IEC PAS 61512-3:2004

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IEC
AVAILABLE
PAS 61512-3
SPECIFICATION
First edition
Pre-Standard
2004-11
Batch control –
Part 3:
General and site recipe models
and representation
Reference number
IEC/PAS 61512-3:2004(E)
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AMERICAN NATIONAL STANDARD
ANSI/ISA–88.00.03–2003
Batch Control Part 3:
General and Site Recipe
Models and Representation
Approved 14 March 2003
TM
ISA The Instrumentation,–
Systems, and
Automation Society
2 Copyright © 2003, ISA; 2004, IEC

— 9 — ANSI/ISA-88.00.03-2003
Contents
Foreword . 4

ISA Preface .6

ISA Introduction.8

1 Scope.9

2 Normative references.9
3 Definitions .9
4 Recipe description .10
4.1 Recipe types .10
4.2 General and site recipe description.10
4.3 Equipment-independent recipes.11
4.4 General recipes .17
4.5 Site recipes .18
4.6 Product families and product grades.19
5 Equipment-independent recipe contents .20
5.1 Recipe information.20
5.2 Recipe life cycle states .20
5.3 Recipe header .20
5.4 Recipe formula.21
5.5 Recipe procedure .21
5.6 Equipment requirements .29

5.7 Other information.30
5.8 Life cycle states .30
6 Equipment-independent recipe object model .31
6.1 Introduction .31
6.2 Modeling techniques.32
6.3 Object model.32

6.4 Object relationships .33

6.5 Object model elements.34

7 Equipment-independent recipe representation.36

7.1 Process procedure chart.37

7.2 Process procedure chart notation.37

7.3 Process hierarchy.45

8 Transformation of equipment-independent recipes to master recipes .51
8.1 Source of information for master recipes.51
8.2 Element mapping.51
8.3 Stage-to-unit procedure mapping .51
8.4 Transform components.52
8.5 Transformation tasks .53
8.6 Transformation mapping.54
Annex A (informative) - General and site recipe benefits .59
Annex B (informative) – General and site recipes in the enterprise .60
Annex C (informative) - Usage questions .65
Annex D (informative) - Bibliography .70
Annex E (informative) - List of Participants .71

4 Copyright © 2003, ISA; 2004, IEC

INTERNATIONAL ELECTROTECHNICAL COMMISSION

____________
BATCH CONTROL –
Part 3: General and site recipe models

and representation
FOREWORD
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A PAS is a technical specification not fulfilling the requirements for a standard, but made
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IEC-PAS 61512-3 has been processed by subcommittee 65A: System aspects, of IEC technical
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88.00.03 .
Attention is drawn to the fact that Clauses 6 and 7 of this PAS contain licenses involving the
following copyright: Copyright © 2003 by ISA.
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The text of this PAS is based on the This PAS was approved for
following document: publication by the P-members of the

committee concerned as indicated in

the following document
Draft PAS Report on voting
65A/410/NP 65A/421/RVN
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ISA Preface
This preface, as well as all footnotes and annexes, is included for information purposes and is not part of

ANSI/ISA–88.00.03–2003.
This document has been prepared as part of the service of ISA.The Instrumentation, Systems, and

Automation Society.toward a goal of uniformity in the field of instrumentation. To be of real value, this

document should not be static but should be subject to periodic review. Toward this end, the Society
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BY ELECTRONIC SECURITY ISSUES. THE COMMITTEE HAS NOT YET ADDRESSED THE

POTENTIAL ISSUES IN THIS VERSION.

This document has been structured to follow IEC (International Electrotechnical Commission) guidelines.

