"QUALITY CONTROL"
METHODOLOGY AND WORK PROCEDURE
BY DEFINITION, CLASSIFICATION AND IDENTIFICATION OF PROCESSES. DESCRIPTION OF PROCESSES BASED ON IDEF0 METHODOLOGY

METHODOLOGY I PASSION OF WORK
PA SIGNIFICANCE, CLASSIFICATIONS I IDENTIFICATIONS OF PRACES.

APISANNE PRACESAỲ BASED ON METADALOGII IDEF0

Metadyc recommendations

TC RB 4.2-MR-05-2002

Preface

1 DEVELOPED by the Department of Standardization, Metrology and Information Systems of the Belarusian National Technical University (responsible executor - Serenkov P.S.).

CO-PERFORMERS:
IP "ORIENTSOFT" (executor - Kuryan A.G.)

Unitary Enterprise "TOOT Center" (executor - Shulga T.V.)

RUE “PO HORIZONT” (performers – Zhuk V.M., Tolkachev I.I.)

Scientific and Production Republican Unitary Enterprise “Belarusian State Institute of Standardization and Certification (BelGISS)” (performers – Nazarenko V.V., Stankevich L.A.)

Unitary Enterprise "Plant Transistor" (executor - Lubnina L.P.)

Concern "Bellegprom" (executor - Nefedova L.S.)

2 APPROVED by the decision to adopt document No. _________ dated _________ 2002, signed by the Chairman of the National Technical Committee for Standardization “Quality Management”

3 EFFECTIVE IN 2002

Introduction

1 area of ​​use

3 Definitions

4 General provisions

4.1 Aspects of the process approach in STB ISO 9000 series

4.2 Modeling as a way to adequately describe processes

4.3 Definition of processes

4.4 Process classification

4.5 Process identification

4.6 Documentation of processes

5 Methodology for defining, classifying and identifying processes

5.1 General methodology for defining, classifying and identifying processes

5.2 Methodology for describing processes based on the IDEF0 methodology

6 Procedure for carrying out work to define, classify and identify processes

6.1 General provisions

6.2 Preparatory stage

6.3 Procedure for creating a model

6.4 Process classification order

6.5 Process identification procedure

6.6 Model approval procedure

7 Prospects for the use of functional models in quality management systems

7.1 Prospects for IDEF0

7.2 Creating models for process management

7.3 CASE process modeling tools

Appendix A Functional Modeling Methodology IDEF0

Appendix B Example of a process model for the production of women's coats in a garment factory

Appendix B Example of a functional model of the TV chassis manufacturing process

Appendix D Bibliography

Introduction

This document contains a methodology for describing (modeling) processes, including their definition, classification and identification, as well as documenting processes within the framework of a quality management system that meets the requirements of STB ISO 9000, STB ISO 9001 and STB ISO 9004.

The methodology fully complies with the principle of implementing a process approach within the framework of a quality management system that meets the requirements of STB ISO 9000, STB ISO 9001 and STB ISO 9004. The purpose of the methodology is to provide quality service specialists with a way and means of describing processes in an organization for the purpose of their effective planning , ensuring, managing and improving in accordance with the ideology of the quality management system, as well as identifying and documenting processes.

The methodology in the document is divided into two parts. The first part presents a general methodology for defining, classifying and identifying processes within a quality management system. The second part represents one of the possible approaches to the implementation of a general methodology based on the IDEF0 (Integrated Definition Function Modeling) methodology of functional process modeling.

The IDEF0 methodology has been successfully used in a wide variety of industries, having established itself as an effective means of formalizing the description, design, analysis and improvement of business processes of complex systems, which include the quality management system of an industrial enterprise.

Application area

This document contains the methodology and procedure for carrying out work on the description (modeling) of organizational processes - their definition, classification and identification, as well as the construction of process maps within the framework of quality management systems that meet the requirements of STB ISO 9001.

Methodological recommendations can be useful for enterprises, organizations, institutions (hereinafter referred to as organizations) developing, implementing, maintaining quality management systems in accordance with the requirements of STB ISO 9001 in order to ensure the effectiveness and efficiency of their activities.

Normative references

STB ISO 9000-2000 Quality management systems. Fundamentals and Vocabulary

STB ISO 9001-2001 Quality management systems. Requirements

STB ISO 9004-2001 Quality management systems. Recommendations for improving activities

Definitions

Helper process– a process whose output is a material or information resource used by another process in the organization’s process system.

Process Glossary - a list of terms and their definitions used in the description of the process.

Business process (buisness process) is a set of different processes combined within a certain type of activity (business), the “input” of which is one or more types of resources, and as a result of this activity, the “output” creates a product (or service) that is valuable to the consumer.

Document "Process Description"– a document containing a description of the process structure, interactions and relationships that exist both within the process and with other processes.

Document "List of Processes"– a document that contains brief information about all processes related to the quality management system.

Process identification– assigning a unique identification characteristic to a process, through which the process is uniquely distinguished from any other process in the network (system) of the organization’s processes.

Process Map – a document containing a description of the process structure, presented graphically (graphical process description).

Process classification– the procedure for classifying a process into one or another process category in accordance with pre-established characteristics and classification rules.

Key process is a life cycle process that determines the business potential of an organization, realized by the organization itself. Note - The key process cannot be classified as “third party services”, i.e. cannot be given to third parties.

Description (modeling) of the process– reflection of a subjective vision of a process that actually exists in an organization in the form of a model consisting of interrelated objects. NOTE This activity includes defining, classifying and identifying process.

Life cycle process– a process whose output is products produced in an organization at one of the stages of its life cycle.

Management process– a process whose output is a control action aimed at another process in the organization’s system of processes.

System (network) of processes– the totality of all processes in an organization, interconnected and interacting with each other.

Functional modeling– building a model (description) of a process that reflects the internal structure of the process, its inputs and outputs, relationships and interdependencies with other processes in the process network, as well as classification and identification characteristics that characterize the process in the form of functions.

Function– a description of an activity, process or transformation, represented in verb form, that specifies what is to be accomplished.

General provisions

4.1 Aspects of the process approach in STB ISO 9000

The use of a system (network) of processes in an organization, along with their identification and interaction, as well as process management can be considered the “process approach” of STB ISO 9000, STB ISO 9001 and STB ISO 9004.

Modeling as a way to adequately describe processes Adequate description of processes is possible using a procedure called modeling. The purpose of modeling is to create an accurate, sufficient, concise, convenient for perception and analysis description of the system as a set of interacting components and the relationships between them. NOTE Systems such as an organization's activities or processes have a complex internal structure and complex interactions between their constituent elements. Very often it is not possible by conventional means to provide a simple description, and therefore to provide an understanding of such systems, which makes their design, development and maintenance time-consuming and expensive. On the other hand, with the growth of technological progress, an adequate description of systems is becoming an increasingly pressing problem. Modeling presupposes the presence (mandatorily) of an established set of visual (expressive) means and rules - a way of describing an object. Among the most common methods of description are verbal description - description in natural language.

Note – For standardization, this is the most characteristic and familiar form of description. It should be noted that this method of description does not always provide the necessary and sufficient level of “adequacy”.

Mathematical description is a description using the tools and rules of mathematics.

For example, a statistical model for analyzing and predicting a technological process, compiled on the basis of probability theory, mathematical and applied statistics.

Graphic description – description of an object using graphic means and rules.

For example, the Unified System of Design Documentation (ESKD) is a set of tools and rules for obtaining a graphic description of an object, called a drawing.

Note - It should be noted that there are no clear boundaries between the above description methods and their corresponding models. Typically, each model uses the tools and rules of other models. For example, a mathematical model can contain both elements of a verbal model (verbal accompaniment) and elements of a graphical model (explanatory diagrams, drawings, etc.).

The description must have a specific purpose. This means that the model, as an intermediate stage of a systematic approach to management, is developed to achieve specific goals. In the case of a process approach within the framework of a quality management system, a description (model) of processes is created for the purposes of process management (planning, provision, management and improvement).

Note - For complex systems, it is quite difficult to obtain one single description that answers all the questions of managers and is suitable for achieving existing goals. Being by its nature multifaceted in the forms and content of representation, the system as a set of interconnected components can be described in the form of a number of independent, complete models, the number of which is determined mainly by management goals. A typical example of a complex system is an organization, which can be represented as:

The system of processes by which an organization achieves its mission;

A set of information objects and information flows in an organization;

Organizational structure, which determines the subordination between departments and individual employees;

Infrastructure (territories, buildings, structures, communications), etc.

Accordingly, different views of an organization or its management system can be described by corresponding models that answer specific questions. For example, a functional model represents a description with the required level of detail of a network of processes for the purpose of planning, maintaining, managing and improving them. Data models (information models) are detailed description objects and types of information and data for the purpose of optimization and subsequent automation, etc.

4.2.1 Functional modeling methodology IDEF0

One of the most common methodologies for creating functional models (descriptions) of complex systems and processes is the IDEF0 methodology.

The basic principles and concepts of the IDEF0 methodology are given in Appendix A.

NOTE In 1993, the IDEF0 methodology was approved as a US federal standard for functional modeling.

In 2000, Gosstandart of Russia adopted the guiding document “IDEF0 Functional Modeling Methodology” for the purposes of reengineering business processes and quality management processes.

4.2.1.1 Purpose and purpose of functional models

The purpose of constructing a functional process model is a necessary and sufficient formalized description of all the subprocesses that make up the modeled process, as well as the nature of the relationships between them. Such a model can provide a complete picture of both the functioning of the process under study and all the flows of information and materials that take place in it.

The functional model reflects the functional structure of the system of processes that make up the activities of the organization. It is used to formalize knowledge about the structure of an organization’s activities, analyze activities “as is,” identify “bottlenecks” and design a functional structure “as it should be.”

4.2.1.2 Relationship between IDEF0 and the process approach in STB ISO 9000

Various sources interpreting or mentioning the process approach offer different ways of representing processes (Figure 2).

It is obvious that IDEF0 methodological approaches to the formalized representation of the process are most adequate in relation to quality management approaches in accordance with the requirements of STB ISO 9001, which is very important, including for certification purposes.

Note - One can afford such an interpretation of the advantages of IDEF0 - an approach to describing processes compared to the traditional one (for industrial enterprises). Suppose you need to design a product, for example a shaft. This can be done in two ways:

The first is a description of the shaft in words like: ...body cylindrical With N steps. The left step has a diameter of... etc., as well as with a verbal statement of design features (chamfers, grooves, fillets, etc.), requirements for size, shape, location, roughness, material;

The second is a graphic representation of the shaft in the form of a drawing made in accordance with the rules of the ESKD.

This will leave no one in doubt that the second approach is much more visual, realistic, and “ready” for analysis (management, improvement).

If we compare the description of processes within quality systems with this analogy, then:

The first approach is the traditional approach of describing processes in the form of standards, methods, instructions;

The second approach is a graphical representation of the process network with the integrated first approach.

We can say that IDEF0 is an analogue of ESKD (ESTD) for the development and identification of a company’s process network within the framework of a quality system, which makes it possible to make the quality system project as a process network more visual (transparent), linked, “ready” for regular analysis, management, improvement .

4.3 Definition of processes

The process definition procedure involves obtaining answers to two main questions:

What is the process, what does it represent;

What is its place among other processes in the system.

In this regard, the process definition includes:

Description of the constituent elements of the process, i.e. the processes that make up the process in question;

Description of the boundaries (framework) of the process, i.e. its inputs and outputs. Inputs and outputs define:

The structure, relationships and interdependencies between (sub)processes within the process under consideration;

The structure, relationships and interdependencies of the process with other processes, as well as with external suppliers and consumers.

Notes

1 The technique for isolating a network of processes that determine the quality of the final product from the total set of processes of an organization is based on the technique of hierarchical modeling IDEF0 -.

2 A process in “as is” notation does not always add value to the output product, but it must be defined on an equal basis with other processes. Based on the analysis results, such processes are subject to improvement.

4.4 Process classification

Classification of processes presupposes the presence of a predetermined (conditional) list of categories and involves the assignment of a particular process to one or another category. The choice (assignment) of categories is determined by the tasks for which the classification is used.

IN methodological recommendations process classification is used to solve the problem of compliance of processes in an organization with the requirements presented in STB ISO 9000, STB ISO 9001 and STB ISO 9004. On the other hand, process classification is used for the purposes of effective process management.

4.4.1 Classification of business processes

The activities of an organization consist of business processes. The number of different business processes depends on a number of factors. Among the most significant factors are:

Types of products and services produced by the organization;

Features of various product consumer groups;

Features of various groups of suppliers of raw materials and resources.

For example, a clothing factory purchases raw materials (fabrics, threads, buttons, etc.), produces products (sews women's coats) and supplies them to its consumers. This means that in the activities of a garment factory there is a business process for the production and supply of women's coats. In addition, the garment factory has a hostel on its balance sheet and provides hotel services. The provision of hotel services should be considered as a separate business process.

Note: A process can be considered a business process if that process underlies it. a separate type activities of the organization.

A business process includes three significantly different groups (categories) of processes:

Life cycle processes;

Management processes;

Processes for providing resources (auxiliary or supporting processes).

Life cycle processes can be divided into separate processes, each of which corresponds to a specific stage of the product life cycle: marketing, product design and development, planning and development of processes (technological), etc. (Figure 3).

Figure 3 - Hierarchical structure of process categories in a business process

Different business processes in an organization may contain different numbers of product life cycle stages. Moreover, each stage of the product life cycle can be described as a separate process.

Notes

NOTE 1 The life cycles of different types of products and operating results may differ due to their different nature. Because of this, the business processes corresponding to these types of products or business results will differ.

For example, the life cycles of women's coats and hotel services differ due to the nature of the process outputs: products and services, respectively.

2 Life cycles of similar types of products and operating results may also differ. Among the life cycle processes of a specific product, key and non-key processes should be distinguished. Non-key processes can be implemented as third party services. Naturally, the management of these processes differs significantly. Non-key life cycle processes implemented by third parties are not part of the business process and are not subject to system management. In this case, such processes are external to the business process. They are managed through “relationships with external suppliers” on a contract basis.

For example, a clothing factory produces coats of its own models and coats based on models purchased under license. It is obvious that the stages of the life cycle will differ, at least in the presence or, accordingly, absence of the “product development and design” stage.

Resource provisioning processes are often called support processes. They cannot be classified as either quality management processes or life cycle processes. A distinctive feature of these processes is that the results of these processes are resources that are used in the execution of life cycle and/or management processes. The cost (value) of resources created or processed by supply processes is not directly included in the cost (value) of products produced by life cycle processes, although an indirect relationship exists.

4.4.2 Classification of quality management processes

Quality management processes fall under the category of management processes. In contrast to life cycle processes and resource provision processes, the categories of quality management processes are clearly defined in STB ISO 9000, which identifies the following categories of processes related to the quality management system (Figure 4):

Top management processes;

Resource Management;

Product life cycle processes (in terms of ensuring “controlled conditions” of life cycle processes);

Measurement, analysis and improvement processes.

Note – Additionally, STB ISO 9000 distinguishes system-level processes. This category includes the processes of deployment (creation), maintenance and improvement of the quality management system.

Thus, the classification of processes makes it possible to distinguish among the processes that make up the activities of the organization those processes related to the quality management system, and among the quality management processes - processes that belong to various categories defined in STB ISO 9000.

Figure 4 - Classification of quality management system processes in STB ISO 9001

The result of the classification of processes is the answer to the question: are all the processes defined in STB ISO 9000 performed within the framework of the organization’s activities.

4.5 Process identification

There are various approaches to process identification. Process identification can be carried out, for example:

A unique process name;

Using marking - assigning a unique identification number;

By other means.

The system for identifying processes and the relationships between them should easily, clearly and quickly provide identification of the place of the process or its elements within the framework of the modeled process system. Taking into account the hierarchical structure of the process system within the activities of the organization of a business process, life cycle process or management process (decomposition of processes), it is rational to use for identification purposes the approaches used in the IDEF0 and .

4.6 Documentation of processes

4.6.1 Process documentation

In accordance with STB ISO 9001, section 4.1, the list of mandatory processes that must be documented is not regulated. Each organization independently determines which processes should be documented, guided by the requirements of consumers, regulations, area of ​​activity, and its corporate strategy.

The scope of documentation in the quality management system is determined by the management of the organization, based on the following requirements:

Ensure the reproducibility of any process and compliance with the requirements of STB ISO 9000 by the enterprise personnel;

Ensure the possibility of proving compliance of the quality management system with the requirements of STB ISO 9001 when conducting audits;

Fulfill the requirements of STB ISO 9001 for documenting procedures.

However, the document contains a number of requirements, compliance with which, within the framework of a quality management system, an organization can demonstrate through the development of a number of documents. Among them, descriptions of processes should be highlighted, which may include:

Process maps;

Process flowcharts;

Descriptions of processes in any acceptable form.

In this case they can be used various methods: graphic, verbal, visual, electronic.

The level of detail in process descriptions should be determined based on the necessity and sufficiency of ensuring the effectiveness of process management. In accordance with STB ISO 9001, the following are subject to documentation within the process: planning and support, process management, resources, control processes.

STB ISO 9001, section 4.2.1, mentions the following categories of documents on processes within the quality management system:

Descriptions of processes;

Procedures.

Notes

1 Since process descriptions are used in various documents of the quality management system, and STB ISO 9000 is based on the principle of a systematic approach to quality management, the creation of process descriptions precedes the creation of other documents in the quality management system. Therefore, the creation of process descriptions is the basis for the creation of documentation in the quality management system. In this context, the description of the process is the basis for creating the procedure.

2 Documents that contain indirect information about processes (references to processes), for example, quality manuals, quality plans, job descriptions are not taken into account here.

3 Descriptions of processes, in contrast to the six mandatory procedures, are not mandatory documents (they are not a mandatory element of the document system) of the quality management system in accordance with STB ISO 9001.

In a quality management system, a distinction should be made between the purpose of a process description and a procedure description.

The process description defines the essence of the process and its structure. The purpose of the description is to effectively plan, enable, control and improve the process.

The procedure determines the sequence of actions within the process, which, under given conditions (i.e. “here and now”), ensures the specified quality of the process. The essence of the procedure is an algorithm for executing the process under specific conditions.

NOTE A common way of representing flowchart algorithms can be used as a way of representing process procedures in a quality management system.

The description of the process is primary in relation to the procedure and is the basis for the development of the latter, but not vice versa. It should be noted that for the same process there may be several procedures that differ, for example, in the conditions for their implementation, the sequence of actions, etc.

NOTE Flowcharts do not reflect the structure of processes and are therefore not an adequate way to describe processes. Other methods are used to describe processes that meet quality management requirements. This paper proposes a method based on the IDEF0 functional modeling methodology.

4.6.2 Composition and structure of process documentation

Process documentation used for subsequent effective planning, provision, management and improvement includes a process list and a process description.

4.6.2.1 List of processes

The list of processes contains the following:

Records allowing identification of process descriptions;

Information that identifies the place of the Process List document in higher-level documentation, such as a quality manual;

Information that allows you to identify the status of the “List of Processes” document: status (working version, approved, etc.), date of creation, author, date of approval, person who approved the document, date of change, date of filing, etc.

Note – The elements that make up the “Process List” document are regulated by the relevant document management processes and procedures adopted in the organization.

