How Do You Handle Non-Conformities Found During an ISO 27001 Audit?

Achieving ISO 27001 Certification in Bangalore demonstrates that an organization takes information security seriously and follows internationally recognized best practices. However, during an ISO 27001 audit, auditors may identify non-conformities—instances where the organization’s Information Security Management System (ISMS) does not fully meet the standard’s requirements.

Handling these non-conformities effectively is essential not only for obtaining or maintaining certification but also for strengthening the security posture of the organization. This blog will explain what non-conformities are, how they are classified, and the systematic process for addressing them.

Understanding Non-Conformities in ISO 27001

A non-conformity occurs when an organization fails to meet a specific requirement of the ISO 27001 standard, its own ISMS policies, or applicable legal and regulatory requirements. These issues can arise from process gaps, inadequate implementation, or missing documentation.

Types of Non-Conformities:

1. Major Non-Conformity – A serious issue that significantly impacts the ISMS or demonstrates complete failure to meet a requirement. For example, not conducting risk assessments at planned intervals.

2. Minor Non-Conformity – A smaller deviation that does not pose an immediate risk to the ISMS’s overall effectiveness. For example, a missed review of a single security control.

Step-by-Step Process to Handle Non-Conformities

1. Acknowledge and Document the Non-Conformity

When an auditor points out a non-conformity, the first step is to acknowledge it without dispute unless there’s a factual misunderstanding. The finding should be recorded in the audit report with details such as:

• Description of the issue

• Clause of ISO 27001 that is not met

• Evidence provided by the auditor

This documentation forms the foundation for corrective action.

2. Analyze the Root Cause

Identifying the root cause is critical. Without understanding why the non-conformity occurred, corrective actions may only address the symptoms. Tools such as the “5 Whys” technique or fishbone diagrams can help trace the issue to its origin.

For example:

• Issue: Missing access control review.

• Root Cause: No defined schedule for periodic reviews in the ISMS procedure.

Tip: Involving experienced ISO 27001 Consultants in Bangalore can help in accurately identifying and documenting root causes based on industry best practices.

3. Develop a Corrective Action Plan

A corrective action plan (CAP) outlines the specific steps to eliminate the root cause and prevent recurrence. A good CAP should include:

• Actions to be taken

• Responsible person(s)

• Resources required

• Target completion dates

For major non-conformities, the CAP may need approval from the auditor or certification body before implementation.

4. Implement Corrective Actions

Once the plan is in place, it’s time to act. This could involve:

• Updating ISMS policies and procedures

• Providing additional staff training

• Automating certain security controls

• Conducting additional internal audits

Example: If the root cause was a lack of training, the corrective action might be to schedule mandatory ISO 27001 awareness sessions for all employees.

5. Verify Effectiveness

After corrective actions are implemented, organizations must verify that the changes effectively resolve the non-conformity. This may involve internal audits, management reviews, or performance metrics tracking.

If the issue persists, the corrective action must be revisited until it achieves the desired result.

6. Submit Evidence to the Auditor

For surveillance or re-certification audits, auditors often require proof that the non-conformities have been addressed. This evidence could include:

• Updated policy documents

• Training records

• Internal audit reports

• Meeting minutes from ISMS reviews

Proper documentation is key to demonstrating compliance and ensuring the non-conformity is officially closed.

Best Practices to Prevent Non-Conformities in Future Audits

While handling non-conformities is important, preventing them should be the long-term goal. Here are some best practices:

1. Conduct Regular Internal Audits – Schedule and perform audits at least annually to identify potential gaps before an external auditor does.

2. Engage Professional Support – Partnering with ISO 27001 Services in Bangalore ensures your ISMS is always audit-ready.

3. Maintain Up-to-Date Documentation – All ISMS-related documents, procedures, and records should be current and accessible.

4. Continuous Employee Training – Regular awareness programs help employees understand their role in maintaining information security.

5. Monitor and Review Controls – Continually track the performance of information security controls and adapt them to emerging threats.

Role of ISO 27001 Consultants in Handling Non-Conformities

Expert ISO 27001 Consultants in Bangalore play a vital role in helping organizations manage and eliminate non-conformities. Their services typically include:

• Gap analysis before the audit

• Root cause analysis support

• Corrective action plan development

• Training for employees on ISO 27001 requirements

• Continuous monitoring and improvement strategies

With professional guidance, organizations can reduce the likelihood of non-conformities and enhance the overall effectiveness of their ISMS.

Final Thoughts

Handling non-conformities during an ISO 27001 Certification in Bangalore audit is not just about fixing issues to pass the audit—it’s an opportunity to strengthen your organization’s information security framework. By systematically acknowledging, analyzing, and resolving non-conformities, businesses can ensure their ISMS remains robust, compliant, and resilient against evolving threats.

Whether you’re preparing for your first certification or maintaining your existing compliance, engaging ISO 27001 Services in Bangalore and working closely with experienced consultants can make the process smoother, more efficient, and more effective in the long run.