What Is Risk-Based Thinking in ISO Standards?

Over the past two decades of working closely with clients in both the manufacturing and service sectors, I’ve witnessed firsthand the transformation that occurs when organizations stop treating compliance as a checklist exercise and start thinking in terms of risk and opportunity. With the 2015 revisions to many ISO standards, particularly ISO 9001, we saw a deliberate shift away from siloed “preventive actions” toward an integrated, strategic approach known as Risk-Based Thinking (RBT). 

This wasn’t just a semantic change. It marked a cultural evolution, an acknowledgment that uncertainty is inherent in every business process, and that success belongs to those who plan for it, not those who simply react to it. RBT has empowered organizations to navigate complexity with greater confidence, embedding foresight into their planning and decision-making at all levels. 

In this article, I’ll draw from real-world consulting experiences across diverse industries to demystify Risk-Based Thinking. We’ll explore what it really means, why it matters, how it supports proactive leadership, and what tools you can use to bring it to life within your own management system. Whether you’re guiding a mature enterprise or a fast-scaling startup, the principles of RBT are not only practical, but they’re also essential.

What Is Risk-Based Thinking (RBT)?

Risk-Based Thinking (RBT) is the proactive approach embedded in ISO standards like ISO 9001:2015, ISO 14001:2015, and ISO 45001:2018. Rather than treating risk as a separate component, RBT integrates it into every facet of an organization’s management system. This shift moves organizations from a reactive stance to a proactive culture, where potential issues are anticipated and addressed before they escalate. 

In my consulting journey, I’ve observed that organizations embracing RBT don’t just prevent problems, they identify opportunities for improvement and innovation. For instance, a manufacturing client leveraged RBT to streamline their supply chain, resulting in reduced lead times and increased customer satisfaction.

How Risk-Based Thinking Supports Proactive Decision-Making:

  • Identifying Potential Risks and Opportunities: By assessing both internal and external factors, organizations can foresee strategic and operational challenges and capitalize on opportunities. 
  • Integrating Risk Assessment into Planning: This ensures that objectives are achievable, and resources are allocated effectively. 
  • Enhancing Stakeholder Confidence: Demonstrating a proactive approach to risk management builds trust among customers, suppliers, and regulators.

A service industry client I worked with implemented RBT in their project management processes. This led to improved project delivery times and a significant reduction in unforeseen issues.

Key Objectives of Risk-Based Thinking:

The primary goals of RBT include: 

  • Enhancing Organizational Resilience: By anticipating potential disruptions, organizations can develop contingency plans. 
  • Promoting Continuous Improvement: Regular risk assessments lead to ongoing enhancements in processes and systems. 
  • Aligning Risk Management with Strategic Objectives: Ensuring that risk considerations are integral to achieving business goals. Read clause 6.1 connected to clause 4.1 and 4.1 per ISO harmonized structure. 
  • Fostering a Culture of Risk Awareness: Encouraging employees at all levels to consider risk in their daily activities. Clause 7.3 drives awareness to employees on how they can contribute to the system.

Practical Application of Risk-Based Thinking:

Implementing RBT involves: 

  1. Contextual Analysis: Understanding the organization’s internal and external environment. 
  2. Risk Identification: Recognizing potential events that could impact objectives. 
  3. Risk Assessment: Evaluating the likelihood and impact of identified risks. 
  4. Risk Treatment: Determining appropriate actions to mitigate or capitalize on risks. 
  5. Monitoring and Review: Continuously tracking risk factors and adjusting strategies accordingly.

Comparison: Preventive Action (Old) vs. RBT (New):

Previously, ISO standards emphasized preventive actions as separate clauses. However, this often led to a checkbox mentality, where organizations implemented measures without truly integrating them into their processes. 

With RBT: 

  • Integration: Risk considerations are embedded throughout the management system. 
  • Proactivity: Organizations anticipate and address potential issues before they occur. 
  • Flexibility: RBT allows for tailored approaches based on the organization’s specific context. 

This evolution encourages a more dynamic and effective approach to risk management. 

Tools & Techniques to Support Risk-Based Thinking:

1. SWOT Analysis (Strengths, Weaknesses, Opportunities, Threats) 

Use: SWOT analysis helps organizations evaluate their internal strengths and weaknesses, alongside external opportunities and threats. It’s particularly useful during strategic planning sessions or when entering new markets or launching new products. 

