
Using Process-Based Approach with ISO Management Systems
One of the foundational elements of ISO standards is the “process approach”. This process-based approach focuses on managing organisational activities through interconnected processes, aligning them with strategic objectives.
This methodology enables businesses to streamline workflows, maximise resource utilisation, and drive continuous improvement—all essential for maintaining competitive advantage and meeting regulatory standards.
In this blog post, we look into the core principles of the ISO process approach, from understanding what defines a process to exploring how organisations can implement process-based management systems.
We look at the benefits, challenges, and key requirements involved in adopting a process-centered approach.
Table of Contents
What is a Process-based Approach?
A process approach involves managing and controlling an organisation’s activities through a structured series of interrelated processes. Unlike traditional, function-based approaches, the process approach considers how different functions interact, ensuring that they work cohesively to achieve company goals.
This method not only highlights the flow of work but also emphasises how each process impacts the others, aiming for holistic efficiency across all operations of the business. For ISO management systems, the process approach is key to achieving the desired outcomes because it focuses on the interconnectedness between activities, promoting effective resource use, and facilitates continual improvement.
What is a Process?
A process is a sequence of interacting activities that transforms inputs into outputs. In an organisational context, processes can range from simple, repetitive tasks to complex, multi-departmental workflows.
Each process has defined objectives, inputs, outputs, and requires specific resources to function efficiently. Understanding the nature of a process enables organisations to measure, control, and improve their activities by assessing each step’s contribution to the main process goals.
Process “Scopes”
A process scope refers to the boundaries and constraints within which a process operates.
Scoping a process involves defining its purpose, boundaries, stakeholders, resources, and expected outcomes. Proper scoping helps businesses focus on key elements within each process and avoid unnecessary complexities, ensuring alignment with the bigger organisational objectives.
In an ISO management system, defining a process scope is crucial for effective system management, performance measurement, and enables targeted improvements. During an audit, the scope is used to clarity the specific areas which need to be reviewed.
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What is a Process-Based Management System?
Process-Based Management Systems are designed around the end goals rather than specific departmental functions, creating an interconnected and efficient structure where roles and resources align with the desired outcomes.
Key characteristics of a process-based structure
- Interconnected workflows: Each process is designed to support others, ensuring smooth transitions and handovers between departments.
- Outcome-centric: Objectives are aligned with broader business outcomes, rather than departmental goals alone. The focus is placed on meeting objectives through processes designed to meet expected outcomes.
- Continual improvement: Emphasis on ongoing evaluation, feedback, and adjustment of processes for enhanced efficiency.
- Clear accountability: Defined roles and responsibilities within each process, which facilitates tracking and accountability.
Benefits of a Process-Based Management System
- Enhanced efficiency: Processes are optimised, leading to more efficient use of resources and reduced waste.
- Better outcome control: By standardising processes, organisations can maintain consistent outcomes.
- Increased agility: A process-based structure adapts more readily to changes, as processes can be modified without a significant structural overhaul.
- Improved accountability and transparency: Clearly defined processes and scopes lead to better monitoring and accountability at all levels.
Challenges of a Process-Based Management System
- Complexity in design: Developing interdependent processes can be complex, especially in larger organisations.
- Resistance to change: Shifting from a function-based to a process-based approach often encounters internal resistance.
- Ongoing maintenance: Continual improvement requires ongoing monitoring, measurement and adjustments, which demands time and resources.
- Integration across departments: Ensuring that departments work in harmony and share resources effectively can be difficult, especially when transitioning from a function-based structure.
Process Management in organisations
What is Involved in managing processes?
To manage an organisation using the Process Approach, top management must first establish a process model to identify the organisation’s processes and distinguish between key and support business processes; without this foundation, detailed understanding of each process cannot be achieved.
Managing these processes involves activities such as process mapping, measurement, analysis, and improvement. Businesses should begin by mapping each process, breaking it into individual steps, and identifying roles, resources, inputs, and outputs.
Metrics are then defined to measure performance and identify improvement opportunities, while continual monitoring, measurement, and analysis ensure that processes stay aligned with business goals and operate efficiently.
Models Used with Process-Based Management
Process models visually connect strategic objectives to the processes that achieve them, illustrating the flow of activities, interactions, decision points, and outcomes. In this strategic representation, known as a “Value Chain,” key business processes are identified and typically limited to six primary processes in a macro-level model.
Business Process Model and Notation (BPMN)
Business Process Model and Notation (BPMN) is a common standard that uses specific symbols, much like letters in an alphabet, to build diagrams that depict processes clearly and consistently. BPMN helps organisations design, analyse, and improve processes effectively, making process models essential tools for transparent, structured, and effective operations, especially when implementing ISO standards.
