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Comments on the
definition of process,
procedure and work
instruction

Jim Wade
Advanced Training

September 2001

Copyright © 2001, all rights reserved.

Permission is granted to reproduce, copy or distribute this article so long as the header and this
copyright notice including full information about contacting the author are attached.

The author of this article is Jim Wade. Contact him by email at jim.wade@bin.co.uk or by telephone on
0118 987 5120.

Page 1 of 7
Introduction
These are a few comments on the subject of the definition of ‘process’,
‘procedure’ and ‘work ‘instruction’.

Procedure vs work instruction

ISO 9000:2000 defines only two of the three terms (‘process’ and
‘procedure’). The new standards don’t define ‘work instruction’ (neither in
ISO 9000 nor in TC176’s subsequent Guidance on the Terminology used in
ISO 9001:2000 and ISO 9004:2000 – ISO/TC 176/SC 1/N 215 &
ISO/TC 176/SC 2/N 526R, May 2001).

‘Procedure’ is defined, in ISO 9000, as “a specified way to carry out an

activity or a process”. Sounds to me like that is very close to an
instruction to people on how to do their work! So I think the distinction
between a documented procedure and work instruction is, at best, very
slight.

ISO 9001 mentions ‘work instruction’ once (as an example of a controlled

condition in 7.5.1) but I reckon one could substitute ‘procedure’ for ‘work
instruction’ there without problem.

My view is that that you could consider simply dropping the distinction
between ‘procedure’ and ‘work instruction’.

However, if you do want to differentiate between the two types of

document, a good approach would be start with the customer and to
focus on the differences in terms of ‘purpose’ and ‘readership’. Ask “who
will use each type document and what, precisely, will they use it for?” The
answers will help to define the distinction – if any.

Moving on … I think the distinction between ‘process’ and ‘procedure’ is so

much more important…

Page 2 of 7
Process vs procedure

As a reminder, ISO 9000 defines these as:

Process: set of interrelated or interacting activities which transforms

inputs into outputs.

Procedure: a specified way to carry out an activity or a process.

Although a hierarchy is implied (in that a procedure gives us some

further detail about a process) I think that this is part of a wider and
more important picture. And I believe that process descriptions exist for
vastly different reasons than procedures.

Consider what ISO 9001 requires us to do in connection with processes:

1 We must show the sequence of our processes (4.1b)

2 We must show their interaction (4.1b & 4.2.2c), presumably by

identifying their inputs and outputs (9000:3.4.1)

3 We must include documents to ensure the effective planning of our

processes (4.2.1d)

4 We must determine criteria to ensure that the operation of our

processes is effective (4.1c)

5 We must determine methods to ensure that the operation of our

processes is effective (4.1c), including suitable methods of process
measurement. (8.2.3)

6 We must measure our processes (4.1e)

7 We must ensure availability of resources to support the operation of

our processes (4.1d)

Page 3 of 7
8 We must ensure availability of information to support the operation
of our processes (4.1d)

9 We must include documents to ensure the effective operation of

our processes (4.2.1d)

10 We must analyse our processes (4.1e) to provide information relating

to their characteristics (8.4c) and to their trends (8.4c)

11 We must determine criteria to ensure that control of our processes

is effective (4.1c)

12 We must determine methods to ensure that control of our processes

is effective (4.1c), including suitable methods of process monitoring.
(8.2.3)

13 We must monitor our processes (4.1e) and demonstrate their ability

to achieve planned results (8.2.3)

14 We must ensure availability of information to support the monitoring

of our processes (4.1d)

15 We must ensure availability of resources to support the monitoring of

our processes (4.1d)

16 We must include documents to ensure the effective control of our

processes (4.2.1d)

Requirements 9 and 16 above may, in some cases, be [partly] met by the

provision of procedures.

This should help put the relation of procedures to processes in context.

Procedures are just a relatively small part of the overall process picture,
(and an optional part at that). The requirement for procedures must be
considered alongside the mandatory requirements for resources,
information, methods, criteria, measurement, analysis and monitoring – as
well as the possible requirement for other process-related documents.

Key point: ISO 9004 and the pre-clause 4 parts of ISO 9001 make it
clear that it is top management responsibility to make the decisions that
result in our meeting the above process-related requirements.

Page 4 of 7
ISO 9001 doesn’t mandate the identification of process inputs and
outputs. However, it is pretty strongly implied in the definition of a
process that the requirement to determine and describe the interaction
of processes must involve determining and describing their inputs and
outputs.

So a basic process description looks like this:

Inputs Process Outputs

A process diagram or map is characterised by the lines (that join the

boxes that represent the processes) being ‘labelled’ in order to identify
what passes into, out of, or between the boxes – like this:

aaa Process bbb Process ccc

This labelling or annotation of the lines joining boxes is the key

difference between the description of a process and that of a procedure.

The sort of flowchart diagram that typically describes a procedure

(example below) doesn’t need to annotate the lines that join the boxes,
because they exist only to show ‘flow’ or ‘sequence’.

Page 5 of 7
Regarding the question of whether procedures need to identify inputs
and outputs…

If we expand a process box to show the procedural steps inside it, it is

tempting to show the inputs and outputs of the process as inputs and
outputs of the procedure (as shown below).

Inputs Process Outputs

Inputs

Outputs

However, this is too simplistic since the individual inputs and outputs may
be used or generated anywhere in the procedure. To show this detail
would require a more complicated diagram as shown below and this has
dubious value.

Input Output

Input
Output

Page 6 of 7
Summary of my views
The distinction between a procedure and a work instruction is
unimportant. If a distinction needs to be made, start with who will use
the document and what they will use it for.

The distinction between process and procedure is significantly more

important.

Processes require top management decisions before they can be

described.

A complete process description includes resources, information, methods,

criteria, measurement, analysis and monitoring – as well as the possible
requirement for other process-related documents.

Procedures are just one (optional) part of a process description.

Procedures can reasonably be established without top management

involvement.

The key difference between the description of a process and that of a

procedure is that process diagrams or maps are characterised by the
lines that join the process boxes being ‘labelled’ in order to identify what
passes into, out of, or between the boxes.

Procedure flowcharts don’t need to annotate the lines that join the
boxes, because they exist only to show ‘flow’ or ‘sequence’.

Bottom line
If we look at the audience and the purpose of the documented procedure
and the process map, we can see the distinction most clearly:

Process: for management and for improvement teams; to plan the

management system and to initiate improvement activities.

Procedure: for people doing a job: to tell people how to do the job.

Page 7 of 7