-sub-processes. If control is being sought, it will not be found.
However, it is safe to say that control will increase to the extent that increased
predictability is inherent.
What should be sought is order and visibility. Once the order, pattern, outline,
model, blueprint, mold, prototype and the accompanying visibility are understood,
then individuals, groups and organizations (as well as the technologies that serve
them) can engage each other more effectively and efficiently.
The pattern of a process repeats itself again and again in organizations and
systems. The input, transformation, output and the linkages and interconnections
interface with the external environment to support the myriad of high- and low-
level supporting processes.
The following six general questions need to be asked about the processes of an
organization, regardless of industry or size of business:
• What is the pattern of processes that make up my business and/or my
work?
• What processes are connected?
• Why are they connected?
• Why aren’t they connected?
• How are the processes connected?
• What is predictable and unpredictable about these connections?
Notice that little has been stated or asked about performance. That is intentional.
The pattern and order must be understood before performance can be
anticipated, measured, monitored, altered, improved and/or changed.
Performance brings us to the next type of process. This process is instrumental
in assuring that improvement and change are able to take place. It is the
management process.
Management Processes
Management processes are defined as those processes necessary to comply
with the requirements of the standard and/or determined by the needs of an
organization with respect to the role of top management. These processes focus
upon the determination of the quality policy, objectives, related responsibilities
and the means by which they are implemented. These are the processes that are
made based on the data generated by all other COPs and sub-processes in the
overall network of processes to direct and lead the organization.
The next graphic illustrates how management processes determine standards of

quality as required by the customer and/or needed by the organization. Some of
these processes are planned and repeated, like management review and internal

auditing. Others are unplanned but anticipated, like problem solving, mentoring,
critical thinking, learning, etc.
ERRAPENE PROCESS MANAGEMENT SUITE The three categories of processes — COP, sub and management — form a
single/unified process approach. They are all focused on the customer.
Conversely, if the processes in an organization, each in its own fashion, do not
contribute in some manner to understanding what the customer requires — how
that requirement can be met and making sure the requirement is met — then
perhaps the process or processes are not needed.
M anagem ent
Processes
I
COP
O
Support
Process
Support
O Process
Support
Process
Support Support Support
Process I Process Process
COP Support O
Process
I
O
I Support Support
Process Process
Organization

Application of the Process

Approach and use of
Terrapene Process Management
Suite
The theory behind the process approach (the first section of this handbook) is
helpful to a point, but to really understand it, one has to practice it. That is
exactly what the next section of this handbook is all about.
If you haven’t read the first section yet, that’s OK; you certainly don’t have to at
this point. But you may want to go back and read the first section after you have
done some of the following application work and exercises.
Step 1 – Understand the Problem

Topic: Little things make big things
When you think about a process, you may wonder what is the most important
aspect of it. Is it the input, the output, the transformation, etc., that is most
important and holds the key to understanding a process, which ultimately leads to
understand the process approach (to management)?
Everything is important, of course, but you may find that remembering one thing
holds the key to understanding a process, and especially holds the key to
understanding the process approach. Remember this little phrase: Little things
make big things.
To illustrate the point let’s do the following exercise.
Exercise for Little Things Make Big Things
Task 1 – Examine the Mississippi Mud Cake Recipe located at the back of this
handbook (Page 61, Tab 19). On a separate sheet of paper, or on a flip chart,
draw a picture of the recipe. Your object is to make the recipe as understandable

as possible to a person other than yourself, in order that they could make the
ERRAPENE PROCESS MANAGEMENT SUITE cake described in the recipe.
Task 2 – Present your cake-making graphic to another person or group in order

to get their reaction.
Task 3 – Present your cake-making graphic to another person or group in order

to get their reaction.
Task 4 – Now review your cake-making graphic to see if it could be “chopped up”
into smaller processes – sub-processes. Number them and present your findings
to another person or group in order to get their reaction.
Task 5 – Now imagine that the cake making represents just one process in an
organization called a Bakery. What would some of the other processes be?
Could they be diagrammed in the same way that the making of the cake was
diagrammed? Share your conclusions with another person or group.
Reflection and Connection

The main point of the exercise is to illustrate that a process, any process, can be
graphically shown, and that by doing so, it generally makes the process more
visible, and therefore, more understandable to others. In addition, it is apparent
that a process, if it is large enough, is probably made up of smaller processes.
Each of these smaller processes adds up to make up the bigger process;
hence – little things make big things. Also, it becomes very apparent that the
measurement of each small process making up the bigger process must literally
add up to make up the bigger process. Thus the measurement for the big
process must, out of necessity, be the result / composite of all the smaller
processes that play a part in making the bigger process. Again – little things
make big things. If these lessons are applied to real processes in real systems
the conclusions begin to become clear. Big processes are made up of smaller
processes. Whether we call them sub-processes, support processes or
whatever, they exist. Each of them has inputs and outputs and their inputs and
outputs must eventually add up to equal the input and output of the larger
process (that is, the intended, expected or required input and output of the larger
process). These lessons are repeated throughout any set of processes making
up any system. If one learns that, then what is needed next is to simply
understand where you as a participant in a system reside in that system. In other
words, what are the processes “above” you and what are the processes “below”
you.

Step 2 – Develop Your Model

Topic: Model Development
You may be one person in a small organization, or you could be a group in a
large organization. In any case, you now need to develop a model to represent
your system. Why? The most obvious reason is that you are doomed to fail
without one, but that is more warning than explanation.
The real answer is related to the complexity of any organization. It would be

impractical to discuss an entire organization and all its interconnections without
some way of pulling it all together. You would quickly be inundated by the amount
and depth of information. Consequently, in such situations a model becomes a
useful tool. The model can be defined as a generalized, hypothetical description,
often based on an analogy, used in analyzing or explaining something,
particularly how the “something” works.
A model lends itself to simplifying the “thing” it is used to represent, but at the
same time maintains those characteristics considered most critical. A model
brings about at least two results.
The first result is visibility. A model allows people to see the action, process or
whatever. In the absence of a model, this particular action, process or whatever
may not be readily apparent (like the analogy of not being able to see the forest
for the trees).
The second result is the focus on “flow.” If the model is truly going to represent
the organization, then what flows through it will need to be determined. That
realization, and the actions that follow, offer very real and important help to the
organization. What is flowing through the system? How efficiently is it flowing?
Besides visibility and flow, the model enables organizations to understand the
“sequence and interaction” (required by all ISO 9001:2000-based documents) of
its management system. This understanding can lead to improvement and the
support of improvement. One of the first supports is measurement. Since models
support measurement, they in turn are also able to support correction, as well as
improvement in effectiveness and efficiency (requirements of an ISO 9001:2000-
based system).
How an organization “discovers” or develops its model depends upon several

considerations. Probably the two most important are:
1. The ability of the selected model to communicate the organization’s
intentions.