BPMN helps map business processes, making it easier to identify automation opportunities. It uses symbols similar to ISO 5807 for clear, consistent diagrams, essential for ISO-compliant management systems. This standardised approach minimises variability, ensures consistent outcomes, and enhances efficiency, supporting processes that reliably achieve their intended results.
In a process-oriented approach, unlike a traditional hierarchical structure where functional groups focus solely on their departmental goals, all participants prioritise and support the overall process objectives. This alignment requires that each function contributes to broader organisational goals rather than isolated functional targets, fostering a more cohesive strategy.
An example of this structure is a product development team comprising members from research, development, marketing, and production departments. Rather than working in isolation, these departments collaborate as a single, cross-functional unit focused on product development.
This setup ensures that every stage, from concept to market, is aligned with quality standards, customer needs, and business goals, thereby achieving a unified business objective rather than separate departmental aims.
The role of technology in Process-Based Management
Technology plays an important role in process-based management by automating repetitive tasks, enabling real-time monitoring, and facilitating data-driven decision-making.
Process management software, such as BPM (Business Process Management) platforms, provides tools for process modelling, automation, and analytics.
In ISO-based Management Systems, technology helps ensure conformity and streamline audits by maintaining comprehensive records and performance metrics.
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ISO’s Requirements for a Process-Based Approach
Process in Management System Standards
ISO management system standards, including ISO 9001, ISO 14001, and ISO 45001, are built upon a harmonised structure that emphasises a unified process approach.
As outlined in clause 4.4 of each standard, organisations are required to “establish, implement, maintain, and continually improve” their management systems by defining necessary processes and understanding how these processes interact.
This approach ensures that each ISO-certified organisation views its operations holistically, leading to better integration, consistency, and performance across all areas.
By adhering to this process approach, organisations not only meet specific ISO requirements but also enhance their ability to achieve broader strategic objectives through continuous improvement.
Internal Auditing using a Process-Based Approach
ISO standards require that organisations conduct regular internal audits to ensure conformity with defined processes and system requirements. Internal Auditors assess not only the adherence to procedures but also the effectiveness of processes in meeting objectives.
Process-based internal audits involve examining workflows, metrics, and records to determine how well processes align with ISO standard/s requirements. This helps identify inefficiencies, non-conformities, and opportunities for improvement.
ISO Certification Using a Process-Based Approach
What we look for during Certification Audits
During a certification audit, the auditor evaluates how well an organisation’s management system meets standards and how effectively its processes work together. A strong focus is placed on communication, which ensures coordinated efforts toward meeting organisational goals.
Key aspects a Certification Auditor looks for:
Process identification and mapping
The auditor checks if processes are clearly identified, mapped, and documented, with specified inputs, outputs, and owners. They review communication points to ensure that information flows smoothly across activities and processes.
Process objectives, metrics, and communication of performance
The auditor verifies that each process has measurable objectives and metrics, with performance data communicated across relevant levels. This helps align efforts with quality, environmental, or health and safety goals.
Evidence of implementation and communication flow
Observing activities, reviewing records, and interviewing staff, auditors seek evidence that processes are consistently implemented and that communication flows as expected to maintain process control.
Risk-Based Thinking and communication of risks
Auditors assess how the organisation identifies and communicates risks within each process, ensuring preventive actions are taken to avoid nonconformities, with all relevant areas informed of potential risks.
Process interactions and communication across interfaces
Auditors evaluate if interactions between processes are effectively managed. Clear communication of responsibilities and dependencies helps maintain a smooth workflow and prevent misunderstandings.
Monitoring, measurement, and feedback loops
Auditors check how performance data, internal audit results, and metrics are monitored and communicated, ensuring feedback is used to drive improvements across departments.
This process-based approach allows auditors to assess both compliance and the effectiveness of the management system in achieving ISO standards.
How to prepare for your Certification Audit
Preparation for a certification audit involves ensuring that processes are well-documented, roles are clearly defined, and all records are up-to-date. Organisations should conduct internal audits, identify, and address non-conformities, and review process performance metrics. Additionally, training employees on ISO requirements and their roles within processes ensures everyone is prepared for the certification audit.
Conclusion
Process-based ISO management systems encourage businesses to design, monitor, and continually improve interconnected workflows, fostering efficiency and achieving its intended outcomes. The process approach, integral to ISO standards, promotes a structured organisational framework that adapts to change, mitigates risk, and aligns operations with strategic goals.
While implementing a process-based system presents challenges, the benefits of increased efficiency, agility, and accountability outweigh the obstacles. Through proper process management, technology integration, and thorough preparation for certification audits, organisations can successfully meet ISO requirements and gain the benefits of streamlined, effective operations.
Download our FREE GUIDE “Tips for Optimising Process-Based Systems” which provides practical insights into creating a streamlined, agile, and effective system.
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