When to Use: Early in the business planning process or during the review of the organization’s context. 

Clause Alignment: ISO 9001:2015 – Clause 4.1 (Understanding the organization and its context) and Clause 6.1 (Actions to address risks and opportunities). This tool ensures that strategy and quality objectives are grounded in a realistic assessment of the internal and external environment. 

2. Failure Mode and Effects Analysis (FMEA) 

Use: FMEA systematically evaluates potential failure points in a product, process, or system and ranks them by severity, occurrence, and detection. It’s widely used in manufacturing, healthcare, and aerospace sectors. 

When to Use: During product design, process development, or when implementing changes that could introduce new risks. 

Clause Alignment: ISO 9001:2015 – Clause 8.3 (Design and development of products and services) and Clause 6.1 and 8.1. It supports risk-based planning and preventive strategies by analyzing “what could go wrong” and mitigating those risks before implementation. 

3. Risk Registers 

Use: A risk register is a living document that captures identified risks, assesses their likelihood and impact, and outlines mitigation actions and responsible parties. It provides transparency and traceability for risk management activities. 

When to Use: Continuously throughout project lifecycles or operational management, especially in industries like construction, logistics, or IT. 

Clause Alignment: ISO 9001:2015 – Clause 6.1 and Clause 9.1 (Monitoring, measurement, analysis and evaluation). It helps document ongoing risk review processes and links actions to strategic and operational plans. While not a requirement it is beneficial. 

4. Root Cause Analysis (RCA) 

Use: RCA investigates underlying causes of nonconformities, defects, or failures to prevent recurrence rather than just treating symptoms. It’s a staple in corrective action processes. 

When to Use: After incidents, near misses, or nonconformities—often triggered by audit findings or customer complaints. 

Clause Alignment: ISO 9001:2015 – Clause 10.2 (Nonconformity and corrective action). It supports continual improvement by ensuring lessons are learned and corrective actions address the source of problems. 

5. ISO/IEC 31010 – Risk Assessment Techniques 

Use: This standard outlines a variety of risk assessment tools including brainstorming, checklists, fault tree analysis, and bowtie analysis. It offers structured approaches tailored to industry-specific needs. 

When to Use: Depending on organizational maturity, criticality of operations, or regulatory environment. 

Clause Alignment: Supports ISO 9001:2015 – Clause 6.1, as well as clauses in ISO 14001 and ISO 45001 related to risk and opportunity planning. This framework provides flexibility for choosing appropriate methods suited to specific organizational risks. 

These tools, when chosen and applied correctly, don’t just satisfy audit checklists, they cultivate a culture of resilience and foresight. Over the years, I’ve seen organizations evolve by not just using these techniques mechanically, but integrating them into daily decision-making, making risk-based thinking a true operational philosophy rather than a compliance exercise. 

Internal vs External Audits: What Every Business Owner Should Know

The Strategic Importance of Audits for Business Owners

Audits are more than compliance checks; they are strategic tools that provide insights into performance, risk, and improvement opportunities. Engaged business leaders use audit results to drive better decision-making and long-term success. When conducting well, they provide leadership insights into where they may have to re-prioritize or allocate resources, where policies may be in conflict, what may be working well and where the system needs their leadership intervention.

What Are Internal and External Audits?

Internal Audits: Performed by or for the organization to check its own processes. These may be process audits or full system audits.

External Audits: These could be supplier audits (second party) or certification regulatory audits (third party). Third party audits are conducted by a third-party or certification body to verify compliance with standards.

Internal and external audits differ in breadth and depth of the audit based on scope and objective.

Why External Audits Should Be Taken Seriously?

External audits affect certification, reputation, and client confidence. A successful external audit demonstrates credibility and reliability.

Tip: Be prepared, be honest, and see auditors as partners in your improvement journey.

How to Prepare for Both Audits?

  • Keep documentation current
  • Review and close previous findings
  • Train staff on audit processes
  • Conduct mock audits
  • Engage leadership in the audit process

Conclusion:

ISO audit and their findings are not to be feared. They are valuable tools for identifying weaknesses and driving continuous improvement. With the right mindset and preparation, audits can move beyond mere compliance and become a core part of your strategic growth. Organizations that stay audit-ready show that they are not only compliant but also committed to excellence.

Top 10 Common ISO Audit Findings and How to Avoid Them

Importance of Being Audit-Ready:

Audits serve a critical role in verifying that an organization’s processes are aligned with established standards and functioning as intended. Far from being a punitive exercise, audits offer valuable insight into the strengths and weaknesses of a management system.

