Audit nonconformities are among the key outcomes of every internal or external audit. They identify areas where a company deviates from defined standards, internal procedures, or legal requirements. Such nonconformities play a particularly important role in quality management according to ISO 9001, environmental management according to ISO 14001, and information security management according to ISO 27001. But what are typical examples of audit nonconformities, how do they arise, and how should organizations deal with them?
In practice, nonconformities are not exceptional events but a normal part of the audit process. Their purpose is not to assign blame but to support continuous improvement. What matters is not the number of findings identified, but rather the quality of the root cause analysis and the effectiveness of the corrective actions implemented.
What Is an Audit Nonconformity?
An audit nonconformity occurs when a requirement assessed during an audit is not fulfilled or is only partially fulfilled. It represents an identified discrepancy between the defined target state and the actual state found during the audit. The underlying requirement may originate from an international standard such as ISO 9001, legal regulations, customer requirements, or internal company policies and work instructions.
During an audit, the auditor verifies whether processes, documentation, and activities comply with the specified requirements. If a requirement is found not to be met, the issue is documented as a nonconformity. It is important to note that a nonconformity must always be based on objective evidence. Assumptions or personal opinions are not sufficient. The auditor must be able to clearly substantiate the nonconformity through documents, records, observations, or interviews.
In general, a distinction is made between:
- Major Nonconformities: Serious violations of standard requirements.
In certification audits, major nonconformities may result in certification being withheld or an existing certification being suspended until appropriate corrective actions have been implemented and verified. - Minor Nonconformities: Less significant, usually isolated deviations.
Minor nonconformities are generally less critical but should not be underestimated. - Observations / Opportunities for Improvement: No direct nonconformity, but areas where optimization is possible.
Such findings allow organizations to proactively improve their management systems and prevent future nonconformities.
In practice, most audit findings arise from organizational weaknesses, missing documentation, or insufficient process discipline.
Typical Audit Nonconformity Examples from Practice
To better understand the topic, it is helpful to look at concrete examples from different areas of an organization.
Example: Documentation Requirements
A very common example relates to documentation requirements within a quality management system. Audits often reveal that work instructions exist but are not being used in their current approved version. Employees may be working with outdated documents because the document control system has not been maintained consistently. This type of nonconformity is particularly common in growing organizations where processes change rapidly.
Example: Employee Training Records
Another classic example is insufficient evidence of employee training. Companies may conduct regular training sessions but are unable to demonstrate during the audit exactly who attended which training and when. In areas such as occupational health and safety or data protection, this can lead to a serious nonconformity because mandatory legal documentation requirements are not being fulfilled.
Example: Inspection and Maintenance Intervals
Typical findings also occur in the area of internal process controls. Auditors frequently discover that defined inspection or maintenance intervals are not being followed. For example, machinery may be scheduled for regular maintenance, but maintenance records are incomplete or have been created after the required deadline. The result is a deviation between the defined process and its actual implementation.
Example: Access Rights Reviews
In the field of information security, nonconformities often involve missing access rights reviews. Employees may still have access to systems or data even though their role within the company has changed. Such nonconformities are particularly critical because they create security risks.
Example: Risk Assessments
Another common audit nonconformity example is an inadequate risk assessment. Organizations may conduct a risk assessment, but it is not updated regularly or does not take new business processes into account. This creates a discrepancy between the actual risk exposure and the documented evaluation.
Causes of Audit Nonconformities
The causes of audit nonconformities are diverse, but they can often be traced back to a few fundamental factors. One key issue is a lack of process discipline. Even well-documented processes lose their value if they are not consistently followed in day-to-day operations.
Another common cause is insufficient communication between departments. Information about process changes does not always reach all relevant employees, resulting in outdated working methods continuing to be used.
Time and resource constraints also play a significant role. In many organizations, operational tasks take priority, while documentation requirements are neglected. Over time, this leads to gaps in records and evidence.
Finally, a lack of awareness of standard requirements is often a decisive factor. When employees do not understand why certain requirements exist, their commitment to implementing them consistently tends to decrease.
Consequences of Audit Nonconformities
The impact and consequences of audit nonconformities largely depend on their severity. Minor nonconformities usually require corrective actions to be implemented within a defined timeframe. Major nonconformities, however, may result in certification being denied or suspended.
In addition, nonconformities also have internal consequences. They reveal weaknesses within the management system and may lead to quality issues, security risks, or inefficient processes if left unresolved.
It is important to remember that a nonconformity is not a failure but rather an indication of improvement potential.
PeRoBa Quality Management from Munich – Tailored Quality Management Solutions
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Audit nonconformities are an inevitable part of modern management systems. Typical examples range from documentation errors and missing training records to inadequate security controls or maintenance processes.
What truly matters, however, is not the occurrence of the nonconformity itself but the professional way it is handled. Organizations that systematically analyze audit findings and implement effective improvements strengthen their processes, increase efficiency, and reduce risks in the long term.
Do you need support after a failed audit or unsatisfactory audit results?
PeRoBa GmbH Munich is a consulting company with many years of experience in quality management, particularly within the automotive and mechanical engineering industries. We support organizations with all major standards (ISO 9001, VDA 6.3, IATF 16949, etc.) on their path toward certification or recertification.
We also maintain close cooperation with universities and research institutions. Managing Director Dr. Scherb teaches as a lecturer at institutions such as the Hamburg Distance University of Applied Sciences (HFH), FOM University in Munich, and serves as a trainer for the TÜV Süd Academy, the Bavarian Industry Training Institute, and numerous other educational organizations.
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