4.6.2.2 Process description

The process description includes the following:

Information describing the process, including the name of the process, the internal structure of the process, i.e. the elements that make up the process and the relationships between them, a description of the relationships of the process with other processes in the organization, a description of the process owners, consumers of the process results, suppliers of inputs and resources necessary for the execution of the process.

Note – The level of detail (depth) of the process description is determined based on the complexity of the process, the size of the organization and the needs of the organization’s management;

Process Glossary.

Note – In cases where the process description uses terms that already exist in the organization (the definition of which is available in other documents of the organization), instead of defining the term, a link is used to a document where this definition already exists;

Information that identifies the place of the Process Description document in a higher-level documentation system, such as a quality manual or documented procedure;

Information that allows you to identify the status of the “Process Description” document: status (working version, approved, etc.), date of creation, author, date of approval, person who approved the document, date of modification and date of filing, etc.

Note – The elements that make up the Process Description document are governed by the relevant document management processes and procedures adopted in the organization.

5 Methodology for defining, classifying and identifying processes

The purpose of applying the methodology is to describe the processes in the organization, identify among them those processes that relate to the quality management system, analyze the processes of the quality management system from the point of view of meeting the requirements of STB ISO 9001, document the processes and use the description of the processes for subsequent quality management.

As a result of work carried out in accordance with the methodology, a set of documents is created, including:

List of processes related to the organization’s quality management system;

Descriptions of processes, each of which contains a detailed definition of the process (model), its classification and identification characteristics, as well as other information necessary within the framework of the quality management system.

5.1 General methodology for defining, classifying and identifying processes

The methodology for describing processes within the quality management system includes the following steps:

1 Identify the processes that make up the organization’s activities.

1.1 Identify business processes in the organization’s activities (Figure 3).

Note – The object of description (definition, classification and identification) from the point

From a quality management system perspective, it is a business process.

1.1.1 Describe the internal hierarchical structure of the described business

process, which reflects what processes a business process consists of, as well as how the processes are connected in a hierarchy (part-whole relationship).

1.1.2 Describe the inputs, controls, resources, and outputs of each process.

1.1.3 Establish and describe interactions (relationships) between processes, i.e.

connect the outputs of some processes with the inputs of others.

1.1.4 Compile a list of concepts (glossary) used in describing the pro-

processes to unify the perception of the process description by all interested

parties, and define the concepts used.

2 Classify processes.

2.1 Classify inputs, controls, resources and outputs of the process.

2.1.1 Classify process inputs.

2.1.1.1 Determine the objects supplied to the process inputs.

2.1.1.2 Determine who is the supplier of the objects coming to the

process inputs.

2.1.2 Classify the outputs of the process.

2.1.2.1 Determine the objects obtained at the outputs of the process.

2.1.2.2 Identify consumers of process output objects.

2.1.3 Classify process controls.

2.1.3.1 Identify objects that are carriers of control

influences on the process.

2.1.3.2 Determine who the control object provider is

(i.e. controls the process).

2.1.4 Classify objects used as resources for execution

tion of the process.

2.1.4.1 Determine process resources.

2.1.4.2 Identify resource providers.

infrastructure).

2.2 Classify the processes themselves.

Note – Based on the categories of objects processed within the processes, determine the category of the processes themselves.

If the “input” of a process receives raw materials, and the output of the process creates a product or part of it, then the process belongs to the category “life cycle process”.

If the “output” of the process is a control action, then the process belongs to the “control” category.

If the output of a process is a resource for another process, then that process falls into the category of “providing resources.”

3 Identify business processes.

3.1 Identify processes taking into account the classification.

3.2 Identify objects entering the inputs and received at the outputs of each

of this process, taking into account the classification carried out (section 5, subclause 2.1 of this

techniques).

4 Document processes.

4.1 Draw up maps (descriptions) of processes.

4.2 Make a list of the organization’s processes.

Note – Process maps are compiled for each process presented in the list.

5 Check (verify) the process description for compliance with the requirements of STB ISO 9001.

6 Approve process documentation.

5.2 Methodology for describing processes based on the IDEF0 methodology

In this section, the methodology for defining, classifying and identifying processes (subsection 5.1) is implemented on the basis of the IDEF0 functional modeling methodology.

5.2.1 Definition of business processes in the form of an IDEF0 model

5.2.1.1 Business process definition

At the first stage of the description, it is necessary to define the business processes in the organization. The key element in defining a business process is the statement of purpose, which reflects the reason for creating the model (description) of the business process and determines its purpose.

Notes

1 The purpose of the model is to fix a certain angle from which the activities of the organization are viewed and described. For different purposes, the angles of view may be different, and the process models will be different.

For example, when describing the processes at a clothing factory, various goals can be formulated: optimization of the organizational structure of the factory, formation of a quality management system, expansion of activities, etc.

2 The general purpose of the models within the framework of this document is to create a quality management system that meets the requirements of STB ISO 9000, STB ISO 9001 and STB ISO 9004.

In order to identify business processes, it is necessary to determine the following:

Consumers of the organization's products and/or services;

Products and/or services produced by the organization and supplied to consumers;

Types of raw materials and their suppliers.

NOTE Different business processes may be considered for different types of products or different categories of customers.

For example, a clothing factory produces (sews) women's coats by concluding contracts with consumers. Consumers of the products are women's clothing stores and trading and intermediary companies. The factory purchases raw materials from textile enterprises, as well as from trading and intermediary companies.

The factory is a closed joint stock company. The purpose of building the model is to create a quality management system. Based on this information, one business process can be distinguished in the activities of a clothing factory - “Produce women's coats.” The inputs of this process are: a) external information, including the requirements of consumers (stores and companies); b) raw materials and materials; c) resources. The outputs of the process are: a) batches of finished products intended for consumers; b) information for external consumers. Process control is carried out on the basis of regulatory documents regulating production processes at the factory. Considering that we are interested in the process from the point of view of quality management, we will consider the regulatory documents regulating this area, including the requirements of STB ISO 9000, as external control. A map of the business process at a garment factory is presented in Figure 5.

Figure 5 - Business process in a garment factory

5.2.1.2 Description of the business process structure

At the second stage of defining a business process, it is necessary to describe its internal structure. To do this you need to define:

What processes does the modeled business process consist of?

How these processes interact with each other.

IDEF0 modeling uses a decomposition mechanism to describe the internal structure of a process (Appendix A).

In accordance with the requirements of the IDEF0 methodology, in order to decompose a business process, it is necessary to create a child diagram. This diagram should represent the processes that make up a business process within a quality management system (QMS).

Let's consider the decomposition of the business process “Produce women's coats” (Figure 5).

Taking into account the modeling goals - compliance of the business process with the requirements of STB ISO 9001 - the decomposition of the business process includes 4 blocks of processes presented in Figure 6.

In accordance with the requirements of STB ISO 9000, the business process “Produce women’s coats” includes the following processes:

- realize the responsibility of senior management for quality management;

- carry out resource management;

- implement life cycle processes;

- carry out measurements, analysis and improvement of the QMS.

Note - Figure 6 does not show the interactions between the functional blocks representing the decomposition of the process “Produce women's coats”.

Figure 6 - Decomposition of the process “Produce women's coats”

5.2.1.3 Description of interactions between processes

The third step in defining a business process is to describe the interactions between processes. Interaction between processes in IDEF0 (Appendix A) is described using interface arcs and denotes the transfer of materials and/or information from the outputs of one process to the inputs (controls, mechanisms) of another process.

In the IDEF0 methodology, 5 (five) types of interactions between blocks within one diagram are allowed:

Control;

Exit Input;

Management Feedback;

Login feedback;

The way out is a mechanism.

	Control relationship: the output of one process affects the execution of another process, i.e. the output arc of block 1 is the control arc for block 2. In STB ISO 9001, such interaction defines the control function “management responsibility” in relation to other processes
	Input relationship: the output of one process is the input for another, i.e. the output arc of block 1 is the input arc for block 2. This interaction is typical for any processes in the organization, for example, for life cycle processes
	Control feedback: Outputs from one process affect the execution of other processes, the execution of which in turn affects the execution of the original process. The output arc of block 1 is the control arc for block 2, and the output arc of block 2 is the control arc for block 1. In STB ISO 9001, such interaction can determine: Management function "management responsibility"; Management function “life cycle process management”; Management function "measurement, analysis and improvement"
	Input feedback: the output of one process is the input to another process, whose output is its input, i.e. the output arc of block 2 is the input arc for block 1, the output of which is its input. In STB ISO 9001, such interaction can define the management function “life cycle process management”
	The “output-mechanism” relationship: the output of one process is a mechanism for another, i.e. the output arc of block 1 is the arc of the mechanism for block 2. This type of connection most often refers to the processes of providing resources. In STB ISO 9001, such interaction can determine the management function “resource management”

Practice shows that the listed five types of interactions are sufficient to determine the interactions between processes of any complexity.

The description of interactions within the functional process model will be complete when its interface arcs are defined for each functional block.

Note - The IDEF0 methodology stipulates that each block in the model must contain at least one arc of input, output, control and mechanism. There is a short list of exceptions to this rule.

Let's consider the interactions between the processes that make up the business process “Produce women's coats” (Figure 7).

The process “Implement top management's responsibility for quality management” is the driving process for all other processes. Accordingly, the output of this process - “Policy, goals, quality management, quality programs” is the control input for all other processes presented in the diagram (Figure 7).

The process “Carry out resource management” has an “output-mechanism” connection with the processes “Implement life cycle processes” and “Carry out measurements, analysis and improvement of the QMS”.

The diagram shows the feedback loop: the output of the process “Measure, analyze and improve the QMS” with the input of the process “Implement the responsibility of top management for quality management”

Note - The rule of completeness of the IDEF0 functional model exactly corresponds to the requirements of STB ISO 9001 in terms of the fact that each process must be provided with resources (arcs of mechanisms in the IDEF0 model), controlled (arcs of control), produce output products (output arcs), processing materials and/or information arriving at its inputs (input arcs).

Figure 7 - Inter-Process Interactions

5.2.1.4 Process decomposition

The number of levels of process detail is determined by the goals of modeling and the specifics of the activity of the modeled organization.

Within the framework of this methodology, the main purpose of process modeling is to analyze the compliance of the process with the requirements of the quality management system.

In diagram A0, the business process “Produce women's coats” is presented in the form of 4 processes. Diagram A0 is the first level of decomposition (detail) for this process. Each of the 4 processes presented can in turn be decomposed. Figure 8 shows the decomposition of the “Implement life cycle processes” process.

In diagram A3 (Figure 8), the “Implement life cycle processes” process is presented in the form of six processes, including “Perform procurement,” which can also be decomposed (Figure 9).

Figure 8 - Decomposition of the process “Implement life cycle processes”

Figure 9 - Decomposition of the “Purchase” process

5.2.1.5 Process glossary

The process glossary includes a list of processes, objects processed within processes, and their definitions.

The glossary is organized in alphabetical order list of terms. Each term from this list corresponds to a definition or a link to the corresponding definition given in the regulatory documents of the organization or higher authorities, regulations, etc.

For example, for diagram A34 (Figure 9), the glossary fragment will look like this:

5.2.2 Classification of processes within the IDEF0 model

In accordance with the IDEF0 methodology, the model consists of two types of elements: function blocks, which represent processes, and interface arcs, which represent material and information objects processed within processes.

Accordingly, the classification of processes presented in the form of IDEF0 models is a classification of functional blocks and interface arcs that make up the IDEF0 model.

In order to classify a process, it is sufficient to perform the following two-step procedure, i.e. classify interface arcs and functional blocks.

5.2.2.1 Classification of interface arcs

Within the IDEF0 model, arcs, depending on their position on the diagram, are divided into 4 categories: input, output, control and mechanism.

Additionally, arcs can be classified depending on the type of objects they represent in the diagram. These categories may include:

Materials, raw materials, products, resources;

Information, data, quality records, documents;

Management orders, plans, schedules, administrative documents;

Standards, regulatory documents;

Responsible executives, employees of the organization, etc. (Figure 10).

Figure 10 - Typical elements of a process described according to the rules of the IDEF0 methodology

In order to highlight elements of a certain type in the IDEF0 model, the modeling uses pre-agreed conventions on the graphic style of representing such objects. Because arcs in the IDEF0 model are represented by straight and broken lines, the graphic style for arcs includes conventions about line color, line thickness, line type (solid, dotted, dash-dotted, etc.), and the type of arrow at the end of the arc.

Note - Graphic style conventions for representing objects various types are not integral part IDEF0 standard. This approach was first proposed by Orientsoft in 1996 and implemented in the IDEF0/EMTool tool. The approach has been successfully applied at a number of enterprises and organizations in the CIS countries, as well as the USA and Canada.

The classification of objects belonging to the process is carried out by the developer of the functional model. The developer sequentially, diagram by diagram, marks (labels) lines (interface arcs) depending on the types of objects that these lines represent in the IDEF0 model.

For example, when creating a functional model of the business process “Produce women’s coats”, the following conventions for representing objects were defined:

- present quality information using thick (2pt thick) solid blue lines;

- present orders, plans, schedules using thick (2pt thick) solid red lines;

- present raw materials, materials, products using thickened (thickness – 2pt) solid lines of brown color;

- represent responsible executors in processes using thickened (thickness – 2pt) solid black lines;

- present job descriptions, regulatory documents, and quality manuals using thick (2pt thick) solid purple lines.

Let's consider a diagram representing the decomposition of the “Implement life cycle processes” process (Figure 11).

In a diagram, different types of objects are represented by different graphic styles according to conventions. In particular, “Consumer Requirements” and “Design Documentation” belong to the category of requirements. They are represented on the diagram by thin solid red lines. “External information”, “Information from departments”, “Information for consumers” belong to the category of information (quality records) within the quality management system. By convention, the lines representing these objects on the diagram are represented by thin, solid green lines.

Note - The ultimate goal of "coloring" diagrams is to classify a particular object on the diagram into a predefined category of objects, i.e. classify an object. The combination of graphical attributes that are used to display objects is one way to label an object. The use of styles when constructing diagrams significantly increases the “transparency” of the description of processes during their subsequent analysis and improvement.

5.2.2.2 Classification of function blocks

Function blocks in the IDEF0 model can be classified depending on the types of processes they represent. The types of processes depend on the problems solved using functional models. Within the framework of this document, for functional models, the types of processes that are regulated in STB ISO 9001 (subsection 4.2.4), as well as in subsection 5.1, subclause 2.2 of this methodology, should be used.

In order to highlight processes of a certain type in the IDEF0 model, the modeling uses pre-agreed conventions on the graphical style of representing the corresponding functional blocks. The graphic style for blocks includes conventions for border color, border thickness, border type (solid, dotted, dot-dotted, etc.), rectangle color, and the color, size, and type of font used to display the block name.

The classification of processes is carried out by the developer of the functional model. The developer sequentially, diagram by diagram, marks (labels) functional blocks depending on the types of processes that these blocks represent in the IDEF0 model.

Let's consider the functional model (description) of the process “Implement life cycle processes” (Figure 11). The “Plan Processes” process shown in the diagram is of the type management processes; This conclusion is also supported by the fact that the output of the “Plan Processes” process is the control for the remaining processes presented in the diagram.

The processes “Interact with consumers”, “Develop new models”, “Purchase”, “Sew coats” and “Make deliveries” belong to the category of life cycle processes, since the inputs and outputs of these processes are material resources, as well as requirements consumers and information for consumers.

Figure 11 - Classification of the process “Implement life cycle processes”

5.2.1 Identification of processes within the IDEF0 model

In the IDEF0 methodology, there are several parallel ways to identify processes:

Process top code. All functional blocks (processes) in the IDEF0 model have identification codes. Each identification code begins with the prefix “A”, followed by the parent block number and the block number on the diagram (Appendix A). The vertex code allows you to uniquely identify the process within the functional model.

Note – Such coding is used, for example, when creating regulatory or methodological documents. The document consists of sections 1, 2, 3. ... Each section consists of subsections 1.1, 1.2, 2.1, 2.2, 2.3, ..... In turn, each subsection can be detailed (decomposed) into paragraphs 1.1.1, 1.1.2, 2 ,1.1, 2.1.2, etc.;

Process reference number. The IDEF0 methodology provides the ability to assign reference (special) numbers to any process represented in the model. The structure of the reference number is determined by the rules adopted by the organization for these purposes;

Process name. Each process in the IDEF0 model has its own name. This name can be used as a process identifier if, when developing the IDEF0 model, the agreement on the uniqueness of process names in the model was observed.

Within the IDEF0 model of the business process “Produce women’s coats,” the processes have the following names, vertex codes and reference numbers given in Table 1.

Table 1 - Identification of processes in the IDEF0 model

Process name
Produce women's coats
Implement the responsibility of senior management for quality management
Perform resource management
Implement life cycle processes
Plan processes
Interact with the consumer
Develop new models
Make purchases
Plan purchases
Prepare procurement documentation
Carry out procurement and control thereof
Carry out production processes
Deliver products
Measure, analyze and improve the QMS
Note - Identification of processes within IDEF0 models using vertex codes is provided automatically in various tools (computer programs) that support the IDEF0 standard.

5.2.4 Documenting processes in IDEF0 models

The composition of documents on processes used for their further management (planning, support, management, improvement) includes two types of documents:

Process map;

List of processes.

Note – A process map is usually supplemented with accompanying information that specifies the elements of the process depicted on the map. Accompanying information may be presented in various forms. For example, in the form of a separate document, similar to an explanatory note for a design or technological project. In the case of using software tools for functional modeling (IDEF0/EMTool), their interface provides for entering accompanying (clarifying elements of the described process) information directly into the process model and calling up this information at any time for the purposes of clarification, analysis, and improvement.

5.2.4.1 Process map

To document processes in the IDEF0 methodology, special “Process Map” forms are used.

The Process Map form is designed in such a way that the fields containing operational information about the process are located at the top of the form, and the fields containing identification information are at the bottom of the form. In the middle part of the form there is a field that contains a description of the process, i.e. graphic diagram or text. The “Process Map” form is presented in Figure 12.

Used in:					Reader Date	Context
				Draft
	Notes: 1 2 3 4 5 6 7 8 9 10			Publication
	Name
Note - Examples of process maps are presented in Figures 8, 9, 11.

Figure 12 - Form "Process Map"

The form includes the following fields:

Section "Working Information":

Field "Author/Date/Project". This field contains information about who created the diagram, when the diagram was created, and what project it belongs to. The “Date” field may also contain the dates of subsequent revisions of the diagram that follow the creation date;

"Remarks" field. In this field, the reader notes comments that he makes to the diagram. Each remark and comments thereon are assigned a number from 1 to 10. The corresponding number is crossed out in the “Remarks” field. This procedure ensures that the user and designer do not miss any comments made on the diagram;

Field "Status". This field displays the current state (version) of the document. The document may currently have one of the following versions:

- “WORKING”. The diagram contains major changes that require re-approval. New diagrams are always assigned working status;

- “DRAFT”. The chart contains minor changes compared to the previous version;

- “PUBLICATION”. After review and approval by the working group, the diagram receives the “Publication” status. After this, it is forbidden to make any changes to the diagram without a special decision of the working group.