2. The ability of the selected model to completely capture the

ERRAPENE PROCESS MANAGEMENT SUITE organization’s system.
Some organizations have found it effective as a first step to hold a brainstorming

session of all processes supported by the organization. These processes can
then be “affinitized” into groupings. Generally, “affinitized” groupings center
around what may be considered to be a “core process.” In other words, all
processes that are somehow directly related to one another form the basis of a
larger process.
The automotive industry, for example, has asked organizations that implement
ISO/TS 16949:2002, the automotive industry specification based on ISO
9001:2000, to consider using the concept of “customer orientation” (COP) as their
core process grouping. Thus, a COP of design validation (customer
requirements = input, supplier response = output) would be a category to which
the processes they identified through brainstorming could be “affinitized.”
There are at least two rules that need to be kept in mind with respect to models.
First, models are only effective to two levels. For example, a person might
compare his or her hunger to that of a bear. “I am as hungry as a bear,” they
might say, but any real comparison between a human and a bear begins to lose
meaning and effectiveness almost immediately. Humans are not covered with fur.
Humans don’t hibernate nor do they have claws. They don’t generally stand in
small streams, trying to catch salmon so they can devour them on the spot. In
general, while a model may be applicable to multiple levels, it is safer to stop
after the second level.
The second rule is related to the first; it is the rule of flow. Something must flow
through the model. If the original model only accounts for two levels and the
system is seen as having four, then flow becomes a matter to consider. At least
two models will be needed to completely explain how the system works; however,
both models will need compatible “flow.” They need not necessarily have the
same flow, but it must be compatible. For example, the flow at a management
level could be made up of information in the form of reports, contracts, memos,
etc.; whereas at an operational level, the flow could be materials used in the
manufacturing process. Though the two flows are quite different, they are
compatible when measured in terms of consistent organizational business
objectives.
Let’s take a look at three examples at the organizational level of workable

models. The first model is the generic Octopus model mentioned earlier.

Customer Customer
Customer Product Production Delivery Customer

Product and Process Payment
Verification & Validation
Organization
Customer Product and and all Sub and Warranty / Service Customer
Management
Process Decision
Processes
Post Sales /
Order / Request Customer
Feedback
Market Analysis /
Customer Customer Req’s Customer
Bid / Tender
Customer
Customer
This model has as its focus what could be defined as COPs. Interfaces with the
external customer set up how the organization defines the processes that drive
the organization. Supporting and managing these few processes is seen as the
pathway to ensuring customer satisfaction and thereby protecting and enhancing
the bottom line. We will discuss the underlying processes in more detail later in
this handbook.
The graphic below could very well incorporate the concept of customer
orientation, but approaches it from a different perspective. This approach uses
the “value stream” of Lean Engineering to define its top level (some would call
them core, or key, processes).
Acquire Define Plan Buy Build Support
Sub-processes feed, and in many cases, interact with one another for each of the
core/value stream processes. Management processes can be thought of as a
larger circle in which these processes reside.
The third model (the graphic on the next page) is similar to the previous graphic
in that it incorporates a known model with some minor modifications and seeks to
keep in place that which is already in place. The phases of Advanced Product
Quality Planning (APQP) are the core processes of this approach.

C o r e P r o c e s s M a p p in g
In p u t C o re P ro c e s s O u tp u t
C u r r e n t O r g a n iz a t io n a l F u n c t io n s
E n g in e e r in g P u r c h a s in g M a n u fa c t u r i n g S a le s a n d A c c o u n t in g M an agem en t Q u a lit y
A n d S h ip p in g M a r k e t in g
C u s to m e r P la n n in g P ro d u c t
E x p e c ta tio n s / A s s u ra n c e P la n
S p e c ific a tio n s
A p p ro v e d E n g in e e r in g
P ro d u c t P r o d u c t D e s ig n D ra w in g s a n d
A s s u ra n c e P la n S p e c ific a tio n s
P ro c e s s
A p p ro v e d P r o c e s s D e s ig n C a p a b ility
E n g in e e rin g S tu d ie s
D e s ig n
P ro c e s s P ro d u c tio n
R e q u ire m e n ts /
V a lid a tio n P a rt A p p ro v a l
C han ges
A p p ro v e d P ro d u c t o r
P r o d u c tio n / D e liv e r y S e rv ic e
P ro d u c tio n P a rt
P la n
R e tu rn s , C o rre c tio n s to
C o m p la in ts a n d F e e d b a c k / C o r r e c tio n
P ro d u c t, P r o c e s s
S u rv e y s a n d S y s te m
Of course there are more than three models that qualify as a process approach.
But these three models simply represent examples of acceptable ways to meet
the intent, expectations and requirements of the process approach. You should
develop a model for your organization that will best fit your needs, expectations
and requirements.
Note--The Octopus Model illustrated in the previous narrative used the

automotive industry’s basic ten COPs. Realize the automotive industry is not
requiring, or even recommending these ten COPs; but they are providing them to
automotive organizations as a starting point for the organization’s development of
their process approach model. These 10 COPs are:
• Market Analysis / Customer Requirements
• Bid / Tender
• Order / Request
• Product and Process Design
• Product and Process Verification / Validation
• Product Production / Realization
• Delivery
• Payment
• Warranty / Service
• Post Sales / Customer Feedback

Exercise to Develop Your System Model

Task 1 – Identify the processes you support in your organization without trying to
ERRAPENE PROCESS MANAGEMENT SUITE classify them. To do this, write short descriptions of the individual processes on
sticky notes (one process per sticky note) and then post them to a wall or on flip
charts.
Review bids Review Order raw Set up new

contracts materials production
line
Task 2 – “Affinitize” the processes by one of two methods or a combination of

both:
1. Affinitize the processes by their apparent connection (same theme,
same area, same product, or whatever seems to work) to one another,
and then label the large grouping with an appropriate title when all
processes have been accounted for, or
2. Select a predetermined model as illustrated earlier in the manual and
place the processes into the model’s categories. These models may
be modified – for example, the 10 COPs could be modified by
combining any number of the 10 processes.
Bid/Tender Order/Request Product/Process Design

Review bids Order raw Set up new
materials production
Review line Develop
contracts routing
sheets
Key Point -- The models that are presented in this handbook are based on a
consistent theme and consistent definitions – i.e, the relationship of the process
to the customer, where the process fits into the value stream, etc. If an
organization is to define its own model, it needs to make the theme/definition
apparent; otherwise, it will be difficult to establish meaningful relationships
between processes, and the model will not be able to produce meaningful
measurements.

Task 3 – Determine how the model relates in terms of hierarchy or levels.
Models are generally mapped to a universally, representative level (generally to

ERRAPENE PROCESS MANAGEMENT SUITE three levels). The number of levels mapped in an organization, or in a particular
area of the organization, depends upon the processes involved, the complexity
of the organization, and to what extent the lower-level processes are detailed
(Organizations may choose to “define” the lower level processes rather than
map them because the organization does not find value in mapping their lower
level processes.).
How do you do this Task? You need some more information, and you need to
make a decision.
You have two options.
The first option explains how to do the analysis of processes on paper. This
may be the best route to go, especially if you are working in a group. This
allows you to use more of a brainstorming approach and makes the sharing of
ideas somewhat more tenable.
The second option would be to do the same work using the Terrapene software.
If you do choose to use the Terrapene software for this Task, then you need to
read Step 3, which explains how to use Terrapene, prior to completing this task.
Note -- A process analysis tool called a “Turtle” can be found at the end of
this handbook. The Turtle is an ideal way to analyze the processes you
have identified in your organization. The Turtle is applicable to every kind
of process at every level of your organization. Each analytic Turtle is
actually a set of 5 Turtles, each Turtle containing a separate group of
questions. You may want to use the set of 5 Turtles included in this
handbook as a template for creating Turtle copies for use by your
organization.
Special Note -- The Analytic Turtles starting on Page 62 are a

paper version of the Turtles you will find within the Terrapene
Process Management Suite.