In my three decades of working with organizations across industries, one universal truth remains. An audit is not a surprise inspection, it’s a mirror. It reflects your organization’s systems, leadership engagement, and cultural commitment to quality and improvement. 

However, many organizations approach audits reactively, preparing only when one is imminent. This mindset often leads to unnecessary stress, inefficiencies, and missed opportunities for improvement. Being audit-ready means that compliance and performance monitoring are built into everyday operations, not treated as one-time events.

When an organization maintains a state of readiness, it reflects a culture of discipline, transparency, and continual improvement. Employees are aware of their responsibilities and of their processes, documentation is up-to-date, and leadership is engaged in the oversight of the system. This proactive approach not only supports successful audit outcomes but also enhances organizational resilience, stakeholder trust, and long-term sustainability.

Understanding ISO Audit Findings: What They Are and Why They Matter:

ISO audit findings are the documented results of an audit. Specifically, they identify areas where an organization’s management system either conforms to or deviates from the requirements of the ISO standard being audited. Findings can range from conformities, to observations (areas for potential improvement), to nonconformities, which indicate a failure to meet a specific requirement.

Audit findings are like diagnostic tools. Much like a physician’s report, they highlight where systems are healthy and where they need attention. Nonconformities, in particular, require careful attention. They are typically classified as minor or major. Left unaddressed, even minor nonconformities can escalate and lead to reputational damage, customer dissatisfaction, or even loss of certification.
In essence, audit findings are not setbacks, they are stepping stones toward improvement.

1. Poor Document Control

Uncontrolled, outdated, or missing documents can quickly lead to findings. Document control is critical for ensuring staff use the correct and current information. Organization can avoid this ISO Audit finding by implementing version control, limiting access to documentation, voiding printed copies of documentation, training employees on document management and regularly reviewing and updating procedures

2. Incomplete or Missing Records

Auditors expect to see evidence that procedures are being followed. If records are absent, it creates doubt about system effectiveness. Was the work really done? Further incomplete records are not able to evidence if the process step was followed as required by the procedure.

Organization can avoid this ISO Audit finding by automating recordkeeping, performing regular record audits, employee awareness and assigning clear ownership for maintaining records

3. Lack of Management Review

Without regular management reviews, there’s no top-level oversight of the system’s performance and alignment with strategic goals. Clause 9.3 of the ISO standards requires these reviews to be done at planned intervals. In some cases the organization may evidence the inputs provided to management but the outputs (decisions and actions) fail to get recorded.

Organizations can avoid this ISO Audit finding by scheduling periodic reviews, using metrics to guide discussions, making sure the leadership participates and documenting decisions and follow-up actions.

4. Ineffective Internal Audits

Weak internal audits fail to uncover problems and leave issues for external auditors to find. This could be caused by  poorly trained and qualified auditors, poor audit planning, using ‘canned’ checklists and a fear of audits and non-conformities causing personnel to hide issues.

Organizations can avoid this ISO Audit finding by training auditors from recognized training providers like QMII, auditing processes and not just documents, closing out internal audit findings promptly.

5. Unclear Roles and Responsibilities

When staff are unsure of their responsibilities, process gaps and accountability issues arise. In companies I have worked with there sometimes arises a confusion from where it is not clear which operator will conduct the task since all have the same job descriptions. 

Organizations can avoid this ISO Audit finding by defining roles and responsibilities in a RACI matrix or in the documented procedure, communicating changes clearly and verifying understanding during onboarding and training.

6. Non-Conformance Not Properly Addressed

Failure to analyze root causes or verify corrective actions can lead to repeat findings. A common cause of this may be a poorly written non-conformity as also a lack of structured root cause analysis training.

Organizations can avoid this ISO Audit finding by following a structured corrective action process, using tools like 5 Whys or Fishbone diagrams and reviewing the effectiveness of corrections

7. Lack of Risk-Based Thinking

ISO standards expect organizations to identify and manage risks proactively. Many still rely too heavily on reactive approaches. In some cases, risks are known, but are not passed up the chain because no structure exists for this to occur. Organizations can avoid this ISO Audit finding by including risk assessments in the planning phase, training staff on risk identification and maintaining a risk register that is updated on a regular basis. 

