Audit findings and corrective actions

A finding — often called a non-conformity — means your auditor identified something that did not meet a standard in your scope. Most providers get at least one. What matters is how you respond.

Types you may see

• Major non-conformity — a significant gap, or a failure that could affect participant safety or rights. These generally need to be fixed and verified before your audit can be finalised.
• Minor non-conformity — a smaller gap, or an isolated lapse in an otherwise working system.
• Observation or opportunity for improvement — not a breach, but something your auditor suggests strengthening.

Your auditor decides the classification and the timeframe. If the wording of a finding is unclear, ask them what evidence would satisfy it — that is a normal question, not a challenge.

Writing a good corrective action response

A strong response has four parts:

1. What the finding means in your business — in your own words, showing you understood it.
2. Why it happened — the actual cause, not "human error". A missing step in a process is a better answer than blaming yourself.
3. What you changed — the specific change to a document, a process or a habit, with dates.
4. The evidence — the updated document, the completed record, the training entry, the register update.

Avoid promising a system you will not run. If you say you will review your risk register monthly, an auditor will look for monthly entries next time.

Keep it in your improvement register

Log each finding and its corrective action in your continuous improvement register. It shows the finding was taken seriously, and it gives you a record at your next audit.

How we help

You can record each finding here in the auditor's own words, draft a response, and track the due date. If you would like a second opinion before you submit, you can request an expert review. Whatever you send remains your responsibility — you are the one signing it.