Field "Context". This field indicates graphically or otherwise the hierarchy level (place) of this diagram in the overall structure of the business process description, for example, Figure 8.

Section "Identification Information":

Top field. This field contains the code of the parent block, the decomposition of which is presented in the diagram;

Field "Process name". This field contains the name of the process represented in the diagram;

Field “C-Number” (“Number”). This field contains the reference number of the process represented in the diagram;

Field "Page" ("Page"). This field indicates the page number in the document to which this diagram relates.

5.2.4.2 List of processes

To document the list of processes in the IDEF0 methodology, a special form “List of Processes” is used (Figure 13).

The form contains a set of special fields in which information about the developer (author) of the document is entered; the date of its creation; corrections made to the document; dates of these changes, as well as other information necessary to manage process documentation.

The middle part of the form is an area in which information about descriptions of processes in the organization is entered. The process description is a line containing the following information:

- "Page". Page number on which the process description is located;

- “Top”. The number of the functional block in the IDEF0 model, which represents a description of the process;

- "Name". The name of the functional block representing the process;

- “C-Number”. Reference (identification) number assigned to this process in the organization;

- “Status”. Process description status. It may be one of the following: “P” – working version; “P” – publication.

The lower part of the form contains information about the name of the list of processes (models), as well as the reference number of the list of processes.

Document Number							Corrected
		Project No.
	Top/Title/C-number					Top/Title/C-number
			Name of document/model

Figure 13 - Form “List of Processes”

For example, the business process “Produce women’s coats” at a clothing factory contains a number of processes, a list of which is presented in Figure 14.

Document number UK001							Corrected
		Project No. 001
	Top/Title/C-number					Top/Title/C-number
	A0 “Produce women’s coats”					A343 “Perform procurement and control”
	A1 “Implement the responsibility of top management for quality management”
	A2 “Carry out resource management”
	A3 “Implement life cycle processes”
	A4 “Carry out measurements, analysis and improvement of the QMS”
	A31 “Plan processes”
	A32 “Interact with consumers”
	A33 “Develop new models”
	A34 “Purchase purchases”
	A35 “Sewing a coat”
	A36 “Supply products”
	A341 “Plan purchases”
	A342 “Prepare procurement documentation”
			Name of document/model

Figure 14 - Example of a document “List of processes in a garment factory”

6 Procedure for carrying out work to define, classify and identify processes

6.1 General provisions

Defining, classifying and identifying processes in a quality management system is a complex, dynamic and iterative process. Effective management of a process description project should be a process that coordinates the work of developers, experts, and those who approve the final version of documents containing the description of processes or parts of processes.

Figure 15 presents a process model for defining, classifying and identifying processes.

Definition, classification and identification as a process includes:

Collection of information about the process under study;

Documenting the information received;

Presentation of information in the form of a model;

Classification of the process within the model;

Model refinement through iterative review, acceptance, and approval.

6.2 Preparatory stage

Definition, classification and identification of processes should begin with preparatory stage which includes:

Statement of purpose, point of view on the presentation of future process models and their intended use in the future;

Formation of a working group from among the organization’s employees and/or attracted specialists;

Coordination of plans and deadlines for the project among all participants, appointment of responsible executors for the project, as well as drawing up and approval of deadlines and budget for the project.

6.3 Procedure for creating a model

6.3.1 Collection of information

To obtain the most complete information, you can use various sources (review of documents, surveys and questionnaires, observation of the work of employees in departments of the organization, etc.).

NOTE: The selection of information sources should be guided by the specific purpose of creating the future process model. This means that developers must determine their information needs before selecting another source.

6.3.2 Documentation of information received

At this stage, process models are created. The developer documents the knowledge he has acquired about the processes being studied, presenting it in the form of one or more IDEF0 diagrams.

The process of creating a model is carried out using the decomposition method. Having chosen the process that he will describe, the developer fixes its framework (context), paying attention to the input and output objects of the process and its constituent elements. To document process information, the designer creates an A-0 diagram. The process in this diagram is represented by one block, within which the developer records the name of the process. Using arcs, the developer records the inputs, outputs, controls and mechanisms of the process.

An example of diagram A-0 is shown in Figure 5.

Figure 15 - Definition, classification and identification of processes

6.3.3 Diagramming

Although the top of the model is the A-0 diagram, the real “working top” is the A0 diagram because it is a refined expression of the model's point of view. Its content shows what will be considered next, limiting subsequent levels within the purpose of the model. The lower levels clarify the structure and content of the modeled process, detailing it, but not expanding its boundaries.

NOTE The first steps are particularly challenging for the designer because they require, while maintaining a certain level of abstraction of the process description, to observe the gradual deepening of the model towards more detailed levels of process detail.

An example of diagram A0 is shown in Figure 6.

When detailing, decomposing each block of the A0 diagram, it is necessary to reflect in more detail what is presented on the parent block. This may require additional collection of information about the system being modeled. Therefore, having made a preliminary sketch of the child diagram, it is necessary to list all objects and clarify the list of processes, the execution of which will ensure the execution of the process in question, described by the parent block.

Having unstructured lists of objects and processes, you can begin to graphically represent individual blocks and connect them using arcs. As a rule, the initially created diagram will subsequently have to be modified several times, breaking its blocks into parts or combining them in order to achieve maximum clarity. To more accurately display details and identify bottlenecks that require clarification, it is recommended to create 2 to 4 diagrams at once, thus tracking their relationships.

Notes

1 Once a diagram has been created, it is usually accompanied by accompanying text, a glossary, and sometimes an illustrative diagram. The text associated with the diagram explains how it fits the purpose and point of view, making the material easier to understand for readers. At the same time, the text succinctly describes the process presented in the current diagram, without duplicating what is obvious from its content.

2 The glossary provides a description of the terms and concepts used in constructing the diagram. Having a glossary is very important because the terms used may have completely different meanings in a different context.

6.3.4 Checking the correctness of the model

One of the main components of the IDEF0 modeling methodology is iterative review, during which the developer and the expert confer repeatedly (orally and in writing) regarding the reliability of the model being created. Iterative review is called the developer/reviewer cycle.

The developer/expert cycle begins when a developer submits a piece of the model to get feedback on it. The material is formatted in the form of “folders”, i.e. small “packages” of work results that are critically discussed by other specialists over a period of time. Written comments made are also placed in a “folder” as numbered comments. “Folders” with comments are thus the feedback that developers receive on their work. Readers are those who read and criticize the model being created, and then put comments into “folders”. Collaboration between developers and experts is possible because the graphical IDEF0 diagramming language allows you to create diagrams and models that can be easily and quickly read. (The simplicity of the graphical language is therefore not accidental. It allows you to get an idea of ​​the process, on the basis of which you can give a reasonable conclusion about the reliability of the resulting model).

After reviewing, all comments are sent to the developer. The developer responds to each comment and summarizes the criticism contained in the comments. With the help of such discussions, ideas can be exchanged fairly quickly regarding the content of the model.

Notes

1 The IDEF0 model is built based on the actual situation. The models go through a series of incremental improvements until they accurately represent the actual process.

2 The IDEF0 methodology supports both parallel and asynchronous model review, which is the most efficient way to distribute work in a team. This is due to the fact that an IDEF0 model is very rarely created by a single developer. In practice, multiple developers can work together on different parts of the model because each process in the model represents a separate entity that can be independently analyzed and decomposed.

6.4 Process classification order

The classification of objects belonging to the process in the “as is” notation is carried out by the developer of the functional model.

Classification is carried out in two stages. At the first stage, the developer sequentially, diagram by diagram, marks (labels) lines (interface arcs) depending on the categories of objects that these lines represent in the IDEF0 model.

In the second stage, the developer analyzes the functional blocks. Based on the inputs and outputs of each block, the designer makes a decision about which process category the functional block in question belongs to.

6.5 Process identification procedure

In the process of creating a model, the developer must assign names and vertex codes to all functional blocks of the model.

Note - If a program that supports modeling in the IDEF0 standard is used when creating a model, the operation of identifying functional blocks is carried out automatically.

On last stage When developing a model, the developer should assign reference numbers to all or individual processes in accordance with the rules (standards) for process identification adopted in the organization.

6.6 Model approval procedure

It should be remembered that IDEF0 models are created for a specific purpose and this purpose is recorded in the A-0 diagram of the model. In a sense, this purpose determines how the model will be used. Thus, once the model has been completed to the required level of detail and the model has been verified, it can be used to achieve the desired goal.

For example, the model “Produce women's coats” was created to describe the activities of employees of a clothing factory. If this model accurately describes the work of personnel in a factory, but cannot serve to analyze and improve the process, then it is useless.

During the IDEF0 modeling process, it is recommended to identify a special group of people responsible for ensuring that the model created during the analysis process will be accurate and used in the future. This group is responsible for quality control of models created by project developers. The working group monitors the work being performed and its compliance with the final goals of the entire project. Working group members discuss the model and evaluate how it can and will be used appropriately throughout the project to achieve its overall goals.

Thus, the working group is in the most advantageous position in determining the current direction of development of the project and developing proposals for its adjustment. The working group implements this through reviews. Models that achieve the desired level of detail and accuracy in terms of technical requirements are sent to the working group members for discussion and approval. The working group assesses the extent to which it is applicable this model. If the model is considered applicable by the working group, it is approved and approved. Otherwise, comments are sent to the developers for the necessary improvements.

7 Prospects for the use of functional models in quality management systems

7.1 Prospects for IDEF0

IDEF0 methodology is a formalized approach to creating functional models - structural diagrams of the process or system being studied. The diagrams are built according to a hierarchical principle with the necessary degree of detail and help to understand What occurs in the system or process being studied, what functions are performed and what relationships they enter into with each other and with environment its functional blocks. The IDEF0 model fundamentally cannot answer questions about How processes occur in the system in time and space.

In this case, it is recommended to move on to other models - mathematical, simulation, describing processes in the functional blocks of the IDEF0 model. According to the terminology adopted in process research, IDEF0 models belong to the class conceptual. It is conceptual models that are the basis for constructing imitation And mathematical.

7.2 Creating models for process management

For process management in the IDEF family of methodologies, there is a process modeling methodology - IDEF3. The fundamental difference of the IDEF3 methodology is the ability to simulate the dynamics of processes, i.e. how processes are directly executed in the organization.

IDEF0 and IDEF3 are complementary modeling methodologies. The IDEF0 model answers the question, What the organization does. The answer to the question is How an organization does what it does is contained in the IDEF3 model. This correlates with various aspects of the process approach in STB ISO 9000 (description and management of processes, Figure 1).

The IDEF3 methodology is an alternative to the widespread approach of describing processes using flowcharts. An important advantage of the IDEF3 methodology is the ability to describe parallelly executed, as well as competing (alternatively executed) processes within a single model.

Another advantage of the IDEF3 methodology is its close integration with other methodologies of the IDEF family: IDEF0, IDEF1X, IDEF2, IDEF4, IDEF5, IDEF9. Such integration allows you to describe, analyze and manage the activities of an enterprise from a unified methodological position.

7.3 CASE process modeling tools

Currently, there is a separate class of computer programs - CASE tools that support the IDEF0 methodology both at the model level and at the level of organizing modeling work.

The most common CASE tools that provide support for the IDEF0 methodology are the following products:

Design/IDEF program of the American company Meta Software;

BPWin program from the American company Logic Works;

IDEF0/EMTool program by the Belarusian-Canadian company Orientsoft.

Almost all of the products listed provide:

A wide range of graphical tools for creating and editing a functional model;

Checking the correctness (verification) of the functional model;

Generation of various reports based on the functional model;

Integration of functional models with other models that describe the activities of the enterprise, for example with information and dynamic models.

Appendix A
(informative)
Functional modeling methodology IDEF0

This appendix provides brief information about the IDEF0 functional modeling methodology. More details about the IDEF0 methodology can be found in -.

A.1 History of the IDEF methodology

A large number of different approaches and methods have been developed to describe processes in the world. In the early 70s, D. Ross in the USA proposed the method of structural design and analysis of SADT (Structured Analysis and Design Techniques) systems. This approach is based on a graphical language for describing (modeling) systems.

In the mid-70s, the US Air Force implemented the ICAM (Integrated Computer Aided Manufacturing) program. This program developed methods for the design and analysis of complex manufacturing systems, as well as ways to exchange information between specialists dealing with such problems. To meet these needs, within the framework of the ICAM program, the IDEF (ICAM Definitions) methodology was developed, which allows one to present and study the structure, parameters and characteristics of production, technical and organizational-economic systems. Processes that describe the activities of an organization belong specifically to this class of systems.

Currently general methodology IDEF includes a number of proprietary methodologies for modeling systems, including:

IDEF0 – functional modeling;

IDEF1 – information modeling;

IDEF1X – data modeling;

IDEF3 – process flow modeling;

IDEF4 – object-oriented design and analysis;

IDEF5 – definition of ontologies (dictionaries);

IDEF9 – requirements modeling.

A.2 Basic elements and concepts of IDEF0

The IDEF0 methodology is based on a simple and understandable graphical language for describing business processes, which is based on four concepts.

A.3 Function block

A functional block is graphically depicted as a rectangle (Figure A.1) and represents a specific process (function) within the modeled system, for example, an organization’s quality system. In accordance with the IDEF0 requirement, the title (name) of each functional block must be formulated in the form of an active verb expression:

verb + action object + [object]

For example, “Produce products”, “Process quality records”, etc.

Figure A.1 - Function block

Each of the four sides of a function block has a strictly defined meaning:

The left side denotes the inputs, i.e. what comes to the input of the process (function) and will be converted;

The right side is the exit, i.e. what is created at the output of the process (function) as a result of its execution;

The top side is management, i.e. under what conditions the process is executed;

The bottom side is the mechanism, i.e. what resources are needed to execute the process (function).

Each functional block within the functional model has its own unique identification number and can be assigned to a specific classification group by highlighting it with a style (color, shading, etc.).

A.4 Interactions between processes (interface arcs)

Interface arcs are arrows that are used to display interactions between functional blocks in a functional model. An arrow is a graphical representation of an element that is processed within the modeled system (process) or has another impact on the process.

In accordance with the IDEF0 standard, each arrow in the functional model has its own unique name in the form of a noun with or without a definition, for example “operational data”, “raw materials”, “Ivanov I.I.” etc.

Depending on which side of the function block the arrow is attached to, it is called "input", "output", "control" or "mechanism". In addition, by analogy with a block, an arc can be assigned to a certain classification group by highlighting it with a style (color, geometry, etc.).

A.5 Decomposition principle

The principle of decomposition (structuring, detailing) is used when breaking a complex process into its constituent processes. In this case, the level of detail of the process is determined by the goals of building the model and is set directly by the model developer. Decomposition is a process during which the developer looks inside a functional block and examines (displays) its internal structure.

The IDEF0 model always begins by representing the process being modeled as a single functional block with interface arcs that define the boundaries (framework) of the process, separating it from other processes in the organization or outside it. The diagram containing this block (its number is A0) is called a context diagram with the identification number “A-0”.

During the decomposition process, the functional block A0 is detailed in a child diagram. The child diagram contains function blocks that represent the processes that make up the process being decomposed. In relation to the child diagram and all the blocks on it, the decomposed block is the parent block.

Note - According to IDEF0, any block in a diagram at any level of the hierarchy can be decomposed.

Figure A.2 provides an example of a process decomposition.

	The diagram of the highest level of the hierarchy - A-0, describes the most general idea modeled system. It is the parent of diagram A0.
	Diagram A0 is a decomposition (child diagram) of A-0 and gives a more detailed representation of the function in block 0. Decomposed block 3 is the parent of diagram A3.
	Diagram A3 is a decomposition of block 3 of diagram A0 and illustrates the internal content of the block in the parent diagram. Block 1, decomposed in diagram A3, is the parent of diagram A31.

Figure A.2 - Function block decomposition

Figure A.2 - Function Block Decomposition (continued)

Appendix B

(informative)

An example of a process model for the production of women's coats in a garment factory

This example summarizes a model (description) of a business process at a clothing factory – “Produce women’s coats.”

The purpose of the model is to reflect how the requirements of STB ISO 9001 are met within the process.

The point of view is expressed by the factory management.

Three levels of business process decomposition are presented in Figures B.1 - B.4.

Figure B.2 shows the details of the business process “Produce women’s coats.” An analysis of the compliance of the business process “Produce women’s coats” with the requirements of STB ISO 9001 is given in Table B.1. In the presented description of the business process, at this level of detail, all processes that are mandatory in terms of the requirements of STB ISO 9001 are present.

Table B.1 - Compliance of the business process at the factory with the requirements of STB ISO 9001

Requirements STB ISO 9001	Implementation of requirements
Section 5 Management Responsibilities	Process A1. “Implement the responsibility of senior management for quality management.” Process inputs A1. Arcs “External information”, “Documents regulating the business process”, “Initiatives to improve the QMS”. Output of process A1. Arc "Policy, goals, quality management, quality programs"
Section 6 Resource Management	Process A2. “Carry out resource management.” Process inputs A2. Arcs “Documents regulating resource management processes”, “Policy, goals, quality management, quality programs”, “Resources for organizing enterprise processes”. Output of process A2. Arcs “Resources for life cycle processes and processes of measurement, analysis and improvement of QMS”, “Quality information”
Section 7 Life Cycle Processes	The diagram at this level of detail represents this process implicitly within process A3, Implement Life Cycle Processes. Inputs A3. “External information”, “Raw materials for production of products”, “Policy, goals, quality manual, quality programs”, “Documents regulating life cycle processes”, “Resources for life cycle processes”. Outputs A3. “Batches of products ready for shipment”, “Information for consumers” (about quality), “Information on quality” (internal information)

End of Table B.1

Figure B.3 shows the details of process A3 “Implement life cycle processes.” An analysis of the compliance of the business process “Produce women’s coats” with the requirements of STB ISO 9001 is given in Table B.2. The diagram contains all the processes required from the point of view of STB ISO 9001.

Table B.2 - Compliance with the Implement Life Cycle Processes process

at the factory to the requirements of STB ISO 9001

Requirements STB ISO 9001	Implementation of requirements
Section 7.1 Product life cycle process planning	Process A31. "Plan processes." Process inputs A31. Arcs “Policy, goals, quality manual, quality programs”, “Documents regulating life cycle processes”, “External information”. Outputs of process A31. Arcs “Programs...”, “Quality Information”
Section 7.2 Consumer Processes	Process A32. “Interact with the consumer.” Process input A32. Arc “External information”, “Marketing programs”, “Documents regulating life cycle processes”. Process output A32. Arcs “Information for consumers”, “Consumer requirements”, “Information from departments”
Section 7.3 Design and Development	Process A33. “Develop new models.” Process inputs A33. Arc “Consumer Requirements”, “Programs...”, “Documents regulating life cycle processes”. Outputs of process A33. Arcs “Design documentation”, “Information from departments”
Section 7.4 Procurement	Process A34. "Make purchases." Process inputs A34. Arcs “Raw materials and supplies for production”, “Purchasing programs”, “Documents regulating life cycle processes”. Outputs of process A34. Arcs “Raw materials and materials for the production of batches of products”, “Information from departments”

End of Table B.2

Requirements STB ISO 9001	Implementation of requirements
Section 7.5 Production and service	Process A35. "Sewing a coat." Process inputs A35. Arcs “Raw materials and supplies for the production of batches of products”, “Design documentation”, “Production programs”, “Documents regulating life cycle processes”. Outputs of process A35. Arcs “Batches of finished coats”, “Information from departments”
Section 7.5.5 Maintaining Product Conformity	Process A36. "Supply products." Process inputs A36. “Supply programs”, “Documents regulating life cycle processes”, “Batches of finished coats”. Outputs of process A36. “Batches of products ready for shipment”, “Information from departments”
Section 7.6 Managing control and measuring instruments	This process is not represented in the diagram, since within the framework of the model it is classified at a lower level of the process hierarchy. It is part of the "Measure, Analyze and Improve" process

Figure B.4 shows the details of the “Make purchases” process. This level of detail reflects the specifics of the clothing factory's activities, which may be different from the activities of other similar organizations. However, this description also contains elements that are mandatory from the point of view of STB ISO 9001. Table B.3 shows the compliance of the “Purchase” process with the requirements of STB ISO 9001.