Turtles
Topic: Lower-Level Definitions and Details of Each Process
Note -- The following reading takes a review approach leading up to the
introduction and explanation of the Turtle. So, some of the information will review
over old ground; other parts will attempt to add to your insights.
Key Understanding
All organizations that wish to supply goods or services to other
organizations/customers must understand and live by two key concepts:
1. Line of sight
2. Product realization
Line of Sight
Keep the customer needs, wants, requirements and expectations, both internal
and external, in view at all times. Each member of an organization must keep two
customers in mind at all times, his or her immediate customer and the external
customer. For suppliers to the customers, the external customers are whoever
purchases their product or service.
Product Realization
Customers most often care first and foremost about the product or service
produced. Obviously they understand that there is more to a supplier organization
than the manufacturing/processing function, but for obvious reasons, their main
concerns are the products that become part of their products and to that end
impact their customers’ satisfaction.
The Terrapene and Process Approach Models

The Terrapene Process Management Suite and any tool that supports Process
Approach Models help organizations, including CBs, keep both key concepts —
line of sight and product realization — in central focus. Terrapene and process
models also deliver much more.
For all stakeholders in the supply chain, the visualization of the model provides
the necessary visibility to all processes needed to keep the system running
smoothly. Visibility allows the supplier and/or customer to understand his or her
business better and to apply corrections and improvements where they will do the
most good. Visibility allows the customer to examine the processes that make up
the system. This is not so they can meddle in your organization’s affairs, but so
they can assist you in making improvements that can help both the customer and
you. Visibility allows the third-, second- and first-party auditors to do their jobs in
an effective and efficient manner. They can spend more time examining and less

time searching, if the processes are visible. Visibility allows the workers in the
processes and systems to understand where they fit into the rest of the
processes and the system. You cannot correct or improve what you cannot see.
Applying the Terrapene and Process Models To Realize Benefits
Organizations can use Terrapene and process modeling tools to map their
processes in a manner that is understandable to the customers and to those who
represent the customers — third- and second-party auditors. Plus there is no
wasted time in doing so; that is, no other conversion, translation or delineation is
necessary. Once mapped (and maintained for accuracy), the requirements of ISO
9001:2000 for “sequence and interactions” are met along with nearly every other
system requirement. How the system is managed and how it meets customer
expectations and requirements cannot be satisfied by the process model alone,
obviously; but because the system is visible, integrated, focused on the customer
(internal and external) and more amenable to planned arrangements, it is a huge
step in the right direction. It cannot force management commitment, for instance,
but it can make it harder to deny the obvious.
ISO 9001:2000 Applied to the Process Approach Models

ISO 9001:2000 (and its brethren) requires that each organization define its
process management approach. While no specific approach is required, you
need a good starting point to analyze your functions in terms of the process
approach. Try to view the system from the point of view of your customer, what
can be termed customer-oriented processes (COPs). Identification and
application of COPs sets up a fairly easy process approach hierarchy to
understand, implement and follow. COPs are those processes that interface with
external customers. Sub-processes (sometimes referred to as SOPs), the second
level, are those processes that support or feed the COPs. Management
processes (sometimes referred to MOPs) are those processes that keep the
COPs and SOPs running smoothly.
Can an organization set up its quality management system with COPs, SOPs and
MOPs? Chances are they already have; they simply have not acknowledged it.
They have COPs or they would not be in business. They have some type of
SOPs network to support what they do with their customers. And they must make
decisions, collect data, make changes, etc. — all of which are actions that are
required to manage their processes and their overall system. Other logical ways
to think about how an organization works may be just as valid.
The system your organization defines should not only work but also be visible
and complete. Be prepared to explain and sometimes defend your system to
people who do business with the organization, especially if that customer is an
OEM or one of its emissaries (third- and second-party auditors).

10 Customer-Oriented Processes
The 10 generic COPs supported by most organizations in one form or another
are:
ERRAPENE PROCESS MANAGEMENT SUITE 1. Market Analysis/Customer Requirements
2. Bid/Tender
3. Order/Request
4. Product and Process Design
5. Product and Process Verification/Validation
6. Product Production/Manufacturing
7. Delivery
8. Payment
9. Warranty/Service
10. Post Sales/Customer Feedback.
The preceding processes need not be formally recognized by the supplier

organization. They certainly can be, but the main point is that these processes
represent typical interfaces with them. Each, of course, may lead to customer
satisfaction or dissatisfaction.
Product Realization – A Focus

It stands to reason that many customers conclude that items four through seven
of the 10 generic COPs are most important and that number six is probably the
most important of all. If you have any doubts about this, simply examine the
checks, mechanisms, tools and/or methodologies that each of the customers
have in place to make sure the parts/products/services they receive are good
parts/products/services. They tell the real story.
What does this mean to an organization? It provides focus. An organization can’t

stop supporting the other COPs, but it can make sure that they are aligned with
those that are most important to their customers.
If the organization is providing the service of auditing (a registrar), then those

COPs should take the highest priority. But once again, it is a matter of focus. If
four through seven are audited well, the other COPs will most certainly be
covered simply because they can’t be avoided. So, the message seems to be,
find a part and follow it up and down the manufacturing stream.
Note -- A complete set of Turtles can be found beginning on Page 62 of this

Handbook.

Exercise for Understanding the Use of “Turtles”

A part of Task 3, Step 2 (if using “paper Turtles”) – For convenience and time,
ERRAPENE PROCESS MANAGEMENT SUITE and if the handbook is being used by more than one individual user, individuals
should form small groups and assign themselves parts of the model. The task is
to apply the Process Approach “Turtle” tool to the two, upper levels of processes
(Core first, then Sub). It is especially important at the upper levels of the
organizational model for connection / linkages to become apparent (an output
from one process is an input to another), as well as the processes’ sequences (if
these have not become apparent at this time). Use the “basic” process
approach tool (“Turtle”) to analyze the Core / Key / COP processes first. The
basic tool’s use is intended to be self-explanatory. Once completed, move to the
second level of processes and repeat the activity. For processes / activities that
occur below the top two levels (perhaps 3 levels – please note that often,
processes below levels 2 and/or 3 are operational / floor processes), the Basic
Process Approach tool may be used to define the activity / floor process --- or,
perhaps a better choice, the organization may decide that the lower level
definitions can be provided by the individuals who perform the activity / process
(a good exercise for them and an opportunity to train members of the
organization). Once complete, the individual groups need to report to the large
group.
To understand the Turtle tool, both as a concept and how it works within
Terrapene Process Management Suite, review the following explanation.
Turtle Details
The Turtle
Diagram
What Who
forms the
foundation
of the
Terrapene. Input Organization’s Output
Process
It is also the Name /
impetus for Description:
the name
Terrapene - How Measure
a box turtle.

Question 1
There are 5
What Who
sets of Key
ERRAPENE PROCESS MANAGEMENT SUITE What are the necessary Who applies the resources
Questions facilities, equipment and (and what is their training)?
Process Owner:
for the materials? Personnel:
Facility: Training:
What, Who, Equipment:
Materials:
How, and Input Output
Measure What does the Organization’s Process

Name / Description: What does the
customer want? customer get?
boxes, and Customer Product Product Specifications:
Specification: Regulatory Specifications:
4 sets of Regulatory Specification:
Key How Measure
Questions How are the products How is the analysis of

for the realized? process effectiveness
Sub-Processes: accomplished?
Input and Sequence & Interaction:
Procedures, Methods & Instructions:
Performance Goals:
Measurement and Metric Selection:
Output Use of Data:
Actions Based on Data:
boxes.
Question 2
Key What Who
Questions What is being done to What is being done to

continued comply? comply?
Quality Management Standards: Quality Management Standards:
Customer -Specific Requirements: Customer -Specific Requirements:
Core Tools: Core Tools:
Input Output
Organization’s Process
Name / Description:
What will be What is
processed? produced?
How Measure
What is being done to What is being done to

comply? comply?

Question 3
Key What Who

continued continually improve? continually improve?
Input Output
Name / Description:
From which To which
process? process?
How Measure

continually improve? continually improve?
Question 4
Key What Who
Questions Which Management Which Management

continued Processes apply? Processes apply?
Input Output
Name / Description:
Any additional Any additional
information? information?
How Measure
Which Management Which Management

Processes apply? Processes apply?

