RISK-BASED THINKING IN A SCIENTIFIC ORGANIZATION: THEORY AND PRACTICE IN THE CONTEXT OF ISO 9001:2026

Abstract

The transition to the new version of the international standard ISO 9001 transforms the requirements for the quality management system (QMS) of a scientific organization. The final draft ISO/FDIS 9001:2026 introduces requirements for determining the relevance of climate change (clause 4.1), promoting a culture of quality and ethical behavior (clause 5.1.1), and establishes a clear distinction between risks and opportunities, with separate requirements for actions to manage risks (clause 6.1.2) and to address opportunities (clause 6.1.3). Timely identification, analysis, and informed decision-making regarding risk management methods enable a research organization to prevent crisis phenomena. The purpose of this article is to examine the evolution of the concept of risk and the risk management process within the QMS of a scientific organization, using the Institute of Mining of the Ural Branch of the Russian Academy of Sciences (IGD UB RAS) as a case study, in light of the requirements of ISO 9001:2026 and modern practices of risk-based thinking.

Risk management methods, the theory of risk-based thinking, and the practice of its implementation by a scientific organization – whose operations differ substantially from those of an industrial enterprise or a financial institution – are investigated. The provisions of ISO/FDIS 9001:2026, ISO 31000:2018, GOST R 31000-2019, and GOST R 58771-2019 were applied, as well as the internal regulatory documents of the IGD UB RAS: the organization standard STO PSMK-004 "Risk Management and Opportunity Realization" and the Institute's Development Program up to 2036.

The practical experience of applying international standards in a research organization has demonstrated that risk management enhances operational efficiency, reinforces employee accountability for the final result, and reduces losses resulting from risk materialization. A risk and opportunity management model aligned with the requirements of clauses 4.1, 5.1.1, 6.1.2, 6.1.3, 6.3, 7.1.6, 7.3, and 8.5.6 of ISO/FDIS 9001:2026 is proposed, and its practical application at the IGD UB RAS is detailed.

The implementation of risk-based thinking in accordance with the requirements of ISO 9001:2026 enables a scientific institution not only to avoid the recurrence of risk events, but also to ensure organizational resilience and proactive development, predict the consequences of risk events, and take targeted measures to mitigate their adverse impact.