Table B.3 - Compliance of the Procurement Process with Requirements

STB ISO 9001

Requirements STB ISO 9001	Implementation of requirements
Section 7.4.1. Procurement process	Diagram (process map) including processes A341 – A343
Section 7.4.2. Purchasing information	Process input A341. Arc "Procurement Programs". Process output A341. Arc "Purchasing Plans". Process output A341. Arc “Information from departments.” Output of process A342. Arc "Purchasing Schedules". Output of processes A342-A343. Arcs “Internal information of the supply service.” Process output A341. Arc "Information for suppliers". Process inputs A341, A342. Arcs “Information from suppliers”
Section 7.4.3. Verification of purchased products	Process A343. “Carry out procurement and control thereof”

Figure B.4 - Detailing of the “Purchase” process

Appendix B
(informative)
An example of a functional model of the TV chassis manufacturing process

This example shows the possibility of using the technique of creating fragments (“sketches”) of simulated processes using FEO diagrams (For Exposition Only) within the IDEF0 model. The model of the business process “Produce a color TV” (RUE “Gorizont”, Minsk) is quite complex and represents a highly branched network (system) of processes of all possible categories (STB ISO 9001, subsection 4.2.4, and subsection 5.1 of this methodology). It is obvious that it is practically impossible to describe processes within the framework of a large complex model immediately “cleanly”. FEO diagrams allow you to sketch individual fragments of processes, accumulate “sketches” of diagram projects for the purpose of possible use for the model. FEO diagrams are performed according to the simplified rules of the IDEF0 methodology.

The figure shows FEO - a life cycle diagram of the Horizon color TV chassis as a “sketch” of a fragment of the entire business process. The purpose of the “sketch” is to describe the life cycle process “Assemble a color TV chassis” according to the rules of the IDEF0 functional modeling language. The “sketch” is subject to discussion, necessary clarification and detail. Once discussed and approved, it can be "embedded" by copying it into the main model.

REVISION:

Figure B.1 - Project model of the process “Assembling a color TV chassis”

Appendix D
(informational)
Bibliography

David Marka, Clement McGowan. Methodology of structural analysis and design. Per. from English M.: 1993, 240 pp., ISBN 5-7395-0007-9

INTEGRATION DEFINITION FOR FUNCTION MODELING (IDEF0). Draft Federal Information Processing Standards Publication 183, 1993, December 2

R 50.1.028-2001. Functional modeling methodology. M.: Gosstandart of Russia, 2001

Hammer M., Champi D. Reengineering the Corporation: A Manifesto for a Revolution in Business. - St. Petersburg: St. Petersburg. University, 1999.- 332

ISO 9000 Introduction and Support Package: Guidelines on the Process Approach to quality management systems. ISO/TC 176/SC 2/N 544R. May 17, 2001

Quality management and international standards ISO 9000 version 2000. Materials of the seminar within the framework of the ISO Program for developing countries. Minsk, July 2001 79 p.

ISO 9000 Introduction and Support Package: Guidance on the Documentation Requirements of ISO 9001:2000. ISO/TC 176/SC 2/N 544R. March 13, 2001

Okulessky V.A. Functional modeling is the methodological basis for implementing the process approach. M.: Scientific Research Center of CALS-technologies “Applied Logistics”, 2001

Rakhlin K.M. MS ISO 9000 series version 2000: the essence and content of the process approach. M.: Standards and Quality, No. 3, 2001

Information Integration For Concurrent Engineering (IICE). IDEF3 Process Description Capture Method Report. Knowledge Based Systems, Inc., Texas, USA, 1995

The requirements for a quality management system (QMS), set out in the ISO 9001:2008 standard, as in its previous version, begin with clause 4.1, which states that “the organization shall: a) define the processes necessary for the quality management system, and their applicability for the entire organization (see clause 1.2).” Soon it will be 10 years since we define these “necessary processes”, and we still can’t define them. The task seems to be methodologically simple, but the “viscosity” is as if we are fighting smoking. But I wonder if such a comparison arises by chance?

Any social engineer knows that the best way to distract society from real economic and political problems is the announcement of a ban on something like that... Identification of QMS processes does not seem to be prohibited, but it serves to distract attention from the quality of products and the competitiveness of the organization. What methods of identifying the necessary processes the author, when he was an auditor, did not have to see, or at least read about them!

Attempts to simplify the difficult and unsightly life of a QMS developer have indeed been made many times. The author is still impressed by the classification of processes into “macro-, mega- and main” [1], and by “defining the total number of QMS processes that can be identified within the gemba, where ni— number of processes per i- stage of the gemba" [ 2 ] ...

“Pure mind games” with the words “process”, “type of activity” and “work” are also good. You can speculate on the topic of what is a “process” and what is a “business process”, you can talk about “life cycle processes”... The author does not want to, but I have to mention (due to its widespread use) an approach to identifying QMS processes based on the table of contents of the standard and leading to the documentation of remarkable processes such as “the process of developing a Quality Policy”, “the process of assigning authority and responsibility” and “the process of measurement, analysis and improvement”. I would like to add a very fair statement that “the developers of the ISO 9001 standard do not have a common understanding of what a process is: in one case they consider it a generalized representation of an activity (definition in ISO 9000), and in others – the activity itself” [ 3 ] , the obvious conclusion is that QMS developers, due to these and other circumstances, do not have a common understanding of what necessary QMS processes.

Due to the specifics of his activity (not the process!) as a consultant and auditor, the author made several observations.

OBSERVATION 1. Not all processes carried out in an organization planning to develop and implement a QMS are equally necessary for the QMS.

The author previously assumed that “there are processes whose output is products or services that are valuable to the consumer, and there are functions for managing these processes and the system as a whole. These management functions are either carried out (and then there is a management system) or not (and there is no system either) - that, in fact, is all that an enterprise needs to start from when developing and implementing a QMS” [4].

Judging by the fact that the question of the connection between QMS and the value of “output” for the consumer remains pressing, this thesis requires additional clarification. Let me note right away that in our consulting activities we rely on common sense and simple recipes, so the examples given below may seem primitive. However they work...

So, the basic premise is that ISO 9001 requires the identification of not “QMS processes”, but “processes REQUIRED for a QMS”. Why process system Are some processes more necessary than others? For what purpose is it worth highlighting some processes and not taking others into account? If only because the word “goal” is no less hackneyed and uninteresting than the word “process” [5], it is interesting to look under this “lying stone”.

For what purpose is this or that process performed? The standard states that a process is a set of interrelated activities that transform input into output. It also postulates that products are the result of a process. It's obvious that purposeful(we're talking about management we say!) the transformation of input into output is carried out in the case when it is necessary to obtain a predictable result in the form of a product or service (there are also spontaneously occurring processes - for example, mountain building, volcanic eruptions or precipitation). Wait, here's the next observation.

OBSERVATION 2. The result of the process should not be unexpected, it should be of interest to someone, have a specific consumer.

The definition of a business process, dating back to T. Davenport, as “a set of completed works performed to obtain a product that has measurable consumer value for a specific consumer” definitely adds meaning [6]. So in the ISO 9001 standard - about the same thing (see paragraphs 7.2.1, 7.2.3, 8.2.1, 8.2.4, 8.4). Do low-quality products have value for the consumer? Hardly. A quality management system aimed at producing quality products must consist of processes directly or indirectly aimed at producing quality products.

OBSERVATION 3. The customer value of a product, expressed as “product quality,” can be considered as the basis for classifying the processes required for a QMS.

All that remains is to determine the characteristics of the product that are important for this product to have the right to be called “high-quality”... In other words, product quality criteria. The question couldn’t be simpler, but a direct answer to it can be difficult to get.

Sometimes an organization prefers to reduce quality to “regulatory documentation requirements”, sometimes to “the absence of customer complaints”, sometimes to the number of extended contracts or won tenders. And almost never - to a table that simply and transparently lists the key characteristics of the product. It is interesting that each department in the organization at the initial moment of QMS development has its own ideas about these characteristics, and these ideas do not always coincide. In other words, there are “internal consumers” of the process of complicating (mystifying) the characteristics of product value. There is something secret that “process owners” do not want to make explicit.

OBSERVATION 4. The characteristics of the value/quality of products for the consumer change when the process moves from one division of the organization to another.

The fact has long been known, but this does not make it any more recognized by the “process owners”. This, perhaps, best explains why we often encounter in practice the active reluctance of organizations to measure customer satisfaction other than the absence of complaints. All other measurement methods must be based on objective characteristics of the product, from its geometric dimensions to timeliness and completeness of delivery. If you make the criteria for product quality explicit, then there is a chance to make the department’s contribution to product quality more explicit (and if there is no contribution?..).

This is not to say that they are not doing this. However, it is possible, as is common in our field, to complicate the task and analyze the value added at each stage of the process (a classic example of a question in such an expert assessment is: does drilling a hole in a part add value) [7]. In the author’s opinion, calculating the added value of process operations is no more useful for the practical identification of processes than all those already outlined above.

You can do the opposite: using “backward traceability”, analyze the loss of consumer properties of products at various stages of the process. The fact that the value of products (from the point of view of an external observer) tends to decrease as the production process progresses has long been known and can be easily illustrated (Figure 1). Thus, if, within the framework of a typical linear-functional organizational structure, we consider the product release process as end-to-end, and its sub-processes as stages carried out by various departments, then according to the analysis of inconsistencies identified during production (control of process parameters), when accepting products by the organization (acceptance control), consumers (assessment of customer satisfaction) or government/public control and supervision bodies (product safety control) it is easy to identify process bottlenecks. Accordingly, the localization of these places is established in relation to the organizational structure. This is probably related to the fear of the “process owners” to make the criteria transparent, since no one has canceled the search for the “culprits” in our country.

Scheme 1. Loss of value due to uncontrolled production

It is clear that the nature of the detected product nonconformities is determined by the specifics of the process, but, first of all, it depends on the type of product. Suppose we are dealing with a material product that we know is often damaged during storage and transportation. If, for example, the ratio of the share of nonconformities due to storage of products is 20% or more (this is if “according to Pare”, but you can set your own, lower values) of the total number of nonconformities, then the need to include the storage process in the “necessary processes” is obvious. It is also clear that this process is not worth considering for an organization providing services. For an organization that produces routine products, for example, potassium permanganate, the consumer's opinion (the marketing process) is not as important as, say, for a travel company. In this case, marketing may be a key, necessary QMS process for a travel agency and may not be considered as such for a chemical manufacturer.

OBSERVATION 5. The composition of the processes required for the QMS depends on the type of product; it is not constant and can change when developing new types of products.

In any case, the first necessary process in the QMS process network will be the process of releasing products/providing services. This is the same process if one type of product with different standard sizes is produced. And these are several basic processes if several types of products are produced, which can be distinguished by inputs or outputs of the process, by purpose, by materials, and generally as the organization wishes. The main processes, of course, should include the design/development of new types of products, since the contribution of this process to product quality can be decisive. In some industry standards (for example,) its special role is fixed at the requirements level.

The remaining processes that support and ensure product release are considered necessary, depending on their contribution to ensuring product quality. For example, if it is known that for a consumer who has a continuous production cycle, it is extremely important that products arrive on time, and in our organization this, in turn, is determined by the timely delivery of raw materials and the suitability of equipment, the necessary processes of the system will be supply (“ supplier management") and equipment maintenance ("infrastructure management").

There are, however, processes whose necessity in the QMS does not need to be analyzed. They are necessary by definition. We are talking about management processes or management functions. (For more details on management functions as rudimentary management processes, see [8]). Some of them form a “process approach to management” and are listed directly in the ISO 9001 standard within the framework of the well-known model. Center "Quality and Business" at QMS development necessarily operates with two more functions, rightly believing that any management system cannot function without analysis and communication (Scheme 2). Actually, in the ISO 9001 standard, these functions, if you look closely, are clearly highlighted in paragraphs. 5.5.3, clause 5.6, 8.4.

Scheme 2. Management cycle in the QMS

You can also use the list of management processes used in the integration of management systems, which was given in ISO Guide 72 [9]. Thus, QMS planning is carried out through the development of a Policy, organization - through the implementation and implementation of requirements for operations; internal audit and internal audit appear as necessary elements common to all management systems. It is obvious that the common link between management systems based on the requirements of international standards is management processes.

OBSERVATION 6. The processes required for the QMS must include management processes (management processes), the number of which is determined by at least the PDCA cycle.

Thus, the composition of the processes required for a QMS may vary, depending on their contribution to the quality of the final product and the desired degree of controllability of the system. Classification criteria for dividing processes and examples of the most frequently identified QMS processes are given in Table. 1.

Example of classification of QMS processes

Process	Principle of classification		Purpose of the process
Basic processes
Output	The main production processes are identified by the transformation of inputs (raw materials, supplies) into outputs (final products or intermediate products that undergo further processing during the process of producing the final product) and the presence of an external consumer of the product, whose requirements the product must meet	Transformation of input products (raw materials, materials, information, energy, services) into final products designed to meet customer requirements
Design and development of new types of products		Transformation of information about consumer requirements/wishes into documentation describing the requirements for product characteristics and process parameters for the release of a new type of product
Auxiliary (servicing) processes
Formation of an order	Auxiliary production processes are identified by the transformation of inputs (raw materials, materials, information) into outputs (semi-product, services) and the presence of an internal consumer. Domestic consumers are determined in accordance with organizational structure and place in the technological process of product production. The result of auxiliary production processes is aimed at ensuring the production process and is not subsequently included in the composition of the final product	Converting information about needs (order) into information about products sent to the consumer (accompanying documentation)
Storage		Converting information about the conditions of safety of products into information about the requirements for the conditions of storage and placement of products
Infrastructure maintenance (buildings, premises, equipment)		Transformation of production technology requirements into requirements for the performance of equipment, software, the condition of buildings and workspaces
Maintenance meter of new equipment and tools		Transformation of production technology requirements and requirements for products and raw materials into requirements for metrological characteristics
Management processes
Planning	Management processes have the following characteristic features: . difficult to trace directly converting a process's input into its output; . do not have an external consumer; . not related to specific characteristics MI of a separate type of product; . ensure achievement of common goals organization, production goals continuous improvement processes and goals	Determining the goals and needs of the system/processes, as well as methods and timing for their implementation
Organization		Establishing the structure of the system, the order of interaction of its constituent processes and the distribution of resources that support them
Control		Identification of the degree of compliance of current system/process indicators with established planned/standard indicators
Regulation		Elimination of discrepancies between system/process indicators and planned/standard indicators
Analysis		Generalization and study of data on system/process indicators, their relationships and interactions
Communications		Establishing channels and methods for exchanging information inside and outside the system
Measurement	The results of the implementation of management functions do not have a specific internal consumer, since they must correspond to the set goals. management goals, but not staff requirements the enterprise to which these results of management functions are addressed	Establishing the actual values ​​of system, process and product indicators
Identification		Establishing identity and comparing process/product indicators to their essential features
Accounting (data recording)		Recording and organizing data on process results
Education		Choosing the means to achieve the required level of competence

In addition to training, the author considers marketing, sales and supply as management processes, while many organizations classify them as auxiliary (service). This has no bearing on identification. You need to be aware that any criteria for classifying processes can be chosen. This is a matter for the organization itself.

And the number of identified processes can be any; this is the choice of the organization. It is only important to determine criteria choice. Obviously, if an organization selects several dozen processes, it is difficult to expect that it will be able to quickly learn how to manage them according to a single scheme. If an organization, during the initial identification of processes, identifies ten as necessary, and a year later realizes that three more are no less necessary (i.e., not 10, but 13 processes are needed for a QMS), then there is no need to perceive the “starting” identification as a mistake! If the collection and analysis of data on these initial 10 processes had not been launched, then the need for others, additional processes, perhaps, would not be obvious at all. In addition, ten processes united in the QMS are already working, so adding three more to them “in the same way” is not a problem.

OBSERVATION 7. The initial, “starting” composition of the processes required for the QMS is not of decisive importance. Important to install general method management of these processes combined into a QMS.

It is possible to manage processes within the QMS only using the same management functions (management processes) that we discussed above. It is obvious that the process is in controlled conditions only if all the necessary functions for managing this process are performed: the process must be “P” - planned, must be “D” * - organized, “C” - controlled. If there are deviations, it must be adjusted - “A” (perform correction and/or corrective action), the results of the process and actions with it and its results must be recorded (Records). The obtained data must be available to all interested parties (“Cs”) and certainly analyzed (“R”) in order to ultimately make sure that the process was not in vain, that through this management the set goals were achieved — “E” *.

It is worth once again making sure that the proposed process identification and management model meets the requirements of the ISO 9001 standard and is practically described in them. So, in paragraphs. 7.5.1 paragraphs a) and b) relate to planning, paragraphs c) and d) to process organization, paragraph e) to measurement and control. Higher level system functions, such as communications (“Cs”), data analysis (“R”), and corrective and preventive actions (“A”), are highlighted in separate sections of the standard - 8.4 and 8.5.

For each of the management functions, it is useful to remember that historically they have been processes. If these processes are key for the QMS (carried out not only for the purpose of coordinating the organization’s activities within the framework of a system or process, but also important for external consumers), they must be included in processes and deployed. Actually, it is this “deployment” of QMS processes during the management cycle that organizations try to document in various STOs, instructions and regulations. Sometimes this does not turn out very clearly, because they forget to establish requirements for the sequence of presentation. In table 2 shows examples of “deployment” of control of some standard processes. The performance criteria given are not exhaustive and are considered as examples.