Question 5
ERRAPENE PROCESS MANAGEMENT SUITE Key What Who
Questions Any additional Any additional

continued information? information?
Input Output
Name / Description:
How Measure

A completed answer to Question 1 (this turtle graphic taken directly from the
Terrapene Process Management Suite) might appear something like this. If done
on paper, it might look very similar.
Reminder: A full set of Turtles can be found beginning on Page 62 of the

Handbook.

Caution – Before attempting Task 3, Step 2 using Terrapene, you

need to cover Step 3 of this handbook (Using Terrapene to
Record Processes)
A part of Task 3, Step 2 (if using Terrapene Process Management Suite) –
For convenience and time, and if the handbook is being used by more than one
individual user, individuals should form small groups and assign themselves parts
of the model. The task is to apply the Terrapene “Turtle” tool to the two, upper
levels of processes (Core first, then Sub). It is especially important at the upper
levels of the organizational model for connection / linkages to become apparent
(an output from one process is an input to another), as well as the processes’
sequences (if these have not become apparent at this time). Use the Terrapene
(“Turtle”) to analyze the Core / Key / COP processes first. For help in using the
Terrapene refer to the illustrations provided below and on the following pages.
Once completed, move to the second level of processes and repeat the activity. -
-- OR --- Sub-processes could identified and added after any one of the Core
processes have been completed. For processes / activities that occur below the
top two levels (or extending to perhaps 3 levels – please note that often,
processes below levels 2 and/or 3 are operational / floor processes), the Turtle
tool may be used to define the activity / floor process --- or, perhaps a better
choice, the organization may decide that the lower level definitions can be
provided by the individuals who perform the activity / process (a good exercise for
them and an opportunity to train members of the organization). Once complete,
the individual groups need to report to the large group.
To add information to an individual Turtle box

• Click on the individual box and the box will expand to fill the screen (See
the first graphic on the next page.).
• To input information, click on each question and enter the information in
the white textboxes (see the second graphic on the next page).
• To attach documents, click the Plus button in the Attachments section to
reveal the Attachment window. You may browse for a file or folder already
on your organization’s servers (probably the preferred way to attach), point
to a web address, or upload a document to the Terrapene Server (only
recommended if you plan to access all your documents through Terrapene
alone). Once attached, an icon will appear in the Attachments section
(see second graphic on the next page).
• To leave notes click the Plus button in the Notes section to reveal the
Notes window. You can use Alerts & Reminders to determine who should
be made aware of the message, how, and when. The Terrapene software
will automatically apply your name, date and time (see second graphic)
• To complete other boxes and other processes, simply repeat this
process.


The title and level This is a
(Core) of the process reduced view of
turtle you are viewing the toolbar
shown on the
screen above
To move to the individual “box”

where 1) information can be
entered, 2) documents
attached, and 3) notes
attached, you need to click on
the box
The “look” of the “turtle” – this

example has had information
entered into each box
How attachments to this

turtle box appear once
they are entered
How the 5 questions How Notes

of the turtle box appear once they
(What) appear (you have been
are viewing the entered to the
completion of the turtle box
first question)
Clicking the appropriate

box or button lets you
move to another turtle box
or back to the turtle view

To create connections between processes

• Click on the Connections View button. This will indicate whether or not
any connections have been established (see graphic below)
ERRAPENE PROCESS MANAGEMENT SUITE • For connections that are complete green lines will appear. Where
connections are incomplete, red lines will appear. Where no connections
have been established, no lines will appear (see graphic below)
• The connection lines are a result of your answers to Question 3 of the
Input and Output boxes – From which Process? To which Process? Once
you defined all the process on that level, the are listed for you in the Input
and Output boxes. By checking the appropriate box, you create a
connection to the designated process (see graphic below)
To add a new process click

on this button – a window will
appear
Click on this button to view

established connections
between processes
Click this to view

management processes
A hexagon appears when
you create a new process
To move to the “turtle”

view you need to click
on the hexagon
To add Management Processes

• Click on the Management Processes button. This will bring you to a
screen that is separate, but parallel to the Core Process screen (see
graphic above).
• Once the management processes are established (they can be turtle
analyzed at any time you are ready to do so), they will be listed in each
Turtle box for your response to Question 4 – Which Management
Processes Apply?

To add Sub-Processes
• Click on the Sub-Process button and create a Sub-Process in the same
ERRAPENE PROCESS MANAGEMENT SUITE way a Core Process was created (see first graphic below) ---- Or ----
• In Question 1 of the How box for the appropriate Core Process, Sub-
Processes may be added by using the feature available. Sub-Processes
can be accessed in three ways: 1) through the process hexagon 2)
through the Tools window in the Turtle View and 3) through the How box.
Click to create a new

Sub-Process
Click to View Sub-

Processes

Note: There are two main connections between the processes that should be
monitored for accuracy (this can be accomplished by comparing the
brainstorming lists and the processes established earlier by the group to the work
ERRAPENE PROCESS MANAGEMENT SUITE of this Step). One connection is the connection of processes on the same level.
How do their inputs and outputs connect? The other connection is via the How
box in which the Sub-processes are listed. The Sub-processes are the
processes that are at the level below the present process level and are either
fully developed in the Model or at the lowest level are simply defined.
A Continuation of Task 3, Step 2 – If your previous work has not already

accomplished a picture of the whole system, at this time draw a two or three-
dimensional picture of your process-based system. All details do not need to be
included in this drawing, as the details can be added later; the main objective is
to establish a model that is able to include all processes and is able to establish
clear relationships between the processes.

Task 4 – Assess the adequacy of the model. Two questions provide the most
help for completing this work:
ERRAPENE PROCESS MANAGEMENT SUITE 1. Does the model have the ability to communicate the organization’s
intentions to all stakeholders?
2. Does the model completely capture the organization’s system?
Finally, a “flow” check needs to take place. In the top-level processes in
particular, is the “flow” captured accurately? The Flow is driven by – WHAT THE
CUSTOMER WANTS AND WHAT THE CUSTOMER GETS.
Input Materials (Product) or Actions (Service)

Process Output
Specifications
Note -- You may want to begin incorporating your documented system at

this time. That probably isn’t a good idea at this time in the
development process; that task will come later. The goal is to produce a
valid model for the inclusion of all processes.
Task 5 – Typically, there are some processes that do not easily fit into the
categories of 1) Core / COP / Top-level or 2) Sub / Support / Small for one reason
or another. A group of processes that are generally hard to fit into the system are
those processes that are about making decisions – often referred to as
Management Processes. The list below indicates some of the processes often
thought of as Management processes. What does your organization need in
terms of identifying Management processes and applying them to your Model(s)?
Record any results here.
• Management Review
• Customer Satisfaction and Measures
• Continual Improvement
• Corrective and Preventive Action
• Records
• Document and Data Control
• Internal Audit
• Nonconforming Product Control


The main point of the exercise(s) (and reading) was to come to some preliminary
conclusions about the processes which seem to present themselves in your
organization. Hopefully, you began to see that like the cake, there are big
categories of processes that are comprised of and/or supported by smaller
processes. And there are processes, which due to their breadth, or their focus on
decision-making, form another category/type of process called management
processes. You began to see that an organization actually has a kind of
hierarchy of processes allowing them to interact with one another and to be
managed. This initial work will form the foundation of your process approach to
management whether or not you choose to use Terrapene to help you
implement, manage and audit the management system.

