Every company has workflows. Whether they become processes that can be controlled, measured and improved depends on a few basic decisions. Five principles, classified against ISO 9001 and viewed from a practical perspective.
Every company has workflows. Whether they become processes that can be controlled, measured and improved depends on a few basic decisions. This first part describes five principles, classifies them against ISO 9001 and shows what they mean in practice. Part 2 looks at where process management often gets stuck in day-to-day work.
At a glance
According to ISO 9001, a process is a set of interrelated or interacting activities that transforms inputs into results [1]. The TÜV Akademie blog describes it as a bundle or sequence of activities that require inputs and lead to a result [2]. A process therefore always aims at a result. This can be a product, a service, a piece of information or a data record [2].
The process approach is regarded as one of the principles of quality management. ISO 9000 states that consistent and predictable results are achieved more effectively and efficiently when activities are managed as interrelated processes [1]. ISO 9001 describes in clause 4.4 an approach in which quality-relevant processes are defined, made measurable, implemented, regularly evaluated and improved [2].
The TÜV Akademie blog distinguishes three types of process [2].
| Process type | What it is for | Examples |
|---|---|---|
| Management processes | serve the management of the company | Policy, strategy, budgeting, personnel development, objectives management |
| Core processes | are decisive for the value chain, begin with the customer and end with delivery to the customer | from order to delivery |
| Support processes | ensure the core processes can function and contribute only indirectly to value creation | Procurement, maintenance, monitoring of measuring equipment, central services |
The ISO 9001 approach includes defining the required inputs and the desired results, as well as the activities, their sequence and their interactions [1]. Inputs can be material, such as raw materials, or immaterial, such as instructions and technical specifications. Resources are also needed [2].
The GUT Cert guide warns against focusing mainly on the results [1]. In my view, this also means clarifying the inputs.
Practical takeaway
What needs to be clarified is who is responsible for the entire process and for individual activities, and what authority this person has [2]. ISO 9001 addresses this in clauses 4.4 and 5.3. This includes defining and reviewing responsibilities and authorities [1]. Process boundaries are usually linked to a change of responsibility [1].
How difficult this is in practice, especially for processes that cut across several departments, I describe in Part 2.
Practical takeaway
In clause 4.4.1, ISO 9001 refers to criteria and methods that ensure the effective operation and control of the processes, and explicitly mentions the associated performance indicators [1]. The monitoring of these indicators is the subject of clause 9.1 [1]. The TÜV Akademie blog also mentions performance indicators for monitoring activities [2].
Indicators are not an end in themselves. They show whether a process delivers what it is meant to. I have already described how important transparency is to me. Shared figures are the basis for shared decisions [4].
Two terms are central here: effectiveness and efficiency. Both are defined in ISO 9000. Effectiveness is the extent to which planned activities are realized and planned results are achieved [5]. Efficiency is the relationship between the result achieved and the resources used [6]. An effectiveness indicator therefore asks whether the process achieves the planned result, an efficiency indicator asks at what cost. DQS points out that effectiveness alone says little if efficiency is not considered as well [5]. In my view, efficiency is also a question of cost, because process efficiency holds significant cost drivers of organizations today.
Practical takeaway
The ISO 9001 approach (clause 6.1) is to consider risks in direct connection with the defined processes and to integrate actions to address risks and opportunities into the processes [1]. It is therefore not only about what can go wrong, but also about recognizing and using opportunities.
ISO 9001:2026 has been published since 16 September 2026. According to DQS, it deals with designing processes and measures for opportunity management and with evaluating their effectiveness [7]. The topic is thus explicitly taken up once more.
The automotive sector also treats this as part of its understanding of processes. The VDA 6.3 rules for process audits, which are applied internally and at suppliers, assess processes in the supply chain, in product development and in manufacturing. Process risks are identified there using the turtle model [3].
Practical takeaway
The process approach is linked to the PDCA cycle. This includes planning, controlling, monitoring and improving a process [1]. For improvement, ISO 9001 clause 10.2.2 mentions determining the causes of nonconformities as well as planning and implementing process improvements [1].
Practical takeaway
Workflows become controllable processes when inputs and results are defined, responsibility and authority go together, indicators create transparency, risks and opportunities are considered within the process, and improvement addresses the causes. In my assessment, they apply across industries. I will make a turtle diagram available for download as a template for describing processes (input, output, resources, responsible persons, documents, indicators, risks and opportunities).
In Part 2, I describe where things often get stuck in practice: the match between documented and lived processes, documentation, silo thinking, roles in process management, indicators, and the clarity of how processes are presented.
As of: all internet sources accessed on 21 October 2026. Source titles are given in the original German, with an English translation in square brackets.
[1] GUT Cert: Leitfaden QMS ISO 9001, Teil 2 [Guide to QMS ISO 9001, Part 2] (process approach, PDCA, standard clauses 4.4, 5.3, 6.1, 9.1, 10.2.2). https://www.gut-cert.de/files/content/download/Qualitaetsmanagement/Leitfaden_QMS_ISO_9001_Teil2.pdf
[2] TÜV Akademie: Grundlagen Prozessmanagement [Fundamentals of process management]. https://akademie.tuv.com/blog/grundlagen-prozessmanagement/
[3] LRQA: Prozessaudits nach VDA 6.3 [Process audits according to VDA 6.3]. https://www.lrqa.com/de-de/training/prozessaudits-nach-vda-63/
[4] Jens Hutter, QualiTEx Global: Was 25 Jahre Qualitätsmanagement über Führung lehren [What 25 years of quality management teach about leadership]. https://qualitexglobal.de/aktuelles/25-jahre-qualitaetsmanagement-fuehrung
[5] DQS: Was ist Effektivität? [What is effectiveness?] https://www.dqsglobal.com/de/entdecken/wiki/was-ist-effektivitaet
[6] DQS: Was ist Effizienz? [What is efficiency?] https://www.dqsglobal.com/de/entdecken/wiki/was-ist-effizienz
[7] DQS: ISO 9001:2026 veröffentlicht [ISO 9001:2026 published] (news item of 16.09.2026). https://www.dqsglobal.com/de/ueber-dqs/newsroom/iso-9001-2026-veroeffentlicht
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