Examples of QMS process management

Processes	P	D	C	A	E
Measurement	Composition (points) of measurements, accuracy, volume (frequency)	Equipment and measuring instruments (MI), selection of measurement methods	Checking the serviceability and scope of measurements	Repair of measuring instruments, purchase of new measuring instruments	Absence of discrepancies (NC) associated with measurement uncertainty. Conducting an MSA
Communications	Determining channels and frequency (meeting schedule)	Conducting notifications (distribution of orders, plans, protocols)	Staff interviews. Checking the record keeping	Allocation of additional channels, change of frequency	Absence of emergency situations caused by untimely receipt of information
Education	Competency requirements. Educational plans. Data on discrepancies due to insufficient qualifications	Curriculums, attracting teachers	Tests, exams. Review of non-conformance data	Program change. Increased coverage. Changing the composition of suppliers educational services	Lack of emergency situations caused by staff incompetence. Staffing with the required qualifications
Procurement (supply)	Definition of need. Performance requirements. Requirements for the supplier and delivery conditions	Search, evaluation and selection of a supplier	Monitoring the characteristics of purchased products	Changing the composition of suppliers, changing the type and degree of management suppliers	Absence of taxes associated with the services of subcontractors. Absence/minimization of production disruptions due to the quality of supplies. Increasing the share of purchases from recognized suppliers
Accounting (registration)	Establishment composition of records	Establishing record forms, choosing the type of media	Checking the accuracy and completeness of records	Changing the scope or frequency of records	Sufficiency and reliability of data for assessing the effectiveness of processes and systems

The proposed model for identifying QMS processes has been implemented at dozens of Russian enterprises in the period from 1998 to the present. The effectiveness of implementation is confirmed, depending on the goals of consumers of services for the development of a QMS, and the successful completion of certification audits in the most prestigious international certification bodies, and data on the development of implemented QMSs integrated with the requirements of other ISO standards (and successful recertifications of integrated systems), and an increase market share of these organizations, and improving staff involvement in enterprise management.

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In order to define a process, it is necessary to identify it with something, identify it, or create a model of the object that reflects the patterns inherent in the real object - the original.

In relation to processes, the task of identification comes down to the choice of a simple and clearly distinguishable means of identification in the form of a digital, graphic or verbal designation, symbol, color mark, etc. on process documents, floppy disks and other media about processes. This allows you to quickly and unambiguously identify a specific process in an existing set of processes and determine the order of their execution.

The next step in process identification will be the creation of formalized models reflecting the successive stages and stages of the process, their interrelation and interaction. Such models can be presented in the form of text descriptions, flowcharts, maps, graphs, algorithms, diagrams, and combinations thereof. Models should be as simple and understandable as possible, but at the same time complete and comprehensive.

The ideal process identification is the creation of a mathematical model that establishes the relationship between input and output parameters and takes into account all the determining conditions.

Let's consider modeling processes in the form of flowcharts.

A flowchart is a graphical description of a process flow. Pre-

The advantage of a flowchart is that a graphical representation of an object is much easier to understand than a verbal description of it. The most common way of graphical representation is to use various symbols to indicate various actions. Flowchart symbols are not standardized, so each author, as a rule, chooses them at his own discretion. Usually the simplest geometric shapes are used as symbols (Fig. 9).

Start and end sign

Process

- alternative process

Typical process

Solution

- document

- documentation

Node, control point

Go to next page

Rice. 9. Conventional geometric symbols

In Fig. Figure 10 shows a flowchart of the decision-making process. The left side of the flowchart shows the process flow, and the right side shows the solution methods. When developing the flowchart “process of supplying components” (Fig. 11), symbols were used to indicate actions.

The combination of flowchart and matrix elements made it possible to construct a flowchart of the functional process “order fulfillment” (Fig. 12).

An example of a multi-level block diagram is shown in Fig. 13. This diagram shows the main actions of the process, which are indicated by two-digit numbers: 1.0, 2.0, etc. In this designation, the first digit is the operation number, and the second is the control level number. Decomposition (more detailed display of the process) of a multi-level flowchart for operation 3.0 is shown in Fig. 14

Just as often as flowcharts, they are used in process modeling practice. process flow diagrams.

A process flow diagram is constructed when an actual process is analyzed to detect defects. It is quite possible that the reasons for the defect (or non-conformity) may lie in a violation of the sequence of operations or in the design diagram of the process. In Fig. 15 shows a diagram of the process, each element of which is depicted as a geometric figure.

In Fig. 16 provides a more detailed description of the process using a process flow diagram. For a clearer explanation, next to the diagram is a matrix of responsibility for the implementation and progress of work.

Often, for a more complete display of a process, it is not so much its sequential steps that are needed, but rather the interconnections of the process. In Fig. 17 given relationship map process, which reflects both the flow of orders and the flow of information about orders.

Often in the practice of process modeling, elements of an algorithm and a flowchart are combined. Such a combined model is described in Fig. 18 process (procedure) of internal quality audit.

What is the source of processes in an organization (enterprise)? Where do they come from and how do they arise? To answer these questions, it is necessary to identify and consider the parties interested in the results of the processes.

It is generally accepted that any organization interacts five groups stakeholders: consumers, suppliers, organization personnel, society (state, commercial and public organizations, international organizations), owners (shareholders, founders). The composition of these parties depends largely on the form of ownership of the organization.

It can be noted that the state acts as one of the interested parties in any case: as a tax collector, as a regulator of social relations, as a guarantor of security.

All stakeholders are important, but the consumer plays a special role .

He pays for products and services, thereby providing the organization with livelihoods and the opportunity for its further development. Quality standards place customer satisfaction as the highest priority

There is practically no organization associated with the production of products and services that does not work with suppliers. It is no coincidence that the importance of mutually beneficial relationships with suppliers is noted in the principles of quality management when developing ISO 9000:2000 standards.

Not always due attention is paid to competitors as an interested party. In the overwhelming majority of cases, relations with competitors are irreconcilable. But it should be noted that partner benchmarking has been increasingly developing abroad in recent years, which is based on partnerships with competitors on mutually beneficial terms (production secrets are shared equally).

The relationship between management and staff of an organization is extremely important. Management processes at all levels of the organization's hierarchy determine the climate of relationships in the team and fundamentally influence labor efficiency.

DESCRIPTION OF PROCESSES

Each organization, as required by ISO 9001:2000, must form its own opinion about the importance of its processes:

What processes do the organization have or need?

How can they be correlated with levels of management and ranking,

Which processes play a major role for the organization, and which are auxiliary, etc.

Processes that are different in purpose, structure and level require their own approaches to management, methods and the depth of their description.

Before you begin to describe the processes, it is advisable to ask yourself how they will correspond to the activities that will be based on the process approach. It is better to group these questions into different aspects of the activity.

First group– questions that help identify the processes required for the QMS:

What processes are needed for a QMS,

Who are the consumers of each process (internal or external),

What are the requirements of these consumers?

Who is the owner of this process?

Are there any processes that are performed externally (outsourcing),

What are the inputs and outputs of this process.

Second group– questions that determine the sequence and interaction of processes:

What is the overall process flow,

How are they identified?

What is the communication channel between processes,

What documentation needs to be done.

Third group– processes that contribute to finding the criteria and methods required for effective operation:

What characteristics should be taken into account in the results of this process - what are the criteria for monitoring, measurement and analysis,

How can they be combined with QMS planning and product life cycle processes,

What are the economic indicators (costs, time, losses, etc.)

What methods are suitable for data collection.

Fourth group– issues related to resources and information:

What resources are needed for each process?

What are the communication channels,

How can you obtain external and internal information about this process,

How to provide feedback

What data should be collected?

What records should be maintained?

Fifth group– issues related to measurement, monitoring and analysis:

How can you monitor process indicators (process reproducibility, customer satisfaction),

What measurements are needed?

How best to analyze the collected information (statistical methods),

What will the results of such an analysis show?

Sixth group– issues related to implementation, effectiveness and improvement:

How can this process be improved?

What corrective or preventive actions are needed?

Are these corrective and preventive actions implemented?

Are they effective?

Probably, all the requirements for the processes above can be divided into basic and auxiliary. We will record the basic requirements in the form of process characteristics in process map:

1. Process name(it should be short and, if possible, expressed by a verbal noun).

2. Process code.

3. Process Definition(formulation that reveals the essence and main content of the process).

4. Purpose of the process(necessary or desired result of the process).

5. Process owner(person responsible for long-term planning, resource provision and process efficiency).

6. Participants in the process(persons involved in the execution of the process).

7. Process standards(documentation containing indicators of the standards in accordance with which the process is carried out).

8. Process inputs(material and information flows entering the process from the outside and subject to transformation).

9. Process outputs(transformation results that add value).

10. Resources(financial, technological, material, labor and information, through which the transformation of inputs into outputs is carried out).

11. Supplier Processes(internal or external suppliers - sources of inputs for the process in question).

12. Consumer Processes(processes of internal or external origin that are users of the results of the process in question).

13. Process parameters measured(its characteristics to be measured and controlled).

14. Process Performance Indicators(reflecting the degree of compliance of the actual results of the process with the planned ones).

15. Process performance indicators(reflecting the relationship between the results achieved and the resources used).

Certain items on the process map require more detailed consideration.

Let's consider positions 5, 14, 15.

The owner of the process. The process is usually a team affair. A process team is characterized by a certain set of roles for its participants. The effectiveness of process controllability is based on the choice (appointment) of its owner and vesting him with the necessary powers within the framework of the allocated requirements for the process.

The process owner is an official responsible for the organization, proper functioning and results of the process. It is possible, taking into account the opinions of individual authors of publications, to identify a number of main qualities that characterize the owner of the process. Let's consider these qualities.

a) The process owner must have a deep understanding and knowledge of the process. Therefore, it is advisable to appoint one of the organization’s employees who currently manages or supervises one of the key areas of the process as the process owner.

b) The owner must be able to influence people and promote change, be respected by the organization’s managers and specialists, and be a professional in the field of activity in question, capable of resolving conflict situations.

c) Have communication skills and change leader qualities. Value the work of the team as your own work. Be able to share power and encourage employees to take action.

d) Love your job and inspire enthusiasm in the work of your subordinates. See your process not only within the boundaries allocated by the documentation, but also beyond the boundaries in order to solve problems at the interfaces of processes.

e) Find and create moral motivation for work among participants in the process. Improve reward methods through innovative incentives.

f) Continuously improve the process. Create quality circles and horizontal creative teams to pose and solve problems.

g) Organize the development of documented procedures for process quality management, ensure monitoring and analysis of the stability and controllability of the process.

Process performance and efficiency indicators. A process is a set of resources and activities. As the process is implemented, the costs of production increase and, accordingly, the added value of the product should increase proportionally (with the release of high-quality products). That is, standard costs correspond to standard added value. But when defective products are produced, process costs increase (exceed standard) due to future costs of processing or reworking defective products. At the same time, the added value of the product will increase at the same rate. Then the difference between cost and value gradually increases. This is shown in Fig. 19: at the first operation the process had no deviations, at the second and third operations there were deviations from the documentation.

Let's evaluate the effectiveness of the process. According to GOST R ISO 9000:2001 effectiveness process is the degree to which planned activities are implemented and planned results are achieved.

When considering the results of the process shown in Fig. 19, it can be noted that, on the one hand, the goal of the process - to achieve regulatory added value - has been fulfilled, and on the other hand, to spend as few resources as possible has not been fulfilled, since the regulatory (planned) costs Сн are exceeded, that is, actual costs Сф > Сн. Since the standard is about degree, the performance ψ must be given in relative units (percentage). Then we get

Efficiency process, according to the same ISO R 9001:2001 standard, reflects the relationship between the achieved result and the resources used.

It can be assessed as the ratio of the output resources of the process to the input resources. Production efficiency is determined through the expenditure of time and resources, which should be minimal (normative). Therefore, efficiency is sometimes equated with process productivity. On the other hand, efficiency is the maximum use of allocated resources. For example, unused working time of machine tools, downtime of conveyors, etc. In the general case, added value may not be achieved for a commercial product and funds for manufacturing the product may be overspent. Then, when assessing efficiency, it is necessary to additionally take into account the cost of the lost share of added value.

Previously, in Fig. 7, an example of a network of cross-functional product manufacturing processes at Ericsson was given. IN in this example the requirement to measure the effectiveness and efficiency of processes is most clearly implemented: time spent, the duration of the production cycle, order and delivery are measured and assessed. It is these indicators that reflect the competitiveness of the company and its readiness to respond to consumer requirements.

Identification of possible sources of losses

Brainstorm

Quantitative assessments

Setting Priorities

Pareto chart

Selecting Process Analysis

Process Flow Diagram

Preliminary analysis of possible causes

Diagram

Study and analysis of the actual state of the process

PDCA Cycle Control Charts Scatter Plot Histogram

Setting Priorities

Pareto chart

Decision-making

Implementation of the solution

Measuring and analyzing implementation results

Rice. 10. Decision making flowchart

Consumer requirements

Ordering

Consumer order

Production planning

Production plan

Supply of required

Supplies

Production

Purchased parts

Products

Delivery

Satisfied consumer

Rice. 11. Delivery Process Flowchart

Consumer Planning Department

Delivery department

Production Department

Sales department

Consumer requirements

Placing an order

Planning

Delivery

Production

Customer satisfaction

Delivery

Rice. 12. Cross-functional order flowchart

Consumer requirements

Order (1.0)

Production Planning (2.0)

Delivery (3.0)

Production (4.0)

Shipment (5.0)

Satisfied consumer

Rice. 13. Flowchart of a multi-level process

List of deliverables

When committing a crime, the criminal acts in specific conditions of place and time. In this regard, the situation at the scene of the crime in a certain way characterizes and reflects the various connections between the actions of the criminal, his environment and the resulting criminal result. For example, at the scene of an incident there are traces that reflect the external signs of a person (criminal or victim) in the form of traces of hands, feet, signs of instruments of crime in the form of signs of a break-in, etc. When traces are discovered, it becomes necessary to establish what relation they have to the event of the crime under investigation, whether these traces were left by a specific person or object. These and other issues are resolved by a set of tools and methods used by the operative, investigator and expert.

The universal method of cognition in forensic science, as in any other science, is the dialectical-materialist method, since the laws of materialist dialectics have a meaning inherent in any form of movement of matter, including the process of thinking.

Operational and investigative activity is a process of transition from ignorance to incomplete knowledge, and from it to more complete knowledge, a process of continuous approximation of the truth.

The word “identification” comes from the Latin. “identificare”, which means “the same”, i.e. "identification". To identify, to identify means to decide whether a certain object is the one being sought, for example, whether the pistol seized from a detained person is the weapon that was used in the commission of the crime under investigation. Identification is usually called the process of identification itself, the process of comparative research that underlies the solution to the question of identity.

Forensic identification is a process carried out through a comparative study of the characteristics of an object, their representations or parts of an object in order to isolate a specific object from a set of similar ones based on the individual set of its characteristics in order to prevent, suppress, solve and investigate crimes.

Identification of objects in any branch of knowledge is carried out through comparative research. But this does not exclude the peculiarities of its application in each science.

Let's consider main features of forensic identification.

First feature. Forensic identification establishes a specific identity that is unique to another object. All identification techniques in other sciences establish group membership on the same basis as those assigned to a given type, species, class, variety, etc. In forensic science, only by identifying specific individual objects can the connection of the identified object with the crime event be unambiguously proven through identification (a bullet found at the scene of an incident, fired from this specific instance of a pistol, and not just from a “PM” brand pistol).

Second feature. In forensic identification, the presence or absence of identity of objects of living and inanimate nature (people, animals, objects, etc.) is established, and not abstract concepts about these objects.

Third feature. The results of forensic identification establish facts that have forensic evidence value. Therefore, it is carried out in a certain order established by procedural law, and it is subject to strict requirements for the impeccability of the methodology and the reliability of the conclusions.

The practical significance of resolving the issue of identity lies in the fact that the identification results make it possible to judge the presence or absence of a connection of any object with the event under investigation; they are the basis for constructing investigative versions and a means of verifying them. They allow us to establish a number of important circumstances for the investigation: the location of the crime, the tools and weapons used, and finally, the person who committed the crime. This made it necessary scientific development theories of forensic identification.

To date, Soviet forensic scientists have developed and formulated the basic concepts and principles of the theory of forensic identification, which make it possible to study the factual circumstances associated with a crime event on a truly scientific basis.

For a long time, criminologists did not pay attention to the fact that various methods for identifying certain objects have many common features, general principles. The idea of ​​“scientific methodological “unity” of various methods of personal identification was first expressed by the famous Russian criminologist I.N. Yakimov in his work “Identification of Criminals” (1928), but was not supported. And only 12 years later, in 1940, this idea found a new birth.

The beginning of the practical development of the theory of identification was published in 1940 - 1946. works of the Russian criminologist Professor S.M. Potapova. The main advantage of these works is that they correctly selected the foundation for the development of the theory - the most important principles of materialist dialectics about the identity of objects. In these works, the importance of identification for forensic research was determined, a classification of objects of forensic identification was made, identification was considered as a method of cognition, which has wide possibilities<1>.

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<1>See: Potapov S.M. Basic principles of forensic identification // Soviet State and Law. 1940. N 1.

Doctor of Law, Professor N.A. Selivanov wrote: “S.M. Potapov considered identification as a method that allows one to establish the identity of various objects and objects, applicable at all stages of the criminal process. Only in this sense can it be considered a universal and general method (for all criminology, all stages of the process)”<1>.

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<1>Soviet criminology. M., 1978. S. 60, 61.

N.V. Terziev, S.P. Mitrichev, A.I. Vinberg clarified and specified the purpose of forensic identification as a way to identify individually defined material objects.

Research by forensic scientists N.A. Selivanova, A.Ya. Koldina, M.Ya. Segaya, V.P. Kolpakova, Z.I. Kirsanova, A.A. Papkova, V.S. Mitrichev and others were a further contribution to the development of the scientific foundations of the theory of forensic identification and practical recommendations for private methods for identifying various objects of forensic research.

Currently, the main efforts are aimed at developing identification methods by studying material displays of the properties of identified objects, namely: research into the patterns of formation and display of the properties of various objects, the mechanism of trace formation, and methods for obtaining information about identification features from their displays.

The theory of forensic identification is based on the theory of knowledge, the concept of dialectical identity, as well as on the principles of criminal procedural law and patterns revealed by criminology, natural, technical and human sciences.

The scientific basis of forensic identification make up such philosophical provisions as:

– position on the identity of objects and phenomena material world;

– provision on the relative stability of the characteristics of objects;

– provision on interconnection and interdependence.

Let's look at each position.

Statement on the identity of objects and phenomena of the material world. Identity is a philosophical category that expresses the objective property of objects and phenomena to steadily maintain a qualitative difference from all other objects and phenomena and at the same time to be in constant change, development and contain internal contradictions.

The identity of material objects is determined by a number of signs as a manifestation of the properties of these objects. For an object, a thing, these are the dimensions as a whole and individual parts, weight, color, shape, structure, material, surface microrelief and other characteristics; for a person - body structure, physiological characteristics of the body, characteristics of functional nervous activity, psyche, behavior, skills, clothing, etc.

The identity of material objects is different from logical identification. A logical technique for establishing identity is used to correctly operate concepts in the process of communication and cognitive activity. Thus, the formal-logical law of identity prescribes to operate only with certain concepts that must be identical to the subject of thought, etc.

Forensic identity is aimed at identifying specific individual material objects and the narrowest groups of material objects based on the manifestations of their properties in the past in order to obtain forensic data (operational data and forensic evidence).

Thus, the identity of objects of the material world is a determining factor in the identification of various kinds of objects according to the characteristics that characterize these objects.

Regulations on the relative stability of object characteristics. Interacting with the environment, objects are in constant change and development, losing some characteristics and acquiring others. These changes, as a rule, occur constantly; the process of their accumulation and transition from quantity to quality takes a certain period of time, greater or less depending on the properties of the object and the nature of its interaction with the environment. Therefore, for some period of time these changes are insignificant, i.e. do not affect the essence of the object, it remains the same as it was.