Step 3 – Using Terrapene to Visualize and Record

ERRAPENE PROCESS MANAGEMENT SUITE Processes
Topic: Using Terrapene to Visualize and Record the Processes of Your
Management System
Up to this point it is probable that you been recording your processes, doing your
brainstorming and developing your thoughts on paper or on word processing or
database screens (unless, of course, your chose to do your brainstorming work
on Terrapene, as was your option). You probably also realized after a short time
that if you were to attempt to implement, manage and audit your process-based
system wholly on paper, it might prove to be difficult at best.
There is a better option. Terrapene Process Management Suite is designed to

help you record your processes, and to assist you implement, manage and audit
your process-based system.
The next couple of pages will give you a pictorial preview of Terrapene, a preview
you may want to refer back to when you start to use Terrapene more extensively.
For now, this section of the handbook is focused on a limited number of tasks
(more tasks accomplished by Terrapene will be added later, as you are ready to
implement them).
The basic tasks that we will look at this time are:

1. How to log in
2. An overview of Terrapene features and functions
3. How to record a process

Exercise on How to Record Processes in Terrapene
Task 1 – How to Log in (Online Mode)

1. To enter the Terrapene software click on the Terrapene icon in your Start
menu or on your desktop.
2. To Log in – enter your user name and password.
3. Open your organization’s “Project,” from the Select Online Project box.
Note -- On the next pages is a pictorial overview of Terrapene. Keep in mind that
many of features and functions will be unfamiliar to you --- YOU ARE NOT
EXPECTED TO LEARN THE FEATURES AND FUNCTIONS AT THIS TIME.
The presentation is provided to you so that you may be aware of what is in store
for you and so that you can begin to get of picture of Terrapene as you move
forward with your process mapping and implementation.

Task 2 – Overview
This view shows you two of the primary screens of Terrapene, along with brief
explanations of some of the features. The first view is a recording of the “Core”
processes of the fictitious “ABC Corporation.” The second view highlights the
“Turtle” analysis of one of the core processes (more about turtles later).
The title and level This is a

(Core) of the process reduced view of
turtle you are viewing the Tools
window
To move to the individual “box”

where 1) information can be
entered, 2) documents
attached, and 3) notes
attached, you need to click on
the box
The “look” of the “turtle” – this

example has had information
entered into each box
How attachments to this

turtle box appear once
they are entered
How the 5 questions

of the turtle box
(What) appear (you How Notes
are viewing the appear once they
completion of the have been
first question) entered to the
turtle box
Clicking the appropriate

box or button lets you
move to another turtle box
or back to the turtle view

The following view depicts how a specific type of note – an observation, can be
transitioned into a report – a nonconformance report.
Clicking the plus

icon opens the
Note window
Click here to
change the note
into an audit
finding
Task 3 – How to Record a Process

Using your list of recently established Core / COP processes, place at least one
of them (put them all in, one at a time, if you would like) into the Terrapene
software. To accomplish this task –
1. Be sure you are logged in
2. Open an established project
3. Click on “New Process” and a window will appear
4. Type in the name of one your Core processes, select a person, and
click on the checkmark button
5. A hexagon with the process’ name will appear on the screen
The process hexagon can be moved virtually anywhere on the screen by simply
clicking and dragging. This will allow you to put the process hexagons into the
configuration (model) you find most appropriate once you have entered all your
Core processes.

Though it is not something you might want or need to do at this point, realize that
this pattern of entry also will be used for entering Sub and Management
processes (the two other types of processes in a process management system).
More about entering those processes later.
Once you have entered all of your Core processes and have configured
them in a shape that makes sense to you and to your organization, you
have in essence created your organization’s top-level, quality management
system process approach model.

To master the use of Terrapene is relatively easy, as you have probably already
realized. There aren’t a lot of commands, and there aren’t a lot of different kinds
of screens and templates. But what is difficult and what takes time to learn is
applying the principles of the process approach to management to your
organization’s system and to the model you have constructed to represent that
system. That isn’t easy by any stretch of the imagination. But with some
patience and perseverance, it can be accomplished. The dividend is a system
that can be visualized, managed and audited.

Step 4 - Management Buy-In

Topic: Management Buy-In and Involvement
The main question here is whether upper management accepts and, most
importantly, supports your model. A process approach to management has it
biggest impact on management. Much is expected of management and for good
reason. An elemental approach to quality system management lends itself to
compartmentalizing the quality system. Many organizations have done just that.
Individuals and even whole departments become experts on certain elements of
the standard. Elements are looked at as separate pieces for the sake of
compliance but not as part of a larger system. The parts do not make up the
whole; each part is a whole unto itself. For many organizations, the entire system
only comes together during the certification audit. There are system wide
requirements, but most are handled by the same people who handle specific
elements. Management doesn’t really need to get involved and in many
organizations they do not.
Though still made up of clauses, the overall structure of ISO 9001:2000 (and
other standards/requirements that incorporate it -- ISO/TS 16949:2002, AS9100,
etc.) and the total number of requirements has changed. Its structure is based
upon the type of management required for groups of activities — resources,
measurement, etc. The number of requirements detailed in the standard has
been significantly reduced in comparison with earlier editions. There is now a
clear mandate for the management of an organization to set the requirements
since they are no longer prescribed. As a result, management must be fully
engaged with the quality management system.
Why would someone in upper management want to become personally involved

in the implementation of ISO 9001:2000? As stated earlier, the system can
provide answers to the fundamental questions upon which they can make fact-
based decisions:
1. How do I invest in my business?
2. How do I invest in my product or service?
3. How do I sell more product or service — gain more market share?
4. How do I fulfill existing commitments?
5. What do my customers think of my product?
It’s only logical to presume that an organization that is able to answer these
questions is fundamentally and foundationally headed in the right direction. With
vigilance, improvement and success are attainable.

Exercise for Management Buy-In

Task 1 – Present the Model that has been developed for your organization to the
ERRAPENE PROCESS MANAGEMENT SUITE members of your organization not involved in your process identification work to
time (or to others in your class, if the handbook is being used in a workshop
setting). The presentation should be thought of as intended for upper
management (whether or not you are considered a member of upper
management or not) in order to receive upper management’s endorsement and
participation (whether upper management is your peer group or not). Whether or
not the presentation is carried forward from this point forward, whether in a
workshop setting or not, the activity of preparing the presentation is a useful one.
One of the keys to the selling of the process approach to the organization,
including upper management, is that the process approach (as depicted by the
Model produced by your group) has the potential to answer the five questions
mentioned in the reading section.
Note -- You need to discuss the five questions from a perspective of executive/
upper management (whether you a member of that group or not) to determine the
potential for answering the five questions via the Model you have developed in
this workshop and from the work you are about to do. Will your model help your
organization’s management answer these questions?
• How do I invest in my business?
• How do I invest in my product or service?
• How do I sell more product or service – gain more market share?
• How do I fulfill existing commitments?
• What do my customers think of my products?
Special Note -- You may want to conduct the actual presentation using
Terrapene after you have completed more of the Terrapene features.
Note -- If upper management is already on board, Step 4 may be skipped.


The best buy in would be the upper management’s participation from the very
start of the implementation process. The problem is that many organizations for
reasons too numerous to mention cannot seem to get full engagement in the
organization’s quality management system from upper management, especially
in the implementation stages. Yes, they will sit in and nod their heads, but
unfortunately, participation and involvement remain an issue. Why? Most often it
is the approach taken by the quality professionals; they are often their own worst
enemies, when it comes to upper management buy-in. They do not often tell the
full story of quality management. They do not often tell the story of quality
management that will compel upper management to listen.
Upper management due to their roles and responsibilities have no option when it
comes to what they must consider their main focus. They must protect and grow
the bottom line. If they do not protect and grow the bottom line, they will no
longer be a part of the upper management.
Consequently, it is up to quality management leaders to help upper management

make the connection between the bottom line and the quality management
system. The process approach to management makes that job much easier and
much more real. Once the system is seen as a series of interlocking and
interacting processes, it is much easier to see how the bottom line is directly
impacted by every aspect of quality and every aspect of management.
Measurement is the key.