Therefore,the first three clauses discuss the Scope of the standard, Normative References, and Definitions,

in that order.
Clause 4, Recipe Description, is informative.
Clause 5 is normative. The intent of this clause is to describe the contents of general and site recipes.
Clause 6 is normative. The intent of the clause is to describe an object model of general and site recipes.
Clause 7 is normative. The intent of this clause is to describe a symbolic language for general and site
recipe depiction.
Clause 8 is informative. The intent of this clause is to describe some aspects of general or site to master
recipe transformation.
The annexes are informative.
This document is intended for those who are:
a) responsible for defining product processing requirements;
b) involved in designing and/or operating batch manufacturing processes;
c) responsible for specifying controls and the associated application programs for batch manufacturing
plants;
d) involved in the design and marketing of products in the area of batch control; or
e) use product information for the purposes of manufacturing or managing the manufacture of product.

8 Copyright © 2003, ISA; 2004, IEC

— 13 — ANSI/ISA-88.00.03-2003
ISA Introduction
ANSI/ISA-88.01-1995, Batch Control Part 1: Models and Terminology (referred to as Part 1 throughout

this document) provides models and terminology applicable to batch control. ANSI/ISA88.00.02-2001,

Batch Control Part 2: Data Structures and Guidelines for Languages (referred to as Part 2 throughout

this document) addresses data structures and guidelines for languages. This Part 3 defines additional

information on general and site recipes. Clause 4 of this document contains definitions of general

and site recipes in greater detail than in Part 1. Clause 5 defines detailed description of the
contents of general and site recipes. Clause 6 defines a data model that identifies objects and
relationships that were addressed in Clauses 4 and 5. Clause 7 defines a method for depiction of general

and site recipes that can be used for both simple and complex processing requirements, using both a
tabular and a graphical notation. Clause 8 describes some aspects of general or site to master recipe
transformation. The annexes provide complementary information.
Although this document is intended primarily for batch processes, it may have considerable value for other
types of processes as well.
BATCH CONTROL –
Part 3: General and site recipe models

and representation
1 Scope
This PAS on Batch Control defines a model for general and site recipes; the activities that describe the

use of general and site recipes within a company and across companies; a representation of general and

site recipes; and a data model of general and site recipes.

2 Normative references
The following referenced documents are indispensable for the application of this document. For dated
references, only the edition cited applies. For undated references, the latest edition of the referenced
document (including any amendments) applies.
ANSI/ISA-88.01-1995, Batch Control Part 1: Models and Terminology (referred to in this PAS as "Part 1").
ANSI/ISA-88.00.02-2001, Batch Control Part 2: Data Structures and Guidelines for Languages (referred
to in this PAS as "Part 2").
IEC 61512-1:1997, Batch Control — Part 1: Models and Terminology.
IEC 61512-2: 2001, Batch Control — Part 2: Data Structures and Guidelines for Languages.
ANSI/ISA-95.00.01-2000, Enterprise-Control System Integration Part 1: Models and Terminology.
ANSI/ISA-95.00.02-2001, Enterprise-Control System Integration Part 2: Object Model Attributes.
IEC 60050-351:1998, International Electrotechnical Vocabulary — Part 351: Automatic Control.
ISO/IEC 19501:2004, Information Technology — Open Distributed Processing — Unified Modeling
Language (UML) Version 1.4.2
3 Definitions
For the purposes of this PAS, the following definitions apply. Definitions and concepts expressed in the
Part 1 and Part 2 standards (IEC 61512-1 and 61512-2 respectively) apply, except where differences are
explicitly stated in this PAS. Definitions in IEC 60050-351:1998 were also used as a basis.
3.1 equipment-independent recipe:
a super class of a recipe type that is independent of equipment and follows the procedural model of general
recipes.
3.2 master recipe transform component:
part of a master recipe that is used in the transformation of an equipment-independent recipe into a
complete master recipe.
3.3 process procedure chart (PPC):
a method for the graphical representation of equipment-independent recipes.
3.4 product family:
a set of produced materials that are related by manufacturing business policy.
3.5 product grades:
a collection of similar materials with some variations in properties.

