Managing Quality Process Controls: Your Guide to Operational Success

Governance, Risk & Compliance

Internal Controls (ICS)

3 min read

How you benefit as a process owner from workflow-supported process controls

Man picking quality process controls on a smiley cube on a desk
Man picking quality process controls on a smiley cube on a desk

Introduction

Are you familiar with this: As the person responsible for a process, your core task is to ensure that your processes run smoothly. To ensure that this succeeds, you have assigned controls to certain process steps. These are also carefully documented in your system. However, at some point (or at least by now at the latest) you have certainly come across the following thought: “How can I be sure that my control is really being carried out? Is it effective at all?” If these thoughts sound familiar to you, then you have come to the right place! We have the appropriate solution ready for you!

Why are quality process controls relevant?

As is generally known, the central task of a company is to fulfil certain corporate goals. For this purpose, the identification and implementation of business processes is necessary. Processes are therefore an elementary component of organisations and contribute significantly to the company’s success. The prerequisite for this is a consistently high quality standard and smooth process flow. Only in this way can time and costs be saved and potentially occurring negative effects due to process deviations be avoided.

If processes come to a standstill, related tasks cannot be completed, superfluous communication channels are created and enquiries are necessary. In the worst case, your customers are affected. The functionality as well as the quality of processes is therefore a top priority in every company.

The process view in detail

Each process consists of several interrelated process steps (also: activities or tasks), the execution of which is the task of different persons. A process always pursues a specific process goal. As a rule, the so-called process owner (also: process owner, process manager) is responsible for the fulfilment of this process goal.

Process owners are therefore in charge of many tasks – starting with the planning and introduction of a process, the management of the employees responsible for the process steps as well as the successful implementation and monitoring of the processes. Finally, the focus is on continuous process improvement.

Quality process controls ensure optimal process performance

So that the person responsible for the process can guarantee a smooth process flow and a permanently high quality standard, controls are used – the so-called process controls. They are an integral part of a process and are usually carried out every time the process is run. The main task is to monitor and ensure the individual process steps.

A frequently used operational control in the process of submitting an offer would be, for example, the 4-eyes approval. This ensures that no relevant errors are included in the process step of creating the offer and that the process as a whole is characterised by its quality.

Image 1: Operational controls to ensure process steps are carried out

Unfortunately, it is often standard practice in companies that process controls are only mapped for documentation purposes within processes or their process steps. Consequently, the question of meaningfulness arises, because you as the person responsible for the process can only answer two essential questions with difficulty:

  1. “Have my process controls been carried out?”
  2. “Is the process control effective at all?”

It would therefore be beneficial to provide each process owner with a proactive tool. Fortunately, this tool does exist. It is a workflow-based process control. In concrete terms, this means that a process control is defined in more detail – by attaching instructions, execution declarations or referencing. Based on this, control execution confirmations and control tests are deposited.

Graphic showing how workflow-based process control works

Image 2: The Workflow-based process control

Summary and next steps

By obtaining control execution confirmations, process owners can see at a glance that the process control has been carried out properly. The use of additional control tests is used to monitor operational controls. They are, so to speak, “controls of controls”. They provide information on whether a control fulfils its purpose and is therefore effective. Often, several controls are combined in one control test.

Thus, workflow-based process controls are a useful tool to ensure the functionality as well as the quality of a process. Process owners benefit from them because they contribute directly to process optimisation and are consequently also relevant to the overall success of the company.

If you are interested in more details on the use of control execution confirmations and control tests, take a look at our webinar on ” Control, anchor and automate controls”. In this webinar we show how these two tools can be implemented directly into a process to support you in process management.

Learn how ADONIS Process Automation can support your initiatives!

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Frequently Asked Questions

What are quality process controls and why are they essential for business success?2025-08-13T07:30:17+00:00

Quality process controls are systematic checkpoints, approvals, and verification mechanisms that ensure processes execute correctly and consistently. They’re essential because they prevent errors, ensure compliance, maintain quality standards, reduce risks, and protect organizational reputation while enabling predictable business outcomes.

What is a workflow-based process control and what is the advantage of it?2025-08-13T07:31:42+00:00

A workflow-based process control is a tool that guides process owners through structured compliance steps using instructions, execution confirmations, and control tests. It enables proactive, traceable, and standardized control execution, ensuring transparency and reducing compliance risks.

How to implement workflow-based process controls effectively?2025-08-13T07:33:06+00:00

Implement workflow controls by mapping process steps, identifying control points, defining approval hierarchies, establishing verification checkpoints, implementing automated routing, and creating exception handling procedures. Use workflow tools to enforce controls while maintaining operational efficiency and user experience.

What is a 4-eyes approval process and when should it be used?2025-08-13T07:45:29+00:00

A 4-eyes approval process requires two independent people to review and approve decisions or transactions. Use for high-risk activities, financial transactions above thresholds, regulatory compliance requirements, sensitive data handling, and critical business decisions requiring independent verification and fraud prevention.

How much can quality process controls reduce operational errors?2025-08-13T07:46:32+00:00

Quality process controls typically reduce operational errors by 60-85% through systematic verification, approval gates, and validation checkpoints. Organizations report 70-90% reduction in compliance violations and 50-75% decrease in rework costs through well-designed control frameworks.

What are control execution confirmations and how do they work?2025-08-13T07:47:41+00:00

Control execution confirmations are documented evidence that control activities were performed correctly and timely. They work by capturing who performed controls, when they occurred, what was verified, and any exceptions found, creating audit trails for compliance and effectiveness monitoring.

How to conduct effective control tests to verify process control effectiveness?2025-08-13T07:49:03+00:00

Conduct control tests by selecting representative samples, reviewing control execution evidence, testing control logic, interviewing control performers, analyzing exception patterns, and validating control outcomes. Test both design effectiveness and operational effectiveness regularly to ensure continued control reliability.

What role do process owners play in quality control management?2025-08-13T07:50:05+00:00

Process owners define control requirements, ensure implementation, monitor effectiveness, address control failures, coordinate improvements, and maintain accountability for control performance. They bridge business requirements with operational execution while ensuring controls serve business objectives effectively.

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