In the past, most auditors used a formal clause approach when auditing a management system; today, many auditors are leaving behind the checklist that served as a useful guide to identify the conformance with applicable requirements, and are now using a process approach to perform their audits.
Some aspects that give importance to this approach are the following:
Process Approach focuses on results, not on procedures.
Management systems are not just a set of documented procedures; they are an active system of processes that address business risks and its applicable requirements. By reviewing the process and not just the procedures, it becomes easier to evaluate the results of the process and how effective these really are.
Process Approach determines the effectiveness of the management system.
Audits conducted using a process approach provide information on whether performance targets are being met, they identify opportunities to improve performance through better process control and determines how processes can be more effective and efficient in meeting the system’s applicable requirements.
Process Approach evaluates links between departments and processes.
Interactions between the processes of an organization can often be complex, resulting in a network of interdependent processes where the output of a process can be the input of another. By following the flow and continued work throughout the organization, it’s possible to review and evaluate the sequence and interactions of processes, their inputs and outputs and the effectiveness of these interactions.
Process Approach determines whether the operations are under control and whether the controls are effective.
The process approach not only focuses on whether controls are in place but also on how efficient these really are in maintaining and improving the effectiveness of the process and the system.
Process Approach helps determine the depth of the problems through the organization.
When a problem is found, it is easier to determine the severity of its impact on the system by reviewing the entire process and it’s interactions with other processes.
Process Approach focuses on the benefits of correcting non-conformities related to improving organizational effectiveness.
Process based audits help organizations in evaluating the effectiveness of their processes. It serves as a tool to identify weaknesses and opportunities to improve the existing connections between policy, requirements, performance, objectives and goals, which will ultimately contribute to the overall success of an organization.
Management systems are a complex set of interactions between different activities carried out in different areas of an organization. When these activities are viewed as being part of a process, it is easier to understand these interactions and how they go beyond the boundaries of a specific functional unit. Also, by auditing an entire process, the people involved in it will have a greater understanding of how their activities influence the overall effectiveness of the organization’s management system.