Risk-Based vs Clause-Based Audits

Audits are assessments of an organisation against a set of criteria. In the ISO context, audits are conducted against the requirements of the organisation’s own processes and the chosen ISO Management System Standards, such as ISO 9001:2015 or ISO 45001:2018.

Traditionally, these audits have been conducted taking a clause-based approach, focusing on adherence to specific requirements set by the ISO Standards. However, with the release of ISO 19011:2018 (Guidelines for auditing management systems) in 2018, there has been a significant shift towards a more dynamic method known as risk-based auditing. 

This approach emphasises evaluating potential risks that could impact the management system’s performance and effectiveness, aligning more closely with the business’s strategic goals and the risk-based approach outlined in the ISO Standards.

Despite this change, it’s still common to find that many auditors continue to rely on traditional clause-based auditing methods. In this blog post, we will delve into the distinctions between risk-based and clause-based auditing. You’ll learn:

What is Risk-based Auditing?

Risk-based auditing represents a more dynamic and strategic approach to auditing that focuses on identifying and evaluating the risks that could impact the effectiveness and performance of a management system. Unlike the traditional clause-based auditing, risk-based auditing prioritises areas that are of greatest risk to the organisation’s objectives and goals not being achieved. Here’s an in-depth look at risk-based auditing:

Definition and Process

Advantages of Risk-Based Auditing

Challenges of Risk-Based Auditing

What is Clause-Based Auditing?

Clause-based auditing is a traditional approach in which auditors focus on verifying conformance against the specific clauses of the relevant ISO Standard. This method is straightforward and systematic, as it clearly defines the requirements that a business must meet to achieve and maintain certification.

Here’s an expanded look at clause-based auditing:

Definition and Process

Advantages of Clause-Based Auditing

Limitations of Clause-Based Auditing

What is the best approach – Risk-Based vs Clause-Based Auditing?

In the comparative analysis between risk-based and clause-based auditing, each approach offers distinct advantages and encounters specific challenges.

Clause-based auditing has served as the backbone of ISO audits due to its structured approach and clear benchmarks. However, the clause-based approach is dated and no longer suits the current business environment. As organisations and the ISO standards evolve, there is a growing recognition of the need for a more dynamic and results-oriented approach that not only ensures the standards requirements are met, but also promotes continual improvement, effectiveness in meeting organisational goals and providing real business benefits out of the auditing process.

The risk-based auditing better suits modern business practices, where flexibility and adaptability are key to success. By focusing on risk and its management, organisations can ensure they meet the requirements of the ISO Standards for Certification while also enhancing their strategic operations and resilience against disruptions.

Businesses are increasingly recognising the benefits of adopting a risk-based approach as recommended by ISO 19011:2018, as it empowers organisations to not just survive but thrive in today’s fast-paced and often unpredictable business environment.

Our Management System Internal Auditor Training is a practical eLearning course that teaches how to conduct effective Internal Audits taking a risk-based approach in accordance with the main ISO Management System Standards. Delivered via video lessons, this training combines theory, practical real-life examples, and templates, so even those new to the internal audit world can succeed when performing management system Internal Audits. Click here to find out more, or give us a call at 1300 614 897 for more details.