Each object of the material world has a complex of external characteristics that specify its shape, size, relationship and relative position of individual parts (structures) and thus distinguish the object from a group of objects similar to it.

These signs are relatively stable and in their totality indicate the equality of the object only to itself, i.e. for identity; so, in particular, when identifying a person by signs characterizing the external structure of a person (so-called anatomical signs), the patterns of changes in these signs as a result of changes in age and past diseases are taken into account. A reliable analysis of such changes is based on morphological and forensic (medicine) data.

This can be illustrated with an example. Law enforcement agencies of Belarus in the late 70s. last century brought to justice 12 traitors to the Motherland, who in 1943 - 1944, while serving in Hitler’s punitive formations - the 11th SS battalion and the Sonder command of the 7th SD, systematically engaged in the execution of Soviet citizens and killing them in other ways.

During the preliminary investigation and judicial consideration of the criminal case, it was established that in 1943 alone, criminals participated in the execution and gas chambering of more than 10 thousand ghetto prisoners and Soviet patriots held in the Minsk prison. They committed other atrocities on the territory of Belarus. Having fled to the West, the accused served in the German punitive formations of Poland, Czechoslovakia, Austria and Germany until the end of the war. While the search was underway, the appearance of the criminals changed somewhat: wrinkles, scars, gray hair, baldness, sagging lower lips, etc. appeared. Despite these changes in appearance, identification from photographs turned out to be possible, since the set of stable features expressing the identity of the accused with the persons depicted in the photographs of those years did not undergo significant changes.

In practice, identification is usually carried out only in relation to relatively unchangeable (stable) objects that have a spatially fixed shape and size and have a certain degree of stability (immutability) in time.

Thus, the relative stability of the characteristics of objects in each period of time is the second fundamental factor due to which it becomes possible to identify forensic objects by their manifestations in the past.

Statement of Relationship and Interdependence. Only in abstraction can one abstract from differences and consider identity as an absolutely unchanging, frozen constancy of an object.

Thus, a person communicates with other people all his life and is in certain relationships with them. In addition, a person is in constant relationship with the objects and things around him, is exposed to various kinds of influences from them, and first of all he himself reacts and influences these objects, making various changes to them. This creates the opportunity to judge the displayed characteristics of a person based on the results of his influence on this or that phenomenon, this or that object. These factors make it possible to distinguish a certain person from among other people, i.e. identify a personality by its inherent properties - anatomical features, writing skills, etc.

This means that the interconnection, interchangeability of objects of the material world, their ability to reflect their properties on other objects in the form of an individual set of externally manifested signs is the third fundamental factor that creates the opportunity to establish identity.

In the investigation of crimes, along with identification, the establishment of group affiliation and diagnosis are widely used.

Establishing group affiliation means determining the type or variety to which a given object being tested belongs. Establishing group affiliation can act as diagnostics (recognition).

The establishment of group affiliation is based on the objective possibility of classifying (grouping) the entire variety of objects and phenomena according to their characteristics. Belonging to a certain group means such a relationship between two or more objects in which all of them the most important properties turn out to be identical and there are no significant differences between them.

Forensic diagnostics– this is the recognition of the characteristics of the state and functioning of persons and material objects associated with a crime.

Diagnostics is also the recognition of the group characteristics of an object by studying the properties associated with them. Diagnostics has exclusively important in operational-search work, as it allows one to recognize group characteristics of unknown persons and objects from traces and other displays. For example, based on the characteristics of written speech and handwriting, it is possible to recognize many socio-demographic characteristics of the personality of the author and executor of a document: by the qualitative and quantitative composition of an unknown substance or the external characteristics of an unknown object, one can determine its purpose, place of manufacture, obtain information about the qualifications and skills of the criminal and etc.

In practice, you can sometimes come across the incorrect use of the concepts “identity” and “similarity”. In order to avoid terminological errors, it is necessary to clearly distinguish identification, which is based on the identity of a single object to itself, from the establishment of group membership, which is based on the similarity of several objects according to certain characteristics.

The difference between identification and establishment of group membership also lies in the area of ​​evidentiary value of the facts that are established with their help. A conclusion about identity indicates the presence of a causal relationship between a given object and certain circumstances. So, if a pistol is identified from traces on a bullet seized during an autopsy, this means that the bullet was fired from that pistol.

Establishing group affiliation is used when carrying out any type of identification, being its first step. The solution to the question of identity is preceded by the establishment of group affiliation. The discrepancy between group characteristics eliminates the need for further research and serves as the basis for the conclusion that there is no identity.

Establishing group affiliation is limited for various reasons. For example:

– if the set of features is insufficient to resolve the issue of identity (only the size and shape of the sole are displayed in the shoe footprint. These features, as a rule, allow one to judge only the type and size of the shoe);

– if the object, the identity of which needs to be established, has undergone changes, then the new set of its characteristics does not correspond to the one that was displayed on the object (the pistol from which the bullet recovered at the scene of the incident was fired was stored for a long time in conditions that contributed to the corrosion of the walls of the bore );

– if the specific mechanism of the appearance of marks is such that they do not display features that individualize a specific object (cut marks formed by a file. These marks are not suitable for identifying a tool);

– some objects can only be identified in rare cases, since they do not have a fixed structure (liquids, powdery bulk, etc. substances).

Objects of forensic identification, determination of group membership and diagnostic identification features

The term “object” has a broad interpretation and understanding. In general terms, this term can be used to describe any object of the material world.

The objects of forensic identification are such material bodies that, on the basis of certain characteristics, are defined as specific, individual. And depending on this definition, the following are distinguished: types of forensic identification:

1) objects that have their own fixed external shape, the spatial boundaries of which distinguish them as individual. Such objects include people, animals, objects (things). A single object is considered to be a monolithic object and an object consisting of a large number of detachable parts, particles (machines, units, firearms, cartridges, etc.);

2) volume (mass) of the substance (material);

3) sets of material objects, united into an integral system by coexistence in the same environmental conditions, production functioning, intended purpose (products of certain industries, the production itself with its machines, machines, units, areas of the area, premises, etc.)<1>.

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<1>See: Forensic science: Textbook for law schools / Ed. I.F. Krylova. L., 1976. S. 90, 91.

In the process of identification research, we distinguish:

1) an object that actually left traces and is subject to identification based on these traces, i.e. desired object;

2) an object that, due to the circumstances of the case, could have left traces that were discovered and is assumed to be the one being sought, i.e. object being checked.

The properties of the object being checked are established by either directly studying it, or studying the mappings of the object being checked specially obtained for identification, i.e. according to samples.

Samples of the tested object must be strictly distinguished from traces of the desired object. An essential feature of samples is their precise identification during the investigation of their origin from specific persons or objects.

Professor S.M. Potapov wrote that objects directly or indirectly involved (used) in the identification process are divided into identifying objects and identified objects.

Identifying object is an object with the help of which this problem can be solved.

Identifiable objects there can be people, animals, as well as various objects (things), volume (mass) of matter, a set of material objects combined into an integral system (mechanisms and devices of the room and areas of the area).

Identifying objects contain information about the characteristics of the objects being identified and are a means of identification. In relation to a person, the following can serve as identifying objects:

– materially fixed displays of his external signs: various kinds of traces (hands, feet, teeth), their copies in the form of photographs and casts, manuscripts, photographic images;

– will take on a descriptive nature;

– mental images imprinted in a person’s memory;

– corpses and bone remains (mainly skulls).

In relation to various kinds of objects, materially fixed displays of traces and their copies, photographic images of identified objects, their descriptions, and mental images are also used as identifying objects.

Along with this, identification can be carried out based on characteristics that arose simultaneously as a result of the same reason for separate parts, previously constituting one whole (one object), or, in other words, based on signs of common origin.

Let us explain this with an example. A spent cartridge case was found at the scene. During a search, a pistol was found on the suspect. What objects will appear in this case in the identification process?

1. The wanted pistol from which the cartridge case found at the scene was fired is an identifiable object.

2. The spent cartridge case found at the scene is an identifying item.

3. The pistol seized from the suspect is the object being tested.

4. The spent cartridge case obtained during experimental shooting from this pistol is a sample for comparative research.

Identification and diagnostic signs

In the theory of forensic identification, signs are understood as specially selected properties with the help of which one can recognize and distinguish an object. It is important that they meet two conditions: stability and information content.

Sustainability means relative immutability, qualitative and quantitative certainty of a property that must exist without significant changes during the identification period, i.e. from the moment of display under circumstances related to the crime until the time of identification research.

Information content properties are his ability to highlight, distinguish a certain group or a specific object from many other objects of the material world.

Materially fixed mappings arise as a result of the influence of an object on some other objects that are capable of perceiving with sufficient accuracy, reproducing its characteristics and preserving them for a relatively long time.

All signs are divided into group signs (general signs) and individual signs (private signs). By signs of group significance we mean signs inherent in a certain group (genus, species) of objects. These features, naturally, do not determine the identity of the object, its individuality, since they are typical for many or all objects belonging to the same genus and express their similarity. Identification based on characteristics of group significance cannot be made. General characteristics usually characterize a certain group of objects corresponding in the science and practice of classification. Such signs are called classification.

The informational significance of classification characteristics is determined, firstly, by the reliability of dividing a given population into classes, genera and species and, secondly, by dividing a given population into groups of approximately equal size. This is important for creating accounting and registration systems, since otherwise it becomes difficult to use the card index.

Diagnostic (recognition) signs, unlike classification ones, are only correlated with the recognizable group. Any of these characteristics may appear either in a recognizable group or in another group with which it is not associated. For example, any sign of handwriting can be found in both men and women. But the dependence on male or female gender is different for different traits. Specific individuals possess such complexes of characteristics that, taken together, can reliably indicate the group affiliation of the author of the manuscript. The information value of features used to recognize group membership is determined by the strength of their connection with the recognized group (this dependence is quantitatively expressed by the correlation coefficient).

Characteristics of individual significance include characteristics that can only be found in individual or few specimens of the group.

These signs have an identification value, since they individualize objects of the same group and, together, with the signs of group significance, they determine the identity of the object.

Identification features must have the following properties:

a) stability;

b) frequency of occurrence;

c) the degree of dependence of the characteristics on each other.

The degree of stability of traits depends on the patterns of their formation. Identification value comes from those features that remain unchanged for a long time.

Frequency of occurrence means that the less often a given feature is found in other homogeneous objects, the more specific it is and the higher its identification significance and value. The frequency of occurrence of an identification feature is determined either from the professional experience of an expert, operational worker, investigator, or by studying the frequency of occurrence of features based on mathematical statistics.

The degree of dependence of features on each other means that if the features are interconnected, the appearance of one feature is determined each time by the appearance of another, then such features have little identification value, since they are not independent.

From the above, we can conclude that the essence of identification features lies in relative stability, originality, specificity for a particular object and the admissibility of their identification, study and comparison.

Forms, subjects and methods of forensic identification and establishment of group affiliation

Establishment of group affiliation or identity is carried out in the course of operational search and forensic investigative actions. Therefore, forensic identification is classified into such forms as operational-search and forensic-investigative.

According to the forms of identification, subjects are also distinguished, who in forensic identification are persons legally obligated to prove, within the limits of their competence, the presence or absence of the identity of the desired object.

In operational investigative work they are operatives and specialists, and in forensic investigative work they are investigators, experts, prosecutors and judges.

It must be borne in mind that both the conclusion about identity made by the operational worker himself and the expert’s conclusion do not have procedural and legal significance and are intended only for operational use.

The fact of identity established in the operational search form then helps to obtain information about the objects being checked and the objects being sought, and can serve as the basis for putting forward and verifying investigative versions.

To prove the fact of a person’s involvement in a crime committed at the stage of preliminary investigation and trial, there is forensic investigative form forensic identification. If special knowledge is required, then a special examination is appointed, which is carried out by a person specially appointed by the investigator and certainly possessing special knowledge - an expert. The conclusion about identity or difference is formalized in the form of a conclusion and is judicial evidence.

The court, with the participation of the parties, examines the identified object, assesses the reliability and admissibility of the data collected in the case, conducts a comparative study of the evidence, interrogates experts, if necessary, and analyzes their conclusions.

Types of forensic identification

Depending on the nature of the properties of the identified objects, the patterns of their formation and reflection, several types of forensic identification are distinguished, combined into classes: personal identification and object identification.

Personal identification is the identification of a specific person associated with a crime. Personality in criminology is understood as individuality, i.e. as a specific person with a unique and stable external and internal structure. Personality is a unity of social and biological, mental and physical characteristics. Personality has various types systems of properties closely interconnected with each other, inseparable from a specific personality and sufficient to reliably distinguish one person from many other persons.

Depending on the systems of personal properties used to determine group membership and identification, the following are distinguished: types of forensic identification:

1) identification of a person by morphological properties: by appearance, by papillary patterns of arms and legs (fingerprint and poroscopic identification), by the structure of the dental apparatus, by the anatomical structure of the skull and skeletal bones;

2) identification by biochemical properties: by the composition of bone tissue, skin, hair, blood and waste products, by smell - odorological identification, by the composition of saliva, sweat, etc.;

3) identification by psychophysiological properties of the individual: by voice and oral speech (acoustic), by written speech (automotive), by handwriting (handwriting identification), by motor, professional skills and the method of committing crimes;

4) determination of group membership by socio-psychological properties: by the social orientation of the individual, emotional-volitional, moral and ethical characteristics;

5) determination of group membership and identification by socio-demographic properties: by questionnaire and biographical data and socially significant features (social status and origin: education, profession, place of work, study, social environment, etc.).

The importance of forensic personal identification for operational and investigative activities is determined by the tasks solved with its help. In particular, it can be used to determine who exactly was in a certain place, performed certain actions, is depicted in a photograph, etc. identification research establishes who exactly the person who comes to the attention of law enforcement agencies is; who the deceased is if his identity has not been established, etc.

Determining group affiliation allows you to narrow the circle of people among whom the wanted person is located, purposefully organize operational search activities, and reasonably put forward and verify operational and investigative versions.

The forensic identification process consists of the following stages:

1) obtaining information about the object being identified, formulating tasks and conditions for identification;

2) analysis of primary information, determination of the group membership of the desired object, recognition of the identity of an unknown criminal, diagnosis of an unknown substance or object;

3) search and selection from an established group of one or more inspected objects;

4) a comparative study of the characteristics of the object being tested and the object being sought, establishing their differences or the individuality of a complex of matching characteristics;

5) assessment of the collected information and formulation of a conclusion about identity or differentiation.

Home > Lecture

ROSTOV STATE UNIVERSITY

FACULTY OF LAW

Department of Criminal Procedure and Forensics

O.A.Lutsenko

Rostov-on-Don,

© Department of Criminal Procedure

and criminology

FORENSIC IDENTIFICATION

Let us remember the “three pillars” on which forensic science is based: trace, image, reflection. All these concepts based on information about the object that called them, therefore, are the basis for its identification. The problems relate to almost any issue in criminology, since the process of investigating a crime can essentially be considered as one of the acts of reflection. In the process of investigating crimes, there is often a need to solve various identification problems. For example: did this object leave a mark on the scene of the incident; whether the bullet recovered from the corpse was fired from this pistol; whether the handwritten text was executed by this person; whether the witness saw the same person at the crime scene, etc. Such issues are resolved through forensic identification. Identification of objects with cream. meaning is a special case of identifying objects of the material world. When solving identification problems, the entire arsenal of general scientific and technical methods and tools is used: analysis, comparison, synthesis, abstraction, generalization, experiment, methods for studying causality, methods for constructing and checking versions, various scientific and technical means. The term “Identification” was used by Bertillon (late 19th – early 20th centuries). In Russia, for the first time, the doctrine of forensic identification was developed by the domestic scientist S.M. Potapov. IDENTIFICATION can be considered in criminology as a doctrine (theory), as a goal, as a method, as a process. Origin theories Forensic identification is determined by the need for a theoretical basis for a scientifically based solution of problems that arise during the investigation of crimes that are general in meaning, the essence of which is the identification of objects by the totality of their individualizing properties. Purpose Forensic identification is the identification of a specific object that is identical to itself. Its purpose and content is to establish individual identity, that is, the identification of a specific object with itself. If we consider identification as method, then: forensic identification is a special method of criminology and a research process adapted to identify individual objects in the material environment of a crime in order to determine the presence and nature of their connection with the crime event. An identification method is a way to accurately determine a materially fixed object real world. Forensic identification, or identification, is process establishing the identity of an individually defined object. Forensic identification is process or a system of actions performed in a certain sequence to establish factual circumstances that serve as evidence in the case. The process of reflection itself is determined in each case by the interaction of the reflected object or phenomenon (action) with the environment in which the reflection occurs. This relationship determines both the form of reflection of the properties of the object and the completeness of its reflection. Therefore, the fact of establishing identity is, in essence, also the fact of establishing the interaction of two systems: the reflected and the reflecting. It follows that an indispensable condition for successful identification is knowledge of the conditions of reflection of an object, the method of transmitting its characteristics in the reflecting system (display). In the process of comparing objects, both matching and distinguishing features are established; determine which of them predominate, whether the differing characteristics are within acceptable limits, and on the basis of such an analysis come to a conclusion about identity or its absence. The identification process can be carried out through investigative (judicial, operational) identification, forensic accounting and expert identification. Identification can also be carried out by a specialist (not an expert). The results obtained in this case do not have the force of evidence in the case and are used for operational investigative purposes, as well as as guiding information when building versions. Forensic identification- establishing the identity of an object or person based on the totality of its general and particular characteristics (for example, a person based on handwriting, handprints). To identify(identify) an object- this means using the method of comparative research to establish its identity with itself, using the reflections left by it or its fragments. The essence of identification is a comparison of the characteristics of an object and the display of these characteristics. A necessary condition for identification is the comparison method - the simultaneous study of two or more objects in order to establish what unites or distinguishes them. Analyzing the differences in the process of identification is very important. In accordance with the provisions of dialectical logic, while allowing for the possibility of identifying an object, one should not forget about its constant changes. The scientific basis of forensic identification is the theory of the individuality and relative stability of objects of the material world, their ability to reflect their characteristics on other objects. The study of inevitable differences helps to better understand and explain the fact of identity, to determine the acceptable measure of differences that do not exclude the conclusion about the identity of the object. The identification process usually involves two objects: the identified and the identifying. Identifiable object - an object, the identification of which is the task of the identification process. (E.g. physical evidence). Identifying object - an object with the help of which the identification problem is solved. (E.g. samples for comparative study), ( more on this later). In relation to an identified object, the main issue is to establish its identity, while identifying objects serve as material for identification. The modern theory of Identification is based on the principles of individuality of objects of the material world, their relative immutability, and the possibility of identifying general and particular characteristics that characterize them, the totality of which makes it possible to identify the object. R.S. Belkin noted that “The concept of forensic identification developed as a designation for the process of identifying a single object, but not a group (type, genus) of similar objects” (Criminalistics Course. T.2. M., 1997, p. 271). Classification groups mean not only universal (general) classification groups adopted in one or another branch of science (genus, species, orders, classes, types, etc.). These also include special ones, identified in various spheres of human activity (for example, a group of industrial products of a certain type, brand, article, production period...). It is important to note the following. Establishing group affiliation is the assignment of one or more objects associated with the event under investigation to a specific group of objects (substances). The basis for establishing group membership is the similarity of an object with similar ones. To determine group membership means to establish that a given object is not the same, but the same object. It is necessary to resort to establishing group affiliation in cases where, in order to solve the problems of the investigation, it is sufficient to establish precisely membership in a certain group (for example, when deciding whether a given item belongs to a bladed weapon). The concept of group membership presupposes that the object under study has such a set of characteristics on the basis of which it can be classified as a certain type or class of objects (substances). The concept of group membership also covers the homogeneity of several objects whose properties are subject to research. We have to limit ourselves to establishing group affiliation even in cases where the traces do not display signs that can individualize the object. Thus, based on the imprints of the tire treads of a vehicle on the soil, the model of the car that left the traces (the group to which it belongs) can be established, but the absence of characteristic details in the traces will not allow identifying this car, even if it is detected. Controversial in criminology is an understanding of the terminology and the very essence of the study: “ group identification " And " group affiliation "(solving the issue of whether an object belongs to a certain group (genus)). How can one calculate correctly: generic (species) identification or “establishment of group affiliation”? The theory is based on crim. identification lies dialectical method, doctrine of dialectical identity. According to the provisions of materialist dialectics, an object can only be identical to itself . Therefore, the term "group identification" is incorrect. In this case, we are talking about belonging to a certain group, that is, about similarity with some other objects. Thus, from the identity of an individual, single object, one should distinguish the homogeneity of a number of objects that form a genus, species, that is, group membership. We should talk about “establishing group affiliation” (similarity, similarity).” Homogeneous objects are similar to each other only in those characteristics that characterize the genus, but differ from each other in many others inherent in individual representatives of the genus. The establishment of group affiliation is considered in general form as a stage of identification, and only in some cases - as an independent process of research. The term “group affiliation” more accurately conveys the meaning of “generic (species) identity.” Accordingly, “establishing group membership” is more accurate than “establishing generic (species) identification.” Indeed, identification establishes that it is the same single object (for example, a specific pistol). When determining generic (group) affiliation, it is only stated that the object under study belongs to a known class, is the same in its genus or type (for example, a pistol of a certain system and model). Establishing group affiliation is of great practical importance. It allows you to narrow the desired circle of persons or objects in the process of preliminary investigation in order to establish a specific person or other individually specific object of identification. Thus, the need to abandon the terms generic (group) identity and generic (group) identification follows from the following: - objects included in the genus (group) cannot be identical to each other. They are always only homogeneous, similar in some common features or characteristics; - an object included in a genus (group) cannot be identical to the entire genus (group); - the process of forensic identification is aimed at establishing the identity of an individual specific object.