10 Copyright © 2003, ISA; 2004, IEC

ANSI/ISA-88.00.03-2003 — 16 —
4 Recipe description
4.1 Recipe types
As defined in the recipe model of the Part 1 standard, a recipe is an entity that contains the minimum set of

information that uniquely defines the manufacturing requirements for a specific product. Recipes provide a

way to describe products and how those products are produced.

Four types of recipes are defined in Part 1: general recipe, site recipe, master recipe, and control recipe.
There are substantial differences between general/site and master/control recipes. General/site recipes
describe the equipment-independent processing requirements to make a specific product. Master/control
recipes describe the specific actions required with specific equipment to make a batch of product.
Additional information on the four recipe types is defined the Part 1 standard.
4.2 General and site recipe description
4.2.1 Manufacturing information
General and site recipes are sources of information for the development of process cell-specific master
recipes. Their purpose is to describe manufacturing information without regard to specific manufacturing
equipment. They describe, in manufacturing terms, the materials, equipment requirements, chemical
transformations, and physical transformations required to manufacture a product.
4.2.2 Multiple site definitions
General and site recipes are intended to define processing requirements that can be carried out in differently
constructed process cells and that can be valid in multiple areas and multiple sites, as shown in figure 1. In
some circumstances, general recipes can even be used to convey product-manufacturing information across
multiple enterprises.
— 17 — ANSI/ISA-88.00.03-2003
One General Recipe per produced

material, maintained at the enterprise level.
For example, 1000 company wide products

Enterprise
One Site Recipe per site and produced

material, maintained at the site for local

materials, language, or segment of

production.
Site Site Site For example, 10,000 site recipes for 10 sites
One Master Recipe per Process Cell
and produced material.
For example, 50,000 master recipes for
5 process cells per site.
Process Cell Process Cell Process Cell
One Control Recipe per batch.
For example, 1,000,000 batches per year.
Describes the custom options and formula
values for one specific batch of product.
Figure 1 - Recipe hierarchy example
There are generally fewer general and site recipes in a manufacturing enterprise than master recipes. For
example, a small specialty chemical company can have 1,000 general recipes, and 10,000 site recipes for 10
production sites. The company can have 50,000 master recipes, assuming an average of 5 process cells per
site that can manufacture the products. Large companies can have thousands of products and millions of
master recipes. A single change to a general recipe can result in changes to hundreds of master recipes.
4.2.3 Expansion and collapsing of the recipe type hierarchy
The general and site recipe hierarchy can be expanded or collapsed to meet an enterprise’s needs. For
example, a company might only have general recipes and not site recipes. Alternately, a company could
include another level of equipment-independent recipes below the site recipe that is specific to an area within
a site.
4.3 Equipment-independent recipes
4.3.1 Equipment-independent recipe subtypes
General and site recipes are subtypes of a general class of equipment-independent recipes. They have the
same structure, information, and display, but they differ by their use within a company, based on company
policies.
12 Copyright © 2003, ISA; 2004, IEC

ANSI/ISA-88.00.03-2003 — 18 —
4.3.2 Activities of equipment-independent recipes

There are multiple possible implementations of equipment-independent recipes within a company. Two

commonly used approaches are defined here, one in which equipment-independent recipes are used as input

to trial or pilot plant production, another in which equipment-independent recipes are generated as a result of

trial or pilot plant production. These approaches are defined for product manufacturing; they do not necessarily
apply to other areas of the enterprise, such as research and development (R&D), but the concepts can be
beneficial in other areas.
In the examples, the recipes are identified as General Recipes, but they can be any type of equipment-

independent recipe.
Development of equipment-independent recipes is typically an iterative process so there will be feedback
loops throughout both processes. For simplicity, the multiple feedback loops have not been shown in figure 2
and figure 3.
4.3.3 Input to trial or pilot production
Figure 2 illustrates the activities associated with the generation and use of equipment-independent recipes as
an input to trial or pilot plant production.
In this usage scenario, a company generates equipment-independent recipes that are the definitions given to
the trial or pilot plant operation. The equipment-independent recipes are converted to master recipes that
match the pilot plant equipment layout and the process is scaled up and validated.