Step 5 – Process Owners

Topic – Assign Process Owners
Each process in the model (to at least two of the levels – more about that later)
needs an owner. This does not mean that you should replace the function of
owners/leaders who already exist in the organization, nor does it mean that their
functions should be scrapped. This only means that each process ultimately
needs a person who has final responsibility for it. Within any organizational
framework, decisions must be made that will have far-reaching impact. They
need to be made by someone who has the broadest picture or with the most at
stake. This is especially true in a system where process management has been
adopted.
Why is this true?
Functional management/leadership tends to consider the function first and the

organization second. Consequently, the management of a function like a
department would, by the nature of the game, needs and wants to consider his
function first; after all, it is his function’s performance by which he is measured. A
process sets up a different dynamic. The core processes, in particular, force the
individuals within them to see beyond their function by involving them directly in a
process that cuts across the entire organization (or at least a large portion of it).
This should not be taken as a condemnation of functional structures. They do not
have to be replaced because they still have a purpose they can fulfill. They offer
a sound structure for providing things that meet specific employee needs —
things like payroll, counseling, professional development are only a few needs of
the organization that can be efficiently and effectively supported through a
functional structure.
Who should assign the process owners? A steering committee, a management

team or an implementation team are often the groups that make such an
assignment. In many cases the assignment is obvious; in other cases it will take
more time and often involve some trial and error. This should be accommodated
in your implementation schedule.

Exercise for Assigning Process Owners

Task 1 – For convenience and time, the users of this handbook should think this
ERRAPENE PROCESS MANAGEMENT SUITE step through or if working with a group should break into smaller groups and
assign themselves individual parts of the Model. Once assignments have been
handed out, each group should begin listing names of tentative process owners
for a minimum of the top-level processes in their assigned list of processes (this
can be done as time and the detail of development completed in Step 2 Task 3
permits / supports). For an explanation of the requirements for the process
owner, look to reading section provided. Upon completion of the process owner
assignments, the assignments should be presented by each small group to the
larger group for discussion and comment.
Note -- Because this handbook may be used alone or in conjunction with a

workshop, the training for the process owners may be discussed at this time, and
even planned, but the actual training may need to take place later on.
To repeat –
“Each process in the (two-level) model needs an owner. This does not mean that
you should replace the function of owners/leaders who already exist in the
organization, nor does it mean that their functions should be scrapped. This only
means that each process ultimately needs a person who has final responsibility
for it. Within any organizational framework, decisions must be made that will have
far-reaching impact. They need to be made by someone who has the broadest
picture or with the most at stake. This is especially true in a system where
process management has been adopted.”

Process owners play a key role in a system that intends to follow the process
approach to management. Process owners must insist on measures that tell
something meaningful about the processes they own and the sub-processes that
make up or feed the process they own.
Perhaps someday all processes within a large and complex can be automatically
monitored by a sophisticated set of algorithms and powerful and sophisticated
software. But for right now, the process owner, or someone filling a similar
function, is the interface between data and information produced by the system
and the system itself. Most systems cannot right themselves and even fewer can
improve themselves; that is the function of humans – in this case, process
owners.

Step 6 – Assessment
Topic: Gut Check
Now that you have completed the previous steps, there is a good chance that
gaps will be found. After all, the process might be very new to the organization. It
stands to reason that gaps will make their presence apparent.
Often the biggest gaps involve measurements. The measurement taken has
nothing to do with the metric desired by the customer of the process. Gaps can
also be interpreted as steps that add no value.
Though this has probably been occurring throughout the implementation process,
it is important to capture the “maps” of the process at this time. These become a
kind of benchmark for the process and, by composite, the system.
While maps are all useful, it is important that your primary map be capable of
serving as a model. Some forms may be too limited in their ability to represent
the internal workings of your organization. The best advice is to be careful with
your selection.

Exercise to Assess Progress thus far

Task 1 – Assess the composite of the work done thus far to check for accuracy,
ERRAPENE PROCESS MANAGEMENT SUITE completeness and acceptance. The tangible parts that ought to be in place at
this time are:
• A picture of the Model that depicts the organization’s management system,
as a system, which has integrated the process approach
• Different views of the Model, which indicate the levels of the processes
that make up the management system (This could be handled in the first
bullet above, but that is generally too involved for one picture.)
• Process owners assigned to a minimum of the top level processes or
whatever was agreed upon
• Turtles applied to the top two levels of the organization’s process
management system (or by agreement), including connections
and at minimum the Question 1 answered for each Process
If small groups are being used, each small group needs to report to the large
group their findings. From those findings the organization needs to decide how
they wish to reconcile gaps, differences, etc.

This step could also be called a step of reconciliation. This is probably a very
good time for an individual or steering group to make sure that all aspects of the
system are aligning with another. Someone or some group needs to make sure
the system is reconciled. This may not be the only time, but this is certainly one
of the main times, especially in the implementation of this new systems approach.
Two more tasks should also be inferred from the work done for this Step and all
previous Steps. They are:
1) The quality professional’s role in the system has changed from one of
carrying the quality system on his or her back, to an individual who
becomes the person who reminds others to do the work they are assigned
and to check the overall system for its performance.
2) The quality professional cannot do all the work by him/herself. If others do
not participate and do not complete their intended and expected tasks, the
system will fail.

Step 7 - Requirements
Topic: Requirements Check
Now, it’s time to see if the requirements have been met.
Even though you have crossed a large hurdle by applying the process approach
to your system, all parts of the quality management system may not yet meet all
requirements of the relevant standard (ISO 9001:2000, ISO/TS 16949:2002,
AS9100, etc.) to which the organization is seeking conformance.
Each process must be analyzed to make sure that all applicable requirements
have been met. This is also a good time to identify the requirements specific to
each process. Such a record will eliminate the guesswork and investigation that
is often part of the audit function in a quality management system (though the
results may not be immediate). With this kind of identification, third-, second- or
first-party auditors do not have to guess what the organization has applied to a
particular process, and the information is readily available for examination.

Exercise to Check for Requirements Application and Compliance
Task 1 – Question 2 found in each Turtle box, as shown below, assists you think
ERRAPENE PROCESS MANAGEMENT SUITE about the application of requirements.
Question 2
Key What Who

continued comply? comply?
Input Output
Name / Description:
What will be What is
How Measure

comply? comply?
If not completed earlier in this implementation, now would be a good time to apply
the pertinent requirements to the specific process and the specific Turtle box
(This could include standards’ requirements, organizational requirements,
customer requirements, core tools, etc.)

ERRAPENE PROCESS MANAGEMENT SUITE The Standards Lookup

window allows you to
read the paragraphs of
selected ISO standards.
You can add and

remove the standard
clauses that apply to
a given Turtle box
The Terrapene view above gives you an idea of how a set of requirements (in this
case ISO/TS 16949:2002) could be applied using Terrapene Process
Management Suite. In addition to being able to designate the clauses that apply
to any given Turtle box, you can use the Standards Lookup function (or “View
Clause Content”) to read actual the paragraphs of the standard itself.
Note -- Once all core and sub-processes (top 2-3 levels of processes) have been
assigned appropriate requirements, a requirements check should be conducted--
that is, an overall, rough check to see if all clauses and sub-clauses of the
Standard / Requirements have been used. At that point, this question can be
raised: If not, why not?
Special Note -- The requirements check may not be practical until after the much
individual work has been allowed to take place. Classroom / Workshop
environments will not provide enough time to complete all process modeling and
mapping activities for your organization.