The Importance of Forensic Identification

The significance of identification (differentiation) in establishing the facts of a case and the causal connection between them is also determined by the form of the conclusion about identity: group affiliation is established or individual identification is made, the conclusion is formulated in a categorical or probable form. The essence of identification is to use mappings to identify the specific object that left them. In this case, both the object and the display are understood quite broadly. The first (object) can be a person, items of his clothing, shoes, instruments of crime, vehicles... The display includes: various traces, parts of objects, documents, photographs, films, video images, mental images imprinted in memory and etc. Each object of the material world is individual and unique. The individuality of an object means, on the one hand, its equality with itself, and, on the other, its difference from everything else. Under individuality of the object it is understood that it has a unique set of characteristics that another similar object does not have. Such signs for an object or thing are size, shape, color, weight, material structure, surface topography and other signs. For a person, these are: features of the figure, structure of the head, face and limbs, physiological characteristics of the body, characteristics of the psyche, behavior, skills, etc. An object can only be identical to itself(it should be noted that mathematical notation establishes precisely ≈ (similarity, identity), and not = or ≠ (equality or inequality)). Let's look at examples. A person's appearance. Various changes inevitably appear on a person’s face after a certain time (wrinkles, folds of skin, possible scars). He often consciously partially changes his appearance (grows a beard, mustache, changes his hairstyle). Regarding handwriting. The system of hand movements when writing can be affected by excitement, intoxication, haste, and lighting. Thus, the equal sign (=) known from mathematics cannot be used even in the case of comparing manuscripts of the same person. The phenomenon opposite to identification is called differentiation . Significant or obvious differences that determine dissimilarity in the main thing are the basis for differentiation. It can also appear as an independent task, if it is necessary to establish the difference between objects (ink, paper...) - find the difference and, on their basis, draw a conclusion that, for example, in the photo different people. When assessing the results of a comparative study of objects, one of three conclusions is possible (by the nature of their differences, by qualitative and quantitative expression, depending on the proportion of differences): 1. establishment of identity, 2. its absence, 3. impossibility of solving the identification problem. A negative conclusion of an expert in the case of group affiliation has, as a rule, no less evidentiary value than a conclusion about the identity of an individually defined object. For example: the purpose of a bullet for pistols of a certain system is established. If it is for cartridges from Makarov system pistols, then it makes sense to check only these samples.

Kinds forensic identification

Identification studies are divided into several types. 1. By the nature of the identity being established: - individual (in the process, questions about the identity of an individually defined object are resolved) affiliation; - group affiliation (It has already been noted that the group affiliation of an object is established, and the term “group identification” is incorrect, since an object can only be identical to itself. In this case, we are talking about the object’s belonging to a certain group, that is, its similarity with some other objects. Therefore, we must talk about “establishing group affiliation”). The collective concept for categories of homogeneous objects is the term “group”. The establishment of group affiliation is carried out either as the initial stage (first stage) of any individual identification, or as a solution to an independent problem. A variation of classification by group membership is the determination of a common source of origin. With such a study, the belonging of two or more objects to the same group (mass) is established. Such objects can be ink in a fountain pen and in strokes of text; pellets recovered from the corpse and shot in the suspect’s cartridges, etc. In other cases, the common source of origin is established based on a comparison of external characteristics. Similar studies are carried out quite often in relation to so-called mass-produced products. Establishing group affiliation helps to narrow the circle of objects being checked and thereby more purposefully search for a specific object. The evidentiary value of the results of group identification is inversely proportional to the number of objects included in the identified classification group: the narrower the group, the more valuable the conclusion about the group membership of the object under study. 2. By nature of identifying objects distinguish: 1. identification by mental image stored in a person’s memory; 2. identification by materially fixed displays of the object; 3. identification of the whole by parts. 3. By subject: - investigative and operational, judicial (when solving a problem does not require special knowledge, an example would be the presentation of an object or person for identification, etc.). - expert. It seems that a specialist can also act as a subject of identification. For example, when examining a crime scene, he can identify one or another trace or object. 4. By object research identification: - person; - material objects (including buildings, structures, areas), substances; - animals. Data from forensic records (registration of criminals, unidentified corpses, missing persons, as well as fingerprint files and various collections) can be used as research objects. 5. By belonging to a specific industry forensic equipment, to which the object under study belongs: - phototechnical; - traceological; - forensic ballistic; - handwriting studies; - identification of a person, etc. In the theory and practice of forensic identification, there are two forms: reflections: 1. materially fixed ( objective recording of signs in material objects): traces of hands, feet, drawings, photo, film, video images of material evidence, crime. objects, areas of terrain... 2. ideal ( psychophysiological). It is subjective in nature and consists of imprinting a mental image of an object in the memory of a specific person. Forms forensic identification:

1. expert (based on materially fixed characteristics); operational-investigative, judicial (presentation for identification, identification of an object by description during inspection, search, etc. actions, presentation of evidence); registration and registration (according to forensic registration data).

Objects forensic identification

Object Forensic identification is an object that has a set of properties on the basis of which it can be distinguished from the surrounding material world and is related to a criminal event. A necessary prerequisite identification by traces is interaction objects, therefore, in any case of identification there are both identified and identifying objects. Thus, in identification research several objects are used, the identification role of which is different. Group 1 - identifiable (identifiable) or sought objects, establishing the identity of which is the purpose of identification (most often these are objects, they appear in criminal cases as material evidence; also identifiable objects can be people, premises, areas of terrain, animals). Example: identifying a specific brand of car tire based on traces (casts of traces) from the scene of an incident, a pistol based on traces on a fired bullet, etc. Group 2 - identifying (identifying) objects: - most often these are samples for comparative research, objects with the help of which the identity of the desired object is established (a fired bullet and cartridge case, a shoe print, a fingerprint, handwritten text...), - forensic registration data , - separate parts that previously formed a single whole (parts of a torn document, a fragment of a headlight on an MP during an accident). In the literature, “ideal traces” are also considered by a number of researchers to use traces as identifying objects. These intellectual, memorable traces act as an identifying object, through the study of which in the process, for example, of presenting a suspect to the victim for identification, the identification of the latter will be carried out. (Baev O.Ya. Fundamentals of criminology: a course of lectures. - M.: Exam, 2001, p. 108). Identification of the person who committed the crime is often based on the results of his direct identification using a mental image (including using his subjective “portrait”). (Obraztsov V.A. Identification and exposure of a criminal. - M.: Yurist, 1997, p. 233). “Psychophysiological form” of reflection or “identification of an object by a mental image that is identifying” is the name given to this type of identifying objects in the fundamental textbook on criminology by T.V. Averyanova, R.S. Belkin, Yu.G. Korukhov, E.R. Rossinskaya (Textbook for universities. Edited by Honored Scientist of the Russian Federation, Professor R.S. Belkin. - M., 1999, pp. 86, 99). It seems logical to include geographic maps, diagrams, plans, drawings, and artistic images as identifying objects. (Obraztsov V.A. Identification and exposure of a criminal. - M.: Yurist, 1997, p. 234). For identification, not all properties of the identified object can be used, but only those that are displayed in the identifying object. They are usually called identification properties .

The doctrine of identification characteristics

Identification feature- this is a feature, a property of an identified object that satisfies certain requirements, characterizes the object in a certain way and is used for identification. Signs are displayed on an identifying object and distinguish it from all others. Signs of the external structure of an object or its internal properties can act as identification: chemical composition, density, hardness, electrical conductivity, etc. The set of general and private identification characteristics of a particular object, by which its identity is established, constitutes essence forensic identification. To the important conditions Forensic identification includes the requirement that the identified object, whose identity is to be established, has quite pronounced identification features, these features must be specific(the more unique the property of an object, the higher its identification significance) and relatively sustainable. Speaking about the relative stability of identification features, they mean that many properties (signs) remain relatively unchanged for a long time. In the theory of forensic identification, there is the concept of “identification feature”. This is the period that elapses from the moment the trace appears (displayed) until the moment when the object is identified by its display. The conclusion about the identity of an object is based on the coincidence of a set of individually defined stable features that are unique in other objects, according to their relationships, location, relative position and other features. The conclusion about the identity of an object is always based on the totality of its identification features. Identification features can reflect the shape, size, material of the object; its external and internal structure, composition, structure, functions; some inherent properties of an object, they highlight the object, delimit it from a group of homogeneous objects. The totality of all identification features used in a particular case form the so-called identification field, i.e. a circle of features captured in a materially fixed representation of an object and compared with the features of the object itself. Identification features can be classified on various grounds. First of all, they are divided into general and private. General signs express the most general features, properties inherent in homogeneous objects in their shape, volume, weight, grade, class, related to the concept of group membership and allowing on this basis to classify objects. A general identification feature expresses one or another property inherent in a certain classification group. It is an indicator of the group characteristics of objects. General characteristics are quite rightly also called group or classification characteristics. Particular characteristics- these are characteristics that, in their totality, are individual and distinguish a given object from a number of similar ones. Therefore, the possibility of the necessary detailing of private features for the purposes of forensic identification, that is, establishing the identity of a specific object, becomes important. However, a single private feature by itself does not identify a specific object. By studying the object as a whole, one can characterize its characteristics listed above, such as shape, size, color, weight, origin, purpose, composition, etc. During this analysis, the following are identified:

1. individual parts of an object, parts of these parts, elements of parts...

For example, when identifying a person based on appearance, the figure is first considered, then the shape of the head and face, the auricle, tragus or lobe, and, finally, the shape of the features present on them. A particular characteristic at one stage of analysis becomes general at another. Let us consider in more detail the classification of characteristics into general and specific using the example of identification by handwriting. General signs, they characterize handwriting as a whole: 1. Elaboration of handwriting (technical adaptability to fast, fluent writing), 2. General type of handwriting (there are: simple - complicated (“pretentious”)), 3. General direction of movements in handwriting (left-circular (as if counterclockwise)) – right-circular, (the movement of the fingers is directed as if clockwise), 4. Size of handwriting (letters small - medium - large), 5. Inclination of handwriting (right-angled - straight - left-angled), 6. Acceleration handwriting (sweeping, medium, compressed), 7. Degree of coherence (tension) of handwriting. Jerky handwriting - no more than 2 letters are connected, average - 3-4 letters are connected, five letters or more - coherent handwriting. Particular characteristics are the peculiarities of hand movement when performing individual written signs in terms of their deviation from the norms of standard copybooks (school) and general characteristics of handwriting. The whole variety of particular characteristics can be classified into 4 groups: 1. Features of the direction of movement when performing written signs and their elements, 2. Features of binding written signs and their elements, 3. Features of the relationships between written characters and their elements in terms of size, inclination, acceleration. 4. The position of the starting and ending points of strokes of written characters and the method of their execution. The lower the frequency of occurrence, the higher the value of the signs in identifying the perpetrator. The species (group) affiliation is determined by general characteristics. Particular signs indicate a specific individually defined object.

Stages identification research (this is identification process(in this case, expert identification))

There are 4 stages of identification examination: 1. experimental inspection of the presented objects, 2. separate study, 3. comparative study, expert experiment, 4. assessment of the identified set of characteristics and the formation of an expert’s conclusion. 1. This stage is also called preparatory. When inspecting objects, the expert first of all finds out: whether all the materials presented in the decision on the appointment of the examination have been presented to the expert, what the objects of identification are, whether they are all procedurally correctly drawn up and whether there are any doubts about their authenticity. In addition, it determines whether the represented objects are sufficient and suitable for identification. The availability of materials sufficient to resolve the issue of identity refers to the objective conditions that determine the course and results of the study. In a number of cases, the impossibility of resolving the issue of identity is due to the properties of the objects to be studied. For example, a small amount of graphic material contained in the signature, unclear papillary lines displayed in the fingerprint, insufficient identification features displayed in the burglary tool mark, etc. often predetermine the impossibility of reliably resolving the question of identity. 2. A separate study of the presented objects involves an independent analysis of each of them. The identifying and identifiable objects (including samples for comparative research) are studied in isolation from each other. This is the analytical stage. Its goal is to identify as many features (general and specific) as possible, reflected in the traces and characterizing the object of identification. The identified common features are compared. If the general characteristics do not coincide, a conclusion is formulated about the absence of identity. Having established the coincidence of objects by group membership, they begin to analyze particular characteristics. The main task of this stage is to identify identification features. 3. The main task is to compare the identification features of objects of the same name, to identify matching and differing features. Experiments can be carried out at this stage.

1. The identified sets of matching and differing features must be assessed, first of all, from the point of view of their regularity or randomness, sufficiency to substantiate (affirmative - certifying the fact of identity or negative - excluding identity) the expert's conclusion. Based on the form of expression, conclusions are distinguished between categorical (reliable) and probable (presumptive). The conclusion about identity (its presence or absence) is made based on a comparison of the results of differences and coincidences. It is the assessment of signs that have similarities and differences that is the final stage of forensic identification.

At the beginning, the belonging of the compared objects to the same type, group (i.e., group membership) is established based on general characteristics, and then its identification characteristics are considered, that is, the properties of the object that satisfy certain requirements. The conclusion about the identity of an object is always based on the totality of its identification features. If a set of matching features turns out to be natural and significant, then the expert’s conclusion about identity will be positive; a natural set of differing signs gives rise to a negative conclusion about identity. In addition, the identified set of features is assessed from the point of view of its individuality and sufficiency to justify a categorical (positive or negative) expert conclusion. To give a general assessment of complexes of matching and differing features, it is necessary to evaluate each identification feature as follows: 1. separately, 2. taking into account its specificity, 3. relative stability, 4. independence from other features, 5. frequency of occurrence, 6. identification significance. Dialectical logic also presupposes constant changes in the object. When conducting an identification study, it is necessary to establish not only common, coinciding, but also distinguishing characteristics. The study of inevitable differences helps to better understand and explain the fact of identity, to determine the acceptable measure of differences that do not exclude the conclusion about the identity of the object. In cases where the expert comes to a positive identification conclusion, having made sure that the identified differing features are random and do not have significant significance in resolving the issue of identity, he must justify this and explain what causes these differences, for example, indicate that some differences in The signs found in the manuscripts of the same person are explained by the discrepancy between the conditions of writing, the mental and physical state of the writer, the difference in writing instruments, or some other conditions.

Example of forensic identification

Group XXXXX Department of Internal Affairs of the Rostov Department of the ECC at the Central Internal Affairs Directorate of the Republic of Belarus

P O D P I S C A

We, the employees of the XXXXX Department of Internal Affairs group of the Rostov Department of the ECC at the Main Department of Internal Affairs of the RO XXXXX and XXXXX, were explained in accordance with Article 199 of the Code of Criminal Procedure of the Russian Federation the rights and responsibilities of an expert provided for in Article 57, Article 62 of the Code of Criminal Procedure of the Russian Federation.

You have been warned about liability for giving a knowingly false conclusion under Article 307 of the Criminal Code of the Russian Federation.

(signatures)

EXPERT CONCLUSION No. 480

Rostov-on-Don

We, the senior expert of group XXXXX Department of Internal Affairs of the Rostov department of the ECC at the Central Internal Affairs Directorate of the Republic of Uzbekistan, police major XXXXX, having a higher education and 9 years of expert work experience, and the chief expert of group XXXXX Department of Internal Affairs of the Rostov department of the ECC at the Central Internal Affairs Directorate of the Russian Federation, police major XXXXX, having a higher education and experience of expert work of 8 years , on the basis of the decision to order a forensic examination, issued on October 4, 2003, Art. Investigator of the Investigation Department at XXXXX Department of Internal Affairs of Rostov-on-Don XXXXX, in criminal case N3477812, conducted a forensic trace examination.

Circumstances of the case: 03.10.03 in the period from 11:15 am. until 15:25 an unidentified criminal entered the address: Rostov-on-Don, st. ХХХХХ 136 sq. 3 and stole the property of citizen ХХХХХ. During the inspection of the crime scene, a shoe print, copied onto a piece of dark fingerprint film, was seized. Mr. XXXXX was detained on suspicion of committing this crime.

SUBMITTED FOR EXAMINATION:

A piece of dark fingerprint film with a shoe print, seized during the inspection of the crime scene.

One pair of shoes seized from Mr. XXXXX.

Experts:

QUESTIONS ARE POSED TO THE EXPERT:

Is a shoe print on a piece of dark fingerprint film submitted for examination suitable for identification?

If so, did it leave the shoes seized from Mr. XXXXX, or other shoes?

(Questions are edited by the investigator)

STUDY:

The examination objects arrived for examination packed in 1) a light brown paper envelope measuring 310x128mm. On front side The envelope has handwritten text “WMD 03.10.03. Theft at the address: Rostov-on-Don, st. XXXXX 136 sq. 3. Seized: 1 negative. dark dact. films with shoe marks. Witnesses: 1 (signature) 2 (signature) Art. next (signature).” The flap of the envelope is sealed, and on top of it is pasted a square piece of white paper with an imprint of the official seal of the CO at XXXXX OVD. The packaging has no visible violations.

