Organizational Aspects of Auditing Risks and Opportunities

Dr. S.L. Aleksandrov, Senior Researcher, Head, Quality Control Sector, Samara Center of Standardization, Metrology and Certification, Samara, Russia

Assoc. Prof. Dr. V.A. Novikov, Vice-rector, Head, Quality Management Department, ASMS, Moscow, Russia

N.B. Timofeeva, Acting Director, Samara Center of Standardization, Metrology and Certification, Samara, Russia

key words

organization, quality management system, internal audit, risks, opportunities, processes, improvements


We have identified the distinctive features, the factors that determine the effectiveness, and formulated the functions of the quality management systems internal audits, focused on checking and assessing the risks and opportunities for the activities of organizations.
We showed that the risks and opportunities identification is related to the creative activity and interaction of participants in small groups that are constantly changing in composition, typical for QMS internal audits.
To improve the effectiveness of internal audits of quality management systems, it is proposed to structure the issues for the audit of risks and opportunities in accordance with the requirements of GOST R ISO 9001–2015 and the elements of models reflected in the process maps.
The purpose of internal audits of risks and opportunities, as a management tool, is recommended to be supported by management and all participants of the work, including when performing external audits of the activities of organizations.

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