8. Insufficient Training or Competence

Staff who aren’t trained properly or lack required skills pose a compliance risk. Organizations can avoid this ISO Audit finding by developing and using a skills matrix, providing refresher training, linking training to performance reviews. Once the training is complete organizations must have a process to verify that training resulted in competence. 

9. Failure to Meet Customer or Regulatory Requirements

Not understanding or failing to meet these requirements can lead to major nonconformities. This occurs when organizations do not have a robust process for determining new requirements that may impact them and planning ahead to mitigate the risks. 

Organizations can avoid this ISO Audit finding by reviewing customer contracts and regulations, staying updated on evolving regulations, conducting compliance checks and keeping requirements visible to relevant teams.

10. Lack of Continual Improvement Evidence

Without records of improvement, your ISO system can appear stagnant and ineffective. Organizations can demonstrate to auditors that they meet the intent of continual improvement by trending and tracking KPIs, logging and reviewing improvement initiatives and recognizing and rewarding improvements

How to Retain Auditor Training Knowledge When You Can’t Apply It Immediately 

Completing an auditor training course is an exciting milestone. You walk away with frameworks, methodologies to create checklists, audit question techniques, and—if you’re like most professionals—a head buzzing with new knowledge. Ideally, you’d jump right into an audit and apply your skills, reinforcing what you’ve learned while it’s still fresh. But what if that opportunity doesn’t come right away? 

At QMII, we recognize this common challenge among our alumni. Let’s explore effective strategies to bridge the gap between training and practice—so that knowledge doesn’t fade but instead becomes a solid foundation for your future audit work. 

1. Simulate Real-World Scenarios 

Action: Design mock audits for yourself or with peers. 

Even without access to an organization’s system, you can simulate an audit process by reviewing publicly available quality manuals, environmental reports, or sample procedures including your own. Pretend you’re preparing for an audit: write an audit plan, create checklists, additional documentation you would request and practice conducting document reviews. 

Tip: Use scenarios from your training or past experience and ask yourself: 

  • What would I ask as an auditor? 
  • What evidence would I seek? 
  • What risks could be present? 

2. Start a Learning Journal 

Action: Reflect on key concepts, standards clauses, and audit techniques by writing them down in your own words. 

Journaling isn’t just for reflection, it’s a brain-anchoring technique. When you write out what you remember and how you would apply it, you’re reinforcing neural pathways tied to that knowledge. 

Include: 

  • Summaries of ISO clause requirements. 
  • How you would handle nonconformities. 
  • Sample non-conformities within your organization and write down your assessment of them as also the effectiveness of corrective actions. 

3. Teach Others What You Learned 

Action: Participate in knowledge-sharing sessions. 

There’s no better way to solidify your understanding than teaching others. Reach out to other auditors in your organization and discuss applicability and interpretation of a clause. Participate and contribute to discussions on LinkedIn forums. Search the web for interpretation of clauses and see the differences as opined by various different personnel. 

Bonus: You’re also building your credibility and visibility as an auditor. 

4. Stay Active in the QMII Alumni Network 

Action: Engage with blog articles, LinkedIn posts, ask questions, and share insights. 

QMII’s alumni network offers a treasure trove of experience. Staying engaged keeps you in the loop on best practices and might even lead to mentoring or shadowing opportunities. React to blogs written by QMII, contribute articles for QMII blog, comment on QMII posts and connect to QMII alumni. 

Don’t hesitate to: 

  • Ask others how they’re maintaining their skills. 
  • Request mock audit partnerships. 
  • Share resources and templates you’ve created. 

5. Continue the Learning Loop 

Action: Sign up for webinars, read audit case studies, and revisit your course materials regularly. 

Audit skills are built not just on knowledge, but on judgment, observation, and communication. You can sharpen these even while waiting for your first official audit assignment. 

Suggested activities: 

  • Attend QMII webinars or ISO updates. 
  • Subscribe to quality-focused newsletters. 
  • Read ISO audit case studies and identify what went wrong—and why. 

6. Request to Observe Internal Audits 

Action: If you’re part of an organization, ask to shadow an experienced auditor. 

Even if you’re not leading, observing an audit helps you internalize the structure, flow, and behavioral nuances of auditing. Jot down observations on auditor behavior, techniques, and interaction styles. Create your own checklists and then compare it to that prepared by the lead auditor. Discuss the differences after the audit. 

If your organization doesn’t have an active program, this is a great opportunity to propose starting one—a value-added initiative from a proactive auditor-in-training. 