— 19 — ANSI/ISA-88.00.03-2003
Develop
Product Synthesis
Description
R&D
Global Material Other Global
Product Synthesis
Specifications Specifications
Description
Create
Global Process Global Equipment
General
Action Definitions Property Definitions
Recipe
Modify
General Recipe General
Recipe
Convert and
Trial Facility Trial
Validate in
Mapping Rules Master Recipe
Trial Facility
Approved
General Recipe
Figure 2 - Pilot plant creation of equipment-independent recipe
4.3.4 Output from trial or pilot production
An alternate method for equipment-independent recipes development is the creation of an equipment-
independent recipe after the scaleup and verification of the process in a trial or pilot facility, as shown in figure
3. In this model a final equipment-independent recipe is generated after the scale up and verification of the

process in a trial or pilot facility. This equipment-independent recipe is usually constructed using the final trial
master recipe as the process description.
Note that because of clarity of the process description inherent in formal equipment-independent recipes, it
can be advantageous in some circumstances to use the same structure as an input to the pilot plant, even if it
is not identified as a recipe.

14 Copyright © 2003, ISA; 2004, IEC

ANSI/ISA-88.00.03-2003 — 20 —
Develop
Product Synthesis
Description
R&D
Product Synthesis
Description
Convert and
Trial Facility
Validate in
Mapping Rules
Trial Facility
Trial
Master Recipe
Global Material Other Global
Specifications Specifications
Create
Global Process Global Equipment
General
Action Definitions Property Definitions
Recipe
Approved
General Recipe
Figure 3 - Equipment-independent recipe from pilot plant development
4.3.5 Control of equipment-independent recipes
Equipment-independent recipes are usually tightly controlled because they represent the valuable, proprietary,
and unique intellectual capital of a company. It is important that equipment-independent recipes be managed

with formal procedures and adequate safeguards for change control.
4.3.6 Equipment-independent recipe process definition
An equipment-independent recipe defines a single process for the production of an intended, or in some
cases, multiple intended materials.
4.3.7 Equipment-independent recipe variants
There can be multiple variants of an equipment-independent recipe for a produced material that describe
alternate synthesis paths or alternate formula materials. Each variant is described in a separate equipment-

— 21 — ANSI/ISA-88.00.03-2003
independent recipe. An identification method is usually used to indicate the relationship among the multiple

variant recipes for the produced material.

For example, multiple equipment-independent recipes might be used to make a wood- based glue product.

Different recipes would be used based on the time of the year or species of trees used. All of the general

recipes would specify the same final product, but could be identified by variant.

4.3.8 Source of scheduling information

Equipment-independent recipes, and in particular site recipes, provide a source for scheduling and planning

information for a corporation. A site recipe defines all of the processing materials required to make a product,

or a portion of a product, at a site. It also contains information about the resources required to make the
product; information that can be useful for production and resource scheduling.
Equipment-independent recipes, and in particular site recipes, provide a source for site scheduling and
planning information including:
a) information about materials required to make a product, or a portion of a product
b) information about the resources required to make the product
In cases where site recipes are not used (e.g., all sites use the same general recipe), then for purposes of
scheduling the general recipe can be considered a site recipe.
Master recipes are needed for detailed scheduling of process cells and units, because these schedules require
knowledge of the specific equipment required.
4.3.9 Equipment-independent recipes and business information
Recipes correspond to product production rules, as defined in ANSI/ISA-95.00.01-2000. General and site
recipes correspond to equipment-independent product production rules; master and control recipes
correspond to equipment-specific product production rules.
Because a site recipe can be defined for many process cells, with different structures, it is often used as a
basis for site planning information, as specified in ANSI/ISA-95.00.01-2000.
There is an overlap of the information contained in a site recipe and the Bill Of Materials (BOM) used in
business systems to manage and schedule materials. This overlap is identified as a Manufacturing Bill in
ANSI/ISA-95.00.01-2000, and is made up of the site recipes’ process inputs. The site recipe can be the
source of information for the manufacturing bill. See figure 4.
There is an overlap of information in a site recipe and the Bill Of Resources (BOR) used in business systems
to schedule production. The overlap is defined as Process and Product Segments in ANSI/ISA-95.00.01- 2000
and can correspond to the site recipe’s process stages and process operations.

