Risk-based auditing: from principle to structured insight

Risk-based thinking is not new. ISO 19011, the international guideline for auditing management systems, emphasizes the importance of considering risk when determining frequency, methods, competence, and resource allocation (ISO 19011:2018).¹ 

Traditionally, this risk evaluation relies on documented criteria, prior audit findings, complaints, changes in scope extensions, and auditor experience. Predictive models introduce additional structure and consistency to that process. By analyzing patterns in audit results, nonconformity histories, certificate characteristics, and audit duration data, data-driven tools can help CBs: 

• Highlight certificates or sites that show elevated risk indicators prior to audit planning 
• Support justified decisions about audit time allocation within standard-defined parameter 
• Prioritize auditor competence and resources for higher-risk assignments 

Importantly, predictive models don’t alter audit scope. Scope remains determined by the applicable standard and accreditation requirements. Instead, analytics strengthen how CBs apply risk-based principles within those constraints. 

Embedding intelligence into certification workflows

To be effective, predictive insight cannot exist in isolation. It must be embedded within operational systems that manage audit programs end to end. 

The Intact Platform supports certification bodies by centralizing audit planning, execution, reporting, and corrective action workflows within a structured data environment. When audit data is consistently captured and connected, CBs gain a stronger foundation for applying risk-based principles with greater transparency and consistency. 

This doesn’t change the auditor’s responsibility. It strengthens the information that supports sound judgment. As certification ecosystems evolve, the ability to interpret structured data across certification datasets will increasingly differentiate audit programs that are merely compliant from those that are demonstrably consistent, risk-informed, and resilient.