2) a blue plastic bag with handles, the neck of which is tied with a white rope, the ends of which are tucked into a piece of white paper folded in half and glued, on which there is the handwritten text “a pair of shoes seized on 10/04/03. during a personal search of Mr. XXXXX. Witnesses 1) (signature) 2) (signature) investigator (signature)” and the stamp “No. 1” of XXXXX Department of Internal Affairs. The packaging has no visible violations.

When opening the envelope, the following was extracted from it:

One piece of dark fingerprint film with maximum dimensions of 172x106mm (photo N1).

When opening the plastic bag, the following was extracted from it:

One pair of shoes for the left and right feet (photo N2).

By visually inspecting the presented piece of dark fingerprint film in various positions to light sources using a forensic magnifying glass and a measuring ruler, the following was established:

On the emulsion side of a piece of dark fingerprint film measuring 172x106 mm, a trace of layering formed by a gray dusty substance was copied. The maximum footprint dimensions are 115x80mm. Judging by the size and shape of the mark, the type of pattern displayed in it, and the circumstances of the case, we can conclude that it was left by the outsole part of the tread of the shoe sole. Due to its incomplete display, it is not possible to determine with shoes which foot this mark was left on. The trace was displayed in the form of a pattern consisting of four quadrangular elements with a maximum length of 30mm, a width of 12mm, with a distance of 12-13mm from each other, located on the left edge of the trace (orientation in photo No. 3) and forming a row with an arched right edge (1st row); one “V”-shaped element with a maximum length of up to 73mm and a width of up to 10mm at the base of the track; four “V”-shaped elements of different lengths, widths and shapes, with a distance of 12-13mm from each other and forming a row with arched edges (2nd row); one wave-shaped element with a maximum length of up to 58mm and a width of up to 8mm at the top trace.

A detailed study of the mark using the micrometer eyepiece of the MBS-10 microscope (2-5x magnification) revealed the following:

the lower left corner of the lower element of the 2nd row has a bevel, forming a semicircular protrusion with a diameter of 2 mm;

on the upper edge of the lower element of the 1st row there is a semi-oval recess 2.5 mm wide and 1.2 mm high, located 2 mm from its left edge;

on the upper edge of the lower element of the 1st row there is a semi-oval recess 2 mm wide and 1.1 mm high, located 14 mm from its left edge;

on the right edge of the 2nd element (counting from the bottom) of the 1st row there is a wedge-shaped notch 0.4 mm wide and up to 3 mm high, located 3 mm from its lower edge;

on the right side of the 2nd element (counting from the bottom) of the 2nd row there is an irregularly shaped gap with a maximum size of 23x7mm;

on the upper edge of the lower element of the 2nd row there is a semicircular recess with a diameter of 1 mm, located 17 mm from its left edge;

in the middle of the lower element of the 2nd row there is a continuous vertical gap 0.2 mm wide.

The particular signs (features) of the shoe print under study described above are a reflection of defects in the contact surface of the shoe sole that formed during its operation. Their occurrence depends on many random factors, which makes their combination unique and, together with the general features displayed in the footprint (the size and shape of the footprint, the size and shape of individual elements, the type of pattern), individualizes it, which is sufficient to conclude that the shoe footprint , copied on a piece of dark fingerprint film measuring 172x106 mm, seized during an inspection of the scene of the incident on 10/03/03 following the theft of property of citizen XXXXX at the address: Rostov-on-Don, st. XXXXX 136 sq. 3, suitable for identifying the shoes that left it.

The shoe footprint was photographed using the S-64 installation, on Mikrat 200 film, using contrasting re-shooting on FT41 film according to the rules of forensic photography (the footprint is dark, the image is upright, scale 1:1). The photographs were taken on Unibrom-160 photographic paper.

The shoes presented for examination without laces are made of black leather. The sole of the shoes is made of soft rubber black and stitched around the perimeter with black thread. The maximum height of the sole (in the heel area) is 37mm. The sole is not differentiated into heel and outsole. Sole length 318mm. The maximum width of the heel is 94mm. The front section of the toe of the outsole is semicircular, the maximum width of the outsole is 120mm. On the midsole there is a raised (convex) marking “270”, and on the outsole there is a raised (indented) inscription “Leideli”. The tread of the sole of the shoe is embossed and forms a pattern in the form of protruding elements up to 4 mm high. The heel pattern consists of one semicircular element and two “V”-shaped elements. The design of the intermediate part consists of two trapezoidal and one “V”-shaped element. The outsole pattern consists of one “V”-shaped element at the base; two arcuate rows on the sides (1st and 3rd row), each of which consists of four quadrangular elements with a maximum length of 30 mm, a width of 12 mm, with a distance of 12-13 mm from each other; one row in the center (2nd row) consisting of four “V”-shaped elements of different lengths, widths and shapes, with a distance of 12-13 mm from each other; one element complex shape with a wavy bottom edge, forming the toe of the outsole (photo No. 4).

A detailed study of the sole of the presented shoes using the micrometer eyepiece of the MBS-10 microscope (2-5x magnification) revealed that the contact surface of the sole tread of the presented shoes has many damages in the form of abrasions, punctures, dents, cuts, cracks, bevels, namely:

in shoes on the right foot:

the lower right corner of the lower element of the 2nd row has a bevel, forming a semicircular protrusion with a diameter of 2 mm;

on the upper edge of the lower element of the 3rd row there is a semi-oval recess 2.5 mm wide, 1.2 mm long, up to 2 mm deep, located 2 mm from its right edge;

on the upper edge of the lower element of the 3rd row there is a semi-oval recess 2 mm wide, 1.1 mm long, up to 1.2 mm deep, located 14 mm from its right edge;

on the left edge of the 2nd element (counting from the bottom) of the 3rd row there is a wedge-shaped notch 0.4 mm wide, up to 3 mm long, up to 1.5 mm deep, located 3 mm from its lower edge;

on the left side of the 2nd element (counting from the bottom) of the 2nd row there is wear in the form of an irregularly shaped recess with maximum dimensions of 23x7mm, maximum depth of up to 2.6mm;

on the upper edge of the lower element of the 2nd row there is a semicircular recess with a diameter of 1 mm, a depth of up to 1.5 mm, located 17 mm from its right edge;

in the middle of the lower element of the 2nd row there is a continuous vertical gap 0.2 mm wide and 0.3 mm deep.

in shoes on the left foot:

the upper left corner of the lower element of the 1st row has a bevel, forming a triangular protrusion 2 mm wide at the base, up to 3 mm high;

on the lower edge of the lower element of the 1st row there is a semi-oval recess 2.4 mm wide, 1.5 mm long, up to 0.4 mm deep, located 6 mm from its right edge;

4mm from the right edge of the 3rd element (counting from the bottom) of the 2nd row there is a horizontal linear cut 5mm long, 1mm wide, up to 1.5mm deep;

in the center of the 2nd element (counting from the bottom) of the 2nd row there is wear in the form of an irregularly shaped recess with maximum dimensions of 34x12mm, depth up to 2.2mm.

The edges of these damages are uneven, rounded, with traces of abrasions. The nature of these damages allows us to conclude that these damages were formed during the use of the shoes. Their occurrence depends on many random factors, which makes their combination unique, individualizes a given shoe, which is the basis for the conclusion about its suitability for identification.

During a comparative study using the method of visual comparison of a shoe print copied on the presented piece of dark fingerprint film with the tread of shoes seized from Mr. XXXXX, a match was established in general features (shape, size and type of pattern) between the print and the outsole part of the shoe on the right foot.

For further research, an experimental dust print of the contact surface of the outsole part of the tread of the sole of the shoe on the right foot, seized from Mr. XXXXX, was obtained using dark dactyl film.

The structural details of the tread pattern of the outsole part of the tread of the shoe under study were displayed in the experimental print fully and clearly, which makes it possible to recognize it as suitable for conducting a comparative study for identification purposes.

In a comparative study by visual comparison of a shoe print copied on a piece of dark fingerprint film measuring 172x106 mm, with an experimental imprint of the outsole part of a shoe tread on the right foot, seized from citizen XXXXX, a match was established between them both in terms of general characteristics (shape, size and type of pattern ), and by the relative position and shape of particular features of the details of the drawing.

To illustrate the coincidences on the photo table (photo N5,6), arrows and numbers of the same name, red dye, mark matching particular features of the details of the drawing (photos No. 7,8 show paired photographs for control). Matches were established by:

The presence of a semicircular protrusion in the bevel of the corner of the design element (mark 1);

The presence of semi-oval recesses in the design element (marks 2,3);

The presence of a wedge-shaped notch in the pattern element (mark 4);

The presence of irregularly shaped wear in the pattern element (mark 5);

The presence of a semicircular recess in the design element (mark 6);

The presence of a linear break in the pattern element (mark 7).

Along with the coincidences, some differences in the shape and size of individual elements were observed in the trace and the experimental print, which can be explained by the mechanism of trace formation and the properties of the trace-receiving surface, therefore these differences are insignificant and do not affect the positive conclusion.

The established matches are sufficient to conclude that:

A shoe print seized during an inspection of the scene of the theft on 10/03/03 of the property of group XXXXX at the address: Rostov-on-Don, st. XXXXX 136 sq. 3 and copied onto a piece of dark fingerprint film measuring 172x106 mm, left with shoes on the right foot, seized from Mr. XXXXX.

OUT 0 OUT:

1. A footprint of a shoe, seized during an inspection of the scene of the incident on October 3, 2003, of the property of group XXXXX at the address: Rostov-on-Don, st. ХХХХХ 136 sq. 3 and copied onto a piece of dark fingerprint film measuring 172x106 mm, suitable for identification.

2. This mark was left by the shoe on the right foot, seized from Mr. XXXXX.

Application:

A piece of dark fingerprint film measuring 172x106mm with a shoe print, packed in a paper envelope in which it was presented for examination. The opened side edge of the envelope is sealed with a piece of paper, on which there is the inscription “exp.480-03”, the signature of the experts and one print round stamp"ECO" group XXXXX ATS.

2. Shoes seized from Mr. XXXXX, packed together with the primary packaging tag in the plastic bag in which they were presented for examination. The neck of the bag is tied with a transparent polymer tape, the free ends of which are tucked into a sheet of paper folded in half and glued together, on which there is the inscription “exp.480-03”, signatures of experts and one imprint of the round seal “ECO” of group XXXXX OVD.

3. Photo table with eight photographs on three sheets.

Experts:

Example of establishing group affiliation

Ministry of Internal Affairs of the Russian Federation

Department of Internal Affairs of XXXXX district of Rostov-on-Don

FORENSIC DEPARTMENT

Rostov-on-Don, Ave. XXXXX 28, office 25, tel. XXXXX

P O D P I S C A

In accordance with Article 199 of the Code of Criminal Procedure of the Russian Federation, the rights and obligations of an expert provided for in Article 57, Article 62 of the Code of Criminal Procedure of the Russian Federation were explained to me, an expert from the EKO Department of Internal Affairs of the XXXXX district of Rostov-on-Don XXXXX. On liability for giving a knowingly false conclusion under Art. 307 of the Criminal Code of the Russian Federation warned. December 16, 2002 XXXXX

EXPERT OPINION No. 527

Rostov-on-Don The examination began at 15:15 on December 16, 2002 Finished at 11:10 on December 17, 2002 I, head of the IVF XXXXX Department of Internal Affairs of the city of Rostov-on-Don, police captain XXXXX, having a higher education and work experience in expert specialization 7 years, on the basis of the decision to order a forensic examination, issued on December 15, 2002 by the investigator of OD XXXXX Department of Internal Affairs of the city of Rostov-on-Don XXXXX, in criminal case N2478273, conducted a forensic forensic examination of cold steel. Circumstances of the case: December 13, 2002 at about 4 p.m. at the intersection of the lane. XXXXX and st. XXXXX was detained by Mr. XXXXX and taken to the XXXXX police station, where during a personal search a knife was confiscated from him.

SUBMITTED FOR EXAMINATION:

1. Resolution on the appointment of an examination. 2. Knife.

THE QUESTION IS POSED TO THE EXPERT:

1. Is the knife submitted for examination a bladed weapon? If so, what kind exactly, what type of knives is it, and how is it made? (the question was edited by the expert and agreed with the investigator)

STUDY

The object of investigation was delivered by the investigator, packaged in a transparent colorless cellophane bag, the neck of which was tied with a gray-green thread, the ends of which were tucked into a piece of paper folded in half and glued with the handwritten text “Criminal case No. 2478273 in relation to XXXXX.” Witnesses 1 (signature) 2 (signature), (signature of the investigator) ХХХХХ” and the seal imprint “For packages No.” ХХХХХ Department of Internal Affairs of Rostov-on-Don. The packaging has no visible defects. When opening the package, the following was removed from it:

knife (illustration N1); primary packaging tag.

The knife presented for examination has a total length of 288 mm. It consists of a blade, a stopper and a handle. The blade of the knife is straight, single-edged, made of silver-white metal that is attracted by a magnet. Blade length 159mm, width at the base 25mm, maximum width 30mm, butt thickness 3.5mm. The blade is sharpened on both sides, the width of the sharpening fields is up to 20mm, direct sharpening is 1.5mm. The tip (combat end) is formed by the convergence of the bevel of the butt and the smooth rounding of the blade, located at the level of the midline of the blade. The bevel of the butt is arched. The point is sharp. Heel length 20mm. The butt has a trapezoidal shape. The surface of the blade is smooth, shiny, polished. On both sides of the click there is a relief (pressed) engraving of the ornament. The knife handle is mounted in a mounted manner, inlaid, made of a number of dark brown ebonite plates and one 1mm thick plate made of metal yellow color. The tip of the handle is made of silver-white metal that is not attracted by a magnet. The handle has one interdigital protrusion, in cross section has an oval shape. Handle length 122mm. The maximum width of the handle is 37mm (at the tip protrusion), the minimum width is 24.5mm; the maximum thickness is 24mm (at the end of the tip), the minimum thickness is 18mm (at the base). The surface of the handle is smooth, polished, there are no markings. The limiter is made of silver-white metal that is not attracted by a magnet. The length of the limiter is 38mm, width 21mm, thickness 5mm. The design features of the knife under study, the presence of minor defects in the processing of parts in the form of uneven and asymmetrical edges, the absence of markings, indicate that this knife was manufactured in a homemade way. When comparing the knife submitted for research with reference literature (“Forensic examination of edged weapons”, Tikhonov E.N., Barnaul 1987 and “Cold Weapons”, Ustinov A.I., Moscow 1994), as well as with samples of certified edged weapons described in the “Collection of information sheets of bladed, throwing weapons and products structurally similar to such weapons that have passed certification forensic tests”: M., State University of ECC of the Ministry of Internal Affairs of the Russian Federation, it is established that it coincides with general purpose hunting knives: in terms of dimensional characteristics, features of structural elements and all design in general, appearance. In order to determine the structural strength of the knife under study as a whole and its individual elements, the rigidity of its material, the possibility of causing damage, as well as to resolve the issue of the convenience and safety of holding it during piercing and cutting blows, the following experiments were carried out using generally accepted forensic techniques:

the front part of the knife handle was clamped in a vice and a force was applied to the tip of the blade, acting perpendicular to its side plane, at which the end of the blade was bent by 11 mm. After removing the load, the blade did not bend, there were no residual deformations and did not exceed 1 mm, which indicates the strength and elasticity of the blade. the tip of the blade delivered numerous blows (40 times in a row) to the surface of a dry pine board with increasing force and amplitude, at different angles to its surface. At the same time, no destruction of the knife as a whole, its individual elements, or violation of the strength of the connection between the blade and the handle occurred. Thus, the possibility of repeatedly hitting a target without destroying the knife under study has been established, which indicates the strength of the knife design. The maximum depth of penetration of the blade tip into the board was up to 14 mm, which indicates that the knife under study has sufficient destructive properties. At the moment of striking, the handle of the knife was comfortably covered by the hand when the knife was positioned with the blade down, the emphasis on the handle excluded the possibility of the hand slipping from the handle and damaging it, which indicates the convenience of holding this knife in the hand and the safety of applying piercing and cutting blows of different strengths and directions ; To determine the hardness of the blade, measurements were taken using a “KIT-M-01” hardness tester using the Rockwell method (verification certificate N083031 issued on May 20, 2002 by RCSMiS). The accuracy of the device readings before and at the end of a series of hardness measurements of the knife under study was checked using hardness measures having HRC = 23.4; 43.6; 62.4 units. All measurements were carried out in triplicate. As a result of measurements, it was established that the average hardness of the blade of the knife submitted for examination was 45.5 HRC (48.9 at the base; 42.6 in the middle part; 45.1 at the tip, which exceeds the minimum permissible hardness values ​​for the blades of hunting knives).

Thus, the above design features the knife presented for examination, its dimensional characteristics, the result of a comparative study, the results of forensic experiments, the method of manufacture, allow us to conclude that: - the knife presented for examination, seized during a personal search of Mr. XXXXX, is a bladed weapon, made homemade in a manner similar to general purpose hunting knives.

CONCLUSION:

1. The knife presented for examination, seized during the personal search of Mr. XXXXX, is a bladed weapon, made in a homemade manner similar to general-purpose hunting knives. Appendix: 1. The knife described above, packed in the packaging described above, the neck of the bag is tied with a transparent polymer tape, the ends of which are tucked into a piece of paper folded in half and glued with the seal of ECO XXXXX OVD, the explanatory inscription “527-021” and the signature of the expert. Expert: XXXXX

F O T O T A B L I C A

Illustration N1

General view of the knife presented for examination.

Expert: XXXXX

Bibliography

Belkin R.S. Forensics course. In 3 vols. M., 1997. T. 1. P. 244-288.

Dubrovin S.V. Forensic diagnostics. M., 1989. Zotov B.L. Identification in criminology: Lecture. M., 1973. Koldin V.Ya. Identification and its role in establishing the truth in criminal cases. M., 1969. Koldin V.Ya. Identification in crime investigation. M., 1978. Kolmakov V.P. Identification actions of the investigator. M., 1978. Korukhov Yu.G. Forensic diagnostics in the investigation of crimes: a scientific and practical guide. M., 1998. Luzgin I.M., Khaziev Sh.R. Forensic identification and diagnosis and their use in solving and investigating crimes: lectures on criminology. M., 1992. Lutsenko O.A. Traceology. Lecture / Faculty of Law of the Russian State University, Rostov-on-Don, 2004. Medical and forensic identification. Handbook of a forensic medical expert. Under the general editorship. V.V. Tomilina. – M.: Publishing group NORMA-INFRA. M., 2000. Sedova T.A. Problems of methodology and practice of non-traditional forensic identification. L., 1986. Sedykh-Bondarenko Yu. Forensic identification examination. M., 1973. Segay M.Ya. Methodology of forensic identification. Kyiv, 1970. Terziev N.V. Identification and determination of generic (group) affiliation. M., 1961.

Printed in the operational printing laboratory of the Faculty of Law of the Russian State University.

344007, Rostov-on-Don, st. M. Gorky, 88.

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