16 Copyright © 2003, ISA; 2004, IEC

ANSI/ISA-88.00.03-2003 — 22 —
Site
All information required to produce a product, at a
Recipe
given site
Production Routing may be defined as the process

stage or process operation sequence

Manufacturing Bill defined as the recipe’s process

inputs
All materials required to produce a product at a
Bill Of
given site, including materials not related to
Materials
production (e.g. shipping materials)
Bill Of
All resources, identified by scheduling, required to
Resources
produce a product at a given site, including
information not related to production (e.g. material
order lead times)
Figure 4- Site recipe, BOM, and BOR information overlaps
4.3.10 Equipment-independent recipes for capability comparison
Equipment-independent recipes allow product-manufacturing specifications to be compared with equipment
capabilities. The generalized equipment and process requirements contained in an equipment-independent
recipe can be matched against definitions of site or process cell equipment capability to determine where a
product can be manufactured, to determine where parts of the product can be manufactured, or to determine
what additional equipment capability is required to manufacture the product.
4.3.11 Equipment-independent recipes as facility design specifications
Equipment-independent recipes are, by their very nature, a useful component of a facility design specification.
Equipment-independent recipes in their native form often are not directly usable as specifications, but they do
contain information required for a facility specification in a formal, understandable, and standard format.
Examples of the use of equipment-independent recipes for facility design include the following:
a) The collection of equipment-independent recipes formally defines the processing requirements and some
of the associated equipment requirements for the facility.
b) The process dependencies are useful in the definition of material flows between units and between

process cells.
c) The formulas within the equipment-independent recipes precisely define the materials that are to be
handled by the facility.
d) The formulas clearly define the ratios of amounts of materials, including expected yield amount compared
to raw material amounts.
e) The process definition can include product-dependent processing times, when these are based on
chemistry requirements rather than on equipment size.

— 23 — ANSI/ISA-88.00.03-2003
f) Recipes and anticipated production schedules, as defined in ANSI/ISA-95.00.01-2000, when combined

can be used to determine equipment capacities.

4.4 General recipes
4.4.1 Enterprise-wide definition

A general recipe defines the manufacturing requirements for a specific product or range of product. It is
independent of the actual site or equipment that could be actually used to manufacture the product. A general

recipe can be considered as the technical specification of the process to make a product.

A general recipe is an enterprise-wide recipe that serves as the basis for site and master recipes. It is created
by people with knowledge of both the chemistry and processing requirements for the product. It identifies raw
materials, their relative quantities, the required processing, and order of processing. It defines processing
capabilities required, such as cooling or heating, or generalized equipment requirements such as glass-lined
reactors. It does not define specific equipment that has to be used to implement processing, but it specifies
authorized types of equipment, usually when it is critical to the process described.
The general recipe is suitable across the entire enterprise. It contains the manufacturing requirements for a
particular material in terms that can be used by all sites that manufacture that material. It also can serve as
input for corporate production planning and standard costing.
4.4.2 Purpose of a general recipe
A general recipe is a corporate recipe that defines processing required to manufacture a single uniform
product at different manufacturing sites and cells. Possible variations between these manufacturing sites can
be in their plant topologies, raw materials, and degree of automation. A general recipe for a product might
only be created after a master recipe for the product has been proven in one or more sites.
A general recipe should not be generated by a chemist or formulator based only on their experience in
producing a product in a laboratory environment. It should be based on company-accepted definitions of
manufacturing capabilities and is often tested in a production environment before it is fully accepted.
4.4.3 General recipe information
4.4.3.1 Manufacturing information
General recipes contain manufacturing information, and cannot be complete until the manufacturing process is
well defined. They are typically developed during the scale-up verification of manufacturing and process
requirements at pilot plants or other process trial or scale-up facilities. General recipes contain references to a
company's basic manufacturing capabilities. Development of general recipes can also involve process
development as well as product development, as shown in figure 5. The general recipe provides a means for
unambiguously communicating processing requirements to multiple manufacturing locations.

