implementation
Step 6

Processes & Procedures 

The Process list includes a list of generic processes such as sales, procurement, delivery of products, design changes and job completion. The process list is designed to help you enhance customer satisfaction by identifying the controls required to meet customer expectations consistently.

The guidance includes listing auditable steps and related clauses and lookup columns that enable you to select from Controls, Interested Parties, and Roles and Responsibilities to demonstrate effective process performance.

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Why you need to determine the processes needed for the ISO Management System (MS)

Clause 4.4 of the ISO standard requires you to determine the processes needed for the management system and their application throughout the organisation, including:

  • inputs needed and the outputs expected from these processes
  • sequence and interaction of these processes
  • monitoring required to ensure the effective operation and control of these processes
  • resources are necessary for these processes and ensure their availability
  • responsibilities and authorities for these processes

Clause 8.1 requires you to implement and control the processes determined in 4.4 to meet the requirements for providing your products and services.

ISO promotes adopting a process approach when developing, implementing and improving the effectiveness of a management system. This process approach enables you to enhance customer satisfaction by:

  • understanding and consistency in meeting customer requirements
  • the consideration of processes in terms of added value
  • the achievement of effective process performance
  • improvement of techniques based on the evaluation of data and information.

How ISOvA MS software helps you determine processes

The ISOvA IMS Toolbox provides you with a template list of processes. Lookup columns to your from Controls, Interested Parties and Roles and Responsibilities, avoid duplication and enables hyperlinks to drill down for further information. 

Processes and Procedures list on the ISOvA IMS Toolbox 

The headings below match the columns provided in your IMS Toolbox:

Title

The Process (Title) column includes a list of the most common types of processes an auditor would expect to see in your MS, including:

  1. Strategic Direction including 0perational planning and Control
  2. Sales including Customer Acquisition
  3. Procurement including Reviewing requirements for products and services
  4. Delivery including Control of production and service provision
  5. Job Completion including Release of products and services
  6. Change Management including Control of changes

The outputs of each process are generally input to the following procedure. You can easily tailor these to match your organisation or add new methods:

Auditable Steps

This column documents the high-level process as a procedure that the auditor can quickly follow. Each step should include the next checkpoint in the process, which can be evidenced through completed documents, photos, systems or checklists.

For example, Job completion could include:

  1. ​​​Check job against Project Plan
  2. Check all Specified Paperwork using Job Completion Checklist
  3. Review Changed Requirements Log
  4. Confirm Customer Satisfied. If no, report in Corrective Actions Log
  5. Completion and final sign-off of Job Tracking Spreadsheet
  6. Return all Specified Paperwork to the office​
  7. Check and query any discrepancies against PO and then ​invoice
  8. Follow up call for Customer Feedback and testimonial​


An alternative way to document your processes is to use flowcharts. Understanding processes as auditable steps will help you to identify risks and opportunities for improvement. 

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By understanding processes, your MS will help you plan its processes and their interactions and consistently meet your quality and regulatory requirements. In addition, the process approach allows you to;

  • identify risks and prevent quality issues from happening
  • ensure that its processes are adequately resourced and managed
  • and that opportunities for improvement are determined and acted on

Clauses

This column defines the ISO (9001) clause, which is linked with the processes.

For example, an operational procedure (flow chart) communicates the standard's clause 8 (Operations).

Controls 

From the How-To guide 3 (Controls), this column allows you to link the controls in place for this process to minimise non-conformance

Interested Parties 

Again, from your How-To guide 5 (Interested Parties), allocate the parties involved in this process from the list you constructed earlier. 

Management Reports

The Process list data can be filtered and sorted to provide management reports by clauses, interested parties, 

Line Breaker

Next Step…

Having determined roles, responsibilities, and authorities for your ISO MS, you can now move to the next step:

Step Implementation Guides:

1: Roles & Responsibilities
2: Legal Register
3: Controls
4: SWOT Analysis
5: Interested Parties
6: Processes and Procedures
7: Key Performance Indicators
8: Risks and Opportunities
9: AIMS and OBJECTIVES
10: Audit Programme
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