Task 2 – At some point, as time allows, individual groups need to exchange or

view each others completed Terrapene Turtles. This could also be a project of
the organization’s internal audit team(s). Groups would audit the completed
ERRAPENE PROCESS MANAGEMENT SUITE “Turtles” they have been assigned to audit. Each group could produce a report
about each Turtle and present the report to the whole group / management /
steering committee. If a large group or classroom setting is used, at the end of
each report the large group can decide how they wish to react to the findings and
how they wish to reconcile any issues that are surfaced.

Listing the references to standards / requirements within the context of the
processes themselves is especially helpful to processes owners and auditors.
Process owners have a readily available way to review and reflect upon the
requirements they are compelled to meet. That this review can take place in the
context of the process they own/manage helps them consider the requirement in
the way they accomplish their work. That increases the possibility that
compliance will be a value-adding experience.
For an auditor the listing of requirements provides an easy-to-follow road map,

which allows the auditor to concentrate on following audit trails, on confirming
what the organization has observed and corrected, and on making sure their
audit adds value to the organization’s efforts to improve, rather than a superficial
check of compliance to requirements.

Step 8 – Measures
Topic – Key Measures
The problem with measurement is that it produces data. At this point in the
implementation, it’s time to begin paring down the measures your organization
will depend upon in its decision-making processes. Ask yourself which measures
tell you the most about a particular process. Which measures tell you the most
about the two top-level layers of processes? Which measures tell you the most
about the system? How are the questions each business must be able to answer
answered? Remember: That which is measured is improved.
Here are some additional questions to assist you:

1. How do I invest in my business?
2. How do I invest in my product or service?
3. How do I sell more product or service to gain more market share?
4. How do I fulfill existing commitments?
5. What do my customers think of my product?
The measurements taken must be sufficient, but also concise, so that

management can absorb them. It does no good to make decisions based on
facts, when the facts are so numerous and the total so vast that managers cannot
absorb them.
The bottom line is that key measures are important because they are so useful.
They will not reveal themselves easily, but they are in the system. The most
straightforward way of establishing key measures is to have “process owners”
speak directly with “process customers.” What is important to the customer?
What does the customer need? This can be employed at every level of the
management system, but it is most important at the two levels identified by your
organizational process approach model. This means that the COPs/core and sub
processes form the scope of the “process customers,” revealing to the process
owners what is important to them. Since most process owners are also process
customers (an output of one process is often the input of another), these actions
are somewhat circular, and in a small company even more so. Nevertheless, the
activity is important.
Key measurements need not only be visible to the parties they impact, they must
also reflect what the customer (internal and external) needs/wants measured.
Why? Only the customer truly knows his/her specific need and what will satisfy
that need. For example, we can look at this in the context of a trip to the drive-
thru window of McDonalds on behalf of your family. Before you arrive you are
given certain “specs.” Once you get to McDonalds you relay the order to the
talking electronic menu. Your order is then repeated for your review on a special
screen that is part of the same electronic menu. Let’s assume your order consists
of the following: two hamburgers and two colas, one with ice and one without.

You receive the order, check it, making sure there are two hamburgers and two
colas — one with ice and one without. Everything seems to be correct so you
start back home.
Once there, you present one of the hamburgers and the cola without ice to your
wife. You hand the other cola and remaining hamburger to your son. Almost
immediately, your son’s smile at the sight of the white bag dissolves into a
grimace. “This isn’t what I ordered.” You review the original specifications in your
mind. You were told to purchase two hamburgers and two colas, one without ice.
Consequently, the few key measurements that seemed most important were the
total number of hamburgers and number of colas along with the presence of ice
in one the colas. That is what you brought home. You are reminded by your son
that he wanted a plain hamburger, while the hamburgers you brought home are
covered with pickles, ketchup and mustard. You, as his father, have dropped the
ball in a big way since he has only eaten plain hamburgers since his potty-
training years.
What was key to your son was not key to you. Your son had not conveyed to you
what turned out to be a key measure to him — the type and/or absence of
condiments. In this instance your son was your internal customer and he was not
satisfied. Consequently you were not satisfied. You did not convey in your order
that condiments, or a lack of them, was a critical measurement for you because it
was a key measurement for your ultimate customer.
Once you have a handle on identifying the key measures of your processes, you
need to consider how these measures fit into the larger picture prior to
implementation (or once they have been implemented and are in kind of a
verification phase). It’s probably most helpful to separate the key measures into
at least two categories: business measures and customer measures. For this
purpose, the terms can be defined as follows:
• Business — How are you meeting your obligations to the business?
• Customer — What are the important characteristics of the outputs to your
customer?
You will need to measure those items that are considered important in meeting
the obligations of your business (profit margins, brand recognition, planned
expansion, etc.); and those items that are considered to be important
characteristics of the process outputs to your customer(s) (design validation,
appearance, pricing, delivery time, etc.).
There must be some kind of balance. After all one could measure customer-
mandated key characteristics to the level of customer satisfaction and still go out
of business. For example, you could purchase and incorporate the latest
technology in your process as one way of reducing your defective parts per
million ratio, but a low return on investment for having done so could cause a
complete collapse of your business.

Exercise to Establish Key Process Measures

Task 1 – During the course of completing the Terrapene Turtles for each upper
ERRAPENE PROCESS MANAGEMENT SUITE level process (and sub-process as time permitted), measurements were
considered and documented. Now you need to decide upon the key measures
for the upper level processes keeping in mind that the measurements for the
upper level processes will be “fed” by measurements from the lower level
processes (remember the “cake” exercise). You may feel you cannot determine
these measurements at this time, because you conclude that the measurements
could be more appropriately set by the process owners (who may or may not be
represented in your present work). If several process owners are not involved at
this time, then you or the group need to develop some type of action plan to
ensure that the process owners do, indeed, establish the key measures for their
processes and ensure that those key measures align with the processes that
support them.
Note -- this task includes the development of top-level, key measures that could
be later developed into a “scorecard or dashboard” for upper management’s use
on a daily, weekly, monthly, etc., schedule.

Process owners’ involvement is key. If they weren’t recently or superficially
assigned as the owner of the process, they know what measures they use to
detect whether or not the process is running well. Most often this set of
measures is not a long list; often 3-5 measures suffices.
On the other hand, what is often seen in organizations is not a lack of

measurements, but too many measures, especially measures that really don’t tell
anyone anything of value. As you have probably observed, often measurements
are assigned out of fear; the fear that if we don’t measure the process someone
or something will find us at fault. Problem is, too many measures are simply
confusing.
Key measures insisted upon by the process owners are the keys to good
management of processes.

Step 9 – Audit
Topic: Review and Prepare for the Audit
Until the auditing community has a chance to immerse itself in the study of the
process approach and begins to gain experience into its application, it is
necessary to keep in mind that the focus is no longer on compliance to a number
of requirements detailed in the standard.
Now many of the processes, planned arrangements and documents that support
them are decided and developed by the organization. This action tends to embed
the requirements into the context of the processes that are identified and
developed by the organization. The organization is more likely to create its own
requirements/standards where none may be present in the actual standard.
There is a potential for the creation of dissimilar systems that are unfamiliar to
third-party auditors.
To assure that this focus does not harm the audit process, it is important that
each organization consider the need for closer ties to their certification body. It
stands to reason that the auditor will need to be much more familiar with the
organization’s processes prior to the audit than would be necessary otherwise in
an elemental audit. To support that need, it is advantageous to increase the
auditor’s or audit team’s understanding of the organizational design and
development of the process approach. With that information in hand, the auditor
is able to be of more value to the organization by being an objective observer
who knows the paths, actions, etc., he/she must observe in order to obtain a
complete picture of your organization.