18 Copyright © 2003, ISA; 2004, IEC

ANSI/ISA-88.00.03-2003 — 24 —
Customer
Requirements
Product
Development
Initial
General
Manufacturing
Research
Recipe
Process
Development
Produced
Basic Manufacturing
Material
Definitions
Figure 5- General recipes in a typical development function
4.4.3.2 Product development
Product development results in the definition of the product and product specifications.  It includes definitions
of how to make the product, at least in laboratory scale. It results in basic understanding of the chemistry and
processing requirements peculiar to the product. Product development can result in equipment requirements
that are described in enough detail to define the type of equipment needed.
4.4.3.3 Process development
Process development results in the definition of the manufacturing processes required to produce the product
within product specifications. Process development takes into account the currently defined basic
manufacturing process definitions. If additional manufacturing processes are needed, for example because of
unique new chemistry that requires new process actions, then process development defines the new process
requirements.
4.5 Site recipes
4.5.1 Site-specific recipes
The site recipe is a type of recipe that is specific to a particular site. A site recipe is the combination of site-
specific information and general recipe information. Such things as the language in which it is written or local
raw material differences are accommodated as site-specific variances. It is usually not specific to a particular
set of process cell equipment.
A site recipe is usually derived from a general recipe to meet the conditions and requirements found at a

particular manufacturing location and provide the level of detail necessary for site-level, long-term production
scheduling. However, it can also be created directly without the existence of a general recipe.
4.5.2 Site recipe definition
A site recipe has the same structure as a general recipe, but the information in the site recipe is tailored for
each target location. The site recipe can be modified for the local language (e.g., French, German, or
English), the local unit of measure (e.g., English or metric), local requirements and/or local raw material
availability. The site recipe can include only a part of the process defined in the general recipe that is actually
implemented on the site. For example, a single product can have intermediate materials manufactured at one
site that are then shipped to a second site for final processing. In that case, each site recipe would be derived
from only the portion of the general recipe actually required for the processing to be done at that site.

— 25 — ANSI/ISA-88.00.03-2003
Typical reasons for the use of site recipes include:

a) Site recipes can be used to define local variations in the recipe production process or recipe presentation.

These variations might include such factors as:

• Local regulations
• Local language
• Local units of measure
• Local materials availability
• Local requirements
• Alternate raw materials
b) When production of a product defined by a general recipe is split across multiple sites, a site recipe may
only define the portion of a manufacturing process appropriate for the site.
c) Site recipes can be used to provide a site-level genealogy link to master recipes.
d) Site recipes can be defined locally for materials that are only produced and consumed at the site.
e) Site recipes can be used for site-costing purposes.
f) Site recipes can be used as a source of manufacturing specifications for matching against area and
process cell equipment capabilities.
g) Site recipes are a source of information about production requirements, material requirements, and
material ratios for the design of a production facility.
4.5.3 Site recipe policies
Site recipes are not always used. Their use is determined by a company's policy. If site recipes are used,
then a company should define a policy for control of the recipes. For example, a policy can be defined in
which a site generates its own site recipes that are not shared with other sites or corporate management, or a
site only receives site recipes generated for the site and never receives general recipes. An alternate policy
would allow sites to generate site recipes based on copies of approved general recipes.
4.6 Product families and product grades

4.6.1 Product definition
The Part 1 standard uses the term "product" to define the output of a process cell. The definition of a finished
or final product is defined at the enterprise level and is often differentiated by things other than the production
processes; for ex
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