Final Thoughts: Don’t Let the Gap Become a Gully 

Skills fade when left idle, but they flourish with even light engagement. Whether it’s through simulation, teaching, journaling, or community interaction, there are numerous ways to keep your audit knowledge sharp and ready. 

At QMII, we believe that continual improvement isn’t just for organizations, it’s a personal practice. Stay connected, stay curious, and keep that audit mindset active until your next assignment arrives. 

Have your own tips for retaining training knowledge? 
Join the conversation by commenting on this blog or drop us a line—we’d love to feature your story! 

Are Provider Audits Mandated through ISO 9001?

by- Dr. IJ Arora

In relation to outsourced processes, the query (to paraphrase William Shakespeare) is, “To audit or to not audit?”

Take, as an example, the necessities from the principle process-based control machine usual, ISO 9001:2015. One would possibly imagine the machine way as equipped in clauses 4.4.1a thru 4.4.1h and conclude that tracking and regulate are had to recognize the dangers of the inputs and make sure persistent growth. The usual is supposed to be interpreted, and so not anything prescriptive is predicted. But, the query stays as to how organizations would possibly regulate the processes and ensure they’re assembly goals. Clause 5.2, “Coverage,” resulting in clause 6.2, “Goals,” supplies a touch that proof will have to be amassed of measurable goals being met. But, how can we get the inputs to attract a conclusion? The inputs are essential, and due to this fact there’s a want to decide the to be had accumulate and regulate knowledge.

In all probability the solution may also be discovered within the auditing serve as. By means of enforcing a strong provider analysis activity, together with audits as wanted, organizations can beef up the standard control machine and construct sturdy, dependable relationships with providers. Notice that requirements similar to ISO 9001:2015 don’t particularly mandate audits, but the intent of registration to a typical is to regulate the group’s processes. if now not auditing, then what different mechanisms can organizations use to regulate an outsourced activity and decrease dangers to their finish consumers?

Exerting regulate

Clause 8.4.2 of ISO 9001:2015 offers with the sort and extent of controls that a company should practice to externally equipped processes, merchandise, and products and services. The important thing sides on this dialogue come with making sure conformity, the kinds of controls wanted, and the level of those controls. Conformity has at its core the main to make sure that those exterior provisions don’t negatively have an effect on the group’s skill to constantly ship conforming services to its consumers. This implies the group should have mechanisms in position to make sure that the standard of the exterior inputs meet the group’s necessities and in the end fulfill buyer necessities.

Kinds of controls might be interpreted as acting a point of regulate, in all probability through auditing, even supposing auditing isn’t a selected requirement. The choice and analysis of the controls can be according to organising standards for deciding on and comparing exterior suppliers (e.g., a strong high quality control machine of their very own, previous efficiency, registration, and many others.) and/or undertaking thorough checks of doable providers (e.g., audits, questionnaires, web site visits, and many others.). As well as, you will need to installed position sturdy contractual agreements with exterior providers that come with transparent and measurable necessities, explicit key efficiency signs (KPIs), and acceptance standards for the needs of tracking and size. This may come with monitoring provider efficiency towards agreed-upon KPIs, examining knowledge to spot tendencies and spaces for growth, undertaking common efficiency critiques and comments classes, acting root purpose research and corrective and preventive movements when problems are known, and appreciating dangers through being proactive and the use of preventive measures.

The level of this regulate would rely at the criticality of the externally equipped activity, product, or provider to the group’s general high quality. For top-risk pieces, extra stringent controls (e.g., extra common audits or extra rigorous inspections) could be essential as, as an example, within the aerospace trade. In essence, clause 8.4.2 emphasizes the significance of proactive measures to make sure that exterior inputs don’t compromise the group’s skill to ship high quality services to its consumers.

Auditing supplies most of these inputs if the audit is appropriately deliberate and done. For instance, with approval, this stage of regulate might be completed through far flung cameras or the presence of the group’s inspectors on the provider’s amenities. The purpose is to care for the client focal point (clause 5.1.2) and include a risk-based way. The level of regulate will have to be proportionate to the related dangers. Power growth includes that the group will have to often evaluation and reinforce its processes for exterior controls.

