Steps in the process approach What to do? Guidance PLAN Define the context of the organization The organization should identify its responsibilities, the relevant interested parties and their relevant requirements, needs and expectations to define the organization’s intended purpose. Gather, analyze and determine external and internal responsibilities of the organization to satisfy the relevant requirements, needs and expectations of the relevant interested parties. Monitor or communicate frequently with these interested parties to ensure continual understanding of their requirements, needs and expectations. Define the scope, objectives and policies of the organization Based on the analysis of the requirements, needs and expectations establish the scope, objectives and policies that are relevant for the organization’s quality management system. The organization shall determine the scope, boundaries and applicability of its management system taking into consideration the internal and external context and interested party requirements. Decide which markets the organization should address. Top management should then establish objectives and policies for the desired outcomes. Determine the processes in the organization Determine the processes needed to meet the objectives and policies and to produce the intended outputs. Management shall determine the processes needed for achieving the intended outputs. These processes include management, resources, operations, measurement, analysis and improvement.
Define the need for documented information Determine those processes that need to be formally defined and how they are to be documented. Processes exist within the organization. They may be formal or informal. There is no catalogue or list of processes that have to be formally defined. The organization should determine which processes need to be documented on the basis of risk-based thinking, including, for example: The size of the organization and its type of activities. The complexity of its processes and their interactions. The criticality of the processes. The need for formally accountability of performance. Processes can be formally documented using a number of methods such as graphical representations, user stories, written instructions, checklists, flow charts, visual media or electronic methods including graphics and systemization. However, the method or the technology chosen are not the goals. They can be used to describe processes, which are the means to achieve the goals. Effective and organized processes can then deliver consistent and accountable operations and the desired objectives and results which can then be improved. Note: For more guidance see the ISO 9000 Introduction and Support Package module Guidance on the Documented Information Requirements of ISO 9001:2015 Define the interfaces, risks and activities within the process Determine the activities needed to achieve the intended outputs of the process and risks of unintended outputs. Define the required outputs and inputs of the process. Determine the risks to conformity of products, services and customer satisfaction if unintended outputs are delivered. Determine the activities, measures and inherent controls required to transform the inputs into the desired ouputs. Determine and define the sequence and interaction of the activities within the process. Determine how each activity will be performed. Ensure that the management system as a whole takes account of all material risks to the organization and users. Note: In some cases the customer may specify requirements not only for the outputs but also for the realization of a process. Define the monitoring and measurement requirements Determine and how monitoring and measuring should be applied. This should be both for control and improvement of the processes and the intended process outputs. Determine the need for recording results. Identify the validation necessary to assure effectiveness and efficiency of the processes and system. Take into account such factors as: Monitoring and measuring criteria. Reviews of performance Interested parties’ satisfaction. Supplier performance. On time delivery and lead times. Failure rates and waste. Process costs. Incident frequency. Other measures of conformity with requirements.
DO Implement Implement actions necessary to achieve planned activities and results. The organization should perform activities, monitoring, measures and controls of defined processes and procedures (which may be automated), outsourcing and other methods necessary to achieve planned results. Define the resources needed Determine the resources needed for the effective operation of each process. Examples of resources include: Human resources. Infrastructure. Environment. Information. Natural resources (including knowledge). Materials. Financial resources. CHECK Verify the process against its planned objectives Confirm that the process is effective and that the characteristics of the processes are consistent with the purpose of the organization. The organization should compare outputs against objectives to verify that all the requirements are satisfied. Processes are needed to gather data. Examples include measurement, monitoring, reviews, audits and performance analysis.