Exercise to Prepare Management System for Audits

Task 1 – Individuals or small groups need to imagine they are preparing for a
ERRAPENE PROCESS MANAGEMENT SUITE third-party audit. Based on the work the groups have accomplished thus far and
assuming the work that will be assigned and implemented following your use of
the handbook or related workshop is complete, list where you think your
organization will need to spend the most time to:
• ensure the system works as it ought to work,
• what will members of the organization and others assigned by them
will need to work on, and
• who the present participants will need to work with in order to
complete the work.
The groups, if utilized, should report to one another for review and comment.
Task 2 – Assessment of work accomplished and an action plan to move forward.
Note -- This is also an appropriate time, that is, when the organization has
implemented a number of its processes and the management of them, to begin
the process of internal auditing. The Terrapene “Turtle” tool that was detailed in
this handbook is also a helpful aid for internal audits.

If many individuals have been involved in the development of your organization’s
process approach to management and its implementation, you should have no
trouble getting ready for an audit --- you should be ready already! The main thing
you may want to consider at this time is the preparedness of your registrar/
certification body. Will they understand your process approach? What will they
need to understand it? Is it valuable to you and to your registrar/certification body
to explore the possiblities before misunderstandings could take place in a
certification or survielance audit?
Terrapene provides the option of providing an Audit Package that can be sent to
the registrar/certification body prior to the audit. You may want to consider that
option.

Mississippi Mud Cake Recipe
Bring to a rolling boil in pan:

ERRAPENE PROCESS MANAGEMENT SUITE − 2 sticks of oleo or butter
− 1 cup of water
− 4 Tablespoons of cocoa
Add:
− 2 cups granulated sugar
− 2 cups all-purpose flour
− 1/2 teaspoon salt
− 1 teaspoon of baking soda
− 1 teaspoon of vanilla extract
− 1 cup of buttermilk
− 2 whole eggs
Mix all ingredients together and pour into a sheet pan (large one). Bake in 350°F
oven for 25-30 minutes or until a tooth pick inserted in the middle comes out
clean. Do not overbake!
MARSHMALLOWS and ICING:

− 1 Package of marshmallows
Melt marshmallows in pan at low heat and then spread onto cake prior to
spreading the icing.
Prepare Icing:
− 1 stick of oleo or margarine melted
− 1/4 cup of buttermilk
− 1 lb. box of powdered sugar (about 3 1/2 cups)
− 1 teaspoon vanilla extract
− 1/2 cup cocoa
− 1/2 cup chopped nuts (if desired)
Mix above ingredients together in a large pan or bowl until smooth. Spread on
cake while it is still hot (just as it comes out of the oven).
NOTE -- If you don't have any buttermilk on hand, you can make your own by
substituting whole milk with vinegar added. Add the vinegar first and then add
the milk to make the 1 cup or 1/4 cup where needed, i.e. -- 2 teaspoons of
vinegar to 1 cup of whole milk or 1/2 teaspoon of vinegar to 1/4 cup of milk for the
Icing. (Apple Cider vinegar works best, but you can use white distilled vinegar).
Let set for a few minutes to "curdle.”

Question 1
What Who
What are the necessary facilities, Who applies the resources (and
equipment and materials? what is their training)?
Facility: Process Owner:
Equipment: Personnel:
Materials: Training:
Input Output
What does the Organization’s Process

Name / Description:
What does the
customer want? customer get?
Customer Product Specification: Product Specifications:
Regulatory Specification: Regulatory Specifications:
How Measure
How are the products realized? How is the analysis of process
Sub-Processes:
effectiveness accomplished?
Sequence and Interaction: Performance Goals:
Procedures, Methods and Instructions: Measurement and Metric Selection:
Use of Data:
Actions Based on Data:
62
Question 2
What Who

comply? comply?
Customer-Specific Requirements: Customer-Specific Requirements:
Input Output
What will be Organization’s Process

Name / Description:
What is
How Measure

comply? comply?
Customer-Specific Requirements: Customer-Specific Requirements:
63
Question 3
What Who

Input Output
From which Organization’s Process

Name / Description: To which
process? process?
How Measure

64
Question 4
What Who

Input Output
Any additional Organization’s Process

Name / Description:
Any additional
How Measure

65
Question 5
What Who
Input Output
Name / Description:
How Measure

66

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TERRAPENE PROCESS MANAGEMENT SUITE ----- USER GUIDE AND HANDBOOK

ERRAPENE PROCESS MANAGEMENT SUITE Plexus Training Systems™

User Guide and Handbook

Plexus Training Systems™ i

Plexus Training Systems™ ii

ERRAPENE PROCESS MANAGEMENT SUITE Table of Contents

Application and Learning/Training Sections

Step 1 – Understand the Problem Exercise Page 18

Step 2 – Develop Your System Model Exercise Page 24

Step 3 – Using Terrapene to Visualize and Record

Plexus Training Systems™ 1

ERRAPENE PROCESS MANAGEMENT SUITE Table of Contents (continued)

Step 4 – Exercise for Management Buy-In Page 46

Step 5 – Exercise for Assigning Process Owners Page 49

Step 6 – Exercise to Assess Progress thus far Page 51

Step 7 – Exercise to Check for Requirements

Step 8 – Exercise to Establish Key Process

Step 9 – Exercise to Prepare Management System

Recipe and Turtle Worksheets

Plexus Training Systems™ 2

ERRAPENE PROCESS MANAGEMENT SUITE Introduction

For your convenience, this handbook is designed to be used in several ways.

Plexus Training Systems™ 3

ERRAPENE PROCESS MANAGEMENT SUITE Pre-Assessment

Following the Pre-Assessment is a detailed explanation of how you should

Plexus Training Systems™ 4

ERRAPENE PROCESS MANAGEMENT SUITE Pre-Assessment

2. My understanding of the process approach to management systems is best

3. My understanding and practice of using measures of a process’ performance as the

Plexus Training Systems™ 5

ERRAPENE PROCESS MANAGEMENT SUITE Results of Your Pre-Assessment

Answering d to one or both Questions 1 and 2 of the Pre-Assessment

Answering e to one or both Questions 1 and 2 of the Pre-Assessment

Answering d or e to Question 3 of the Pre-Assessment along with at least a

Plexus Training Systems™ 6

Introduction to the Process

Introduction to the Process Approach

This handbook and guide to process implementation using Terrapene Process

While parts of the information conveyed by this handbook, its accompanying

Plexus Training Systems™ 7

your organization’s network of processes be grounded with a common

We have tried to incorporate as much implementation guidance as possible in

While it may be tempting to take a cookie-cutter approach to quality

The Process Approach

For an organization to function effectively, it must identify and manage numerous

The application of a system of processes within an organization, together with the

Plexus Training Systems™ 8

ERRAPENE PROCESS MANAGEMENT SUITE

The Way a Business Operates

Some confusion was anticipated by the leaders of quality systems management

Plexus Training Systems™ 9

processes were an entirely different matter. It was understood that individually,

Understanding the Concepts that make up the Process Approach

It is relatively simple to identify a process. It has an input, a transformation and an

Input Materials (Product) or Actions (Service)

Included in the definition is a need to understand that the process must be

Plexus Training Systems™ 10

Plexus Training Systems™ 11

of the Standard, we have settled on customer-oriented process or COP as a

Applying the COP concept to something generic like a supermarket might be

Customer who has

Plexus Training Systems™ 12