Subsequently, even if clause 8.4 (particularly subclauses 8.4.1, 8.4.2, and eight.4.3) does now not explicitly mandate provider audits, it strongly implies their significance. Subsequently, a robust focal point on regulate should be interpreted. Clause 8.4 emphasizes the want to regulate externally equipped processes, merchandise, and products and services. Auditing is a a very powerful instrument for comparing a provider’s skill to fulfill high quality necessities and care for regulate over their processes.

Mitigating menace

To verify ok menace control, one should imagine if the provider’s efficiency at once impacts the group’s skill to ship high quality merchandise or products and services. Audits assist establish and mitigate doable dangers related to the use of exterior suppliers. Power growth is the most important consequence of auditing and offers precious comments on provider efficiency. This allows the group to spot spaces for growth of their processes and their practices round provider variety and provider control. Subsequently, even if now not strictly mandated, provider audits are extremely really useful for organizations in the hunt for to successfully put into effect ISO 9001 and make sure the standard in their services. The important thing issues can be:

  • Chance-based way. Auditing efforts will have to be desirous about providers that pose the easiest menace to the group’s high quality goals.
  • Number of analysis strategies. Audits are only one manner of provider analysis. Different strategies come with efficiency tracking, comments research, and web site visits.
  • Documentation. Care for transparent documentation of all provider analysis actions, together with audit findings, corrective movements, and growth plans.

When taking into consideration the outsourcing of a activity, the group should assess and decide the factors through which providers are decided on. Via systematic analysis, a company can put into effect a rigorous provider variety activity that comes with:

  • Detailed questionnaires to collect knowledge at the provider’s high quality control machine, processes, and features
  • Reference exams made through contacting earlier consumers to evaluate the provider’s efficiency and reliability
  • On-site visits to watch the provider’s operations and assess their amenities, apparatus, and body of workers
  • A risk-based way matrix to prioritize providers according to the possible impact at the group’s high quality goals

In making plans bids, growing contractual agreements, or different processes involving outsourcing, the next will have to be regarded as:

  • Transparent specs. Outline transparent and measurable necessities for the outsourced services or products.
  • Efficiency metrics. Determine KPIs to trace provider efficiency, similar to on-time supply, defect charges, and buyer delight.
  • Contractual consequences. Come with clauses for non-compliance with contractual tasks, similar to past due deliveries or subpar high quality.

The procedures for tracking and measuring outsourced processes should be nicely idea out and will have to be carried out when tendering a freelance. Consider, including necessities due to this fact is continuously tricky. Imagine the next:

  • Common efficiency evaluation. Behavior common efficiency critiques with providers to trace their efficiency towards agreed-upon KPIs.
  • Knowledge research. Analyze knowledge on provider efficiency, similar to defect charges, supply instances, and buyer proceedings to spot tendencies and spaces for growth.
  • Comments mechanisms. Determine a machine for gathering and examining comments from interior and exterior consumers relating to provider efficiency.

Whether or not a company prefers to audit or use different way of controlling the outsourced activity, a well-thought-out collaboration and verbal exchange plan will have to be made, taking into consideration:

  • Open verbal exchange channels. Care for open and common verbal exchange channels with providers to deal with issues, percentage knowledge, and collaborate on growth tasks.
  • Joint drawback fixing. Paintings collaboratively with providers to spot and unravel problems associated with high quality, supply, or different efficiency issues.

Power growth is integral to any excellent control machine. As a abstract I’d recommend the next:

  • Common critiques and updates. Often evaluation and replace your provider control processes to verify they continue to be efficient and aligned with converting industry wishes.
  • Provider construction. Enforce methods to assist providers reinforce their high quality control programs and function.

By means of enforcing a mixture of those mechanisms, organizations can successfully regulate outsourced processes, decrease dangers, and make sure that they obtain fine quality services from their providers.

Clause 9.2.1 of ISO 9001 does certainly recommend that auditing outsourced processes is excellent follow. This clause states that organizations will have to habits interior audits to guage the effectiveness of the standard control machine. The scope of interior audits generally comprises all related processes and actions inside the group. How this pertains to outsourced processes is the place the requirement turns into open to interpretation. Despite the fact that it does now not explicitly state “provider audits,” the clause means that comparing the effectiveness of processes which might be outsourced is a part of assessing the total effectiveness of the QMS. If the outsourced processes considerably have an effect on the group’s skill to fulfill buyer necessities, then the ones processes will have to be integrated within the scope of interior audits.

Dr. IJ Arora’s article was published in the Exemplar Global Publication “The Auditor”. Click here to read the featured article.