Capture and Close Audit Findings with an ISO 27001 Non-Conformity Report

Introduction

An ISO 27001 Audit Non-Conformity Report Template is used to formally document audit findings, record evidence, and track actions required to address gaps identified during internal or external audits. During audits, non-conformities are identified where processes, controls, or documentation do not meet ISO 27001 requirements. However, without a structured reporting format, organizations often struggle with unclear findings, missing evidence, and poor tracking of corrective actions. This template provides a clear and consistent way to record non-conformities, define actions, and ensure closure in an audit-ready format aligned with ISO 27001 requirements.

Why Non-Conformity Reporting Is Critical for Audit Success

Identifying a non-conformity is only the first step - the real value lies in how it is documented, tracked, and resolved. Without a structured non-conformity report:

• Audit findings are not clearly defined
• Evidence supporting findings is incomplete
• Corrective actions are not properly assigned
• Issues remain open or recur in future audits
• Audit readiness is compromised

An ISO 27001 nonconformity report ensures that findings are clear, actionable, and fully traceable.

What This Template Helps You Manage

This template transforms audit findings into a controlled and trackable process. It helps you:

• Document audit findings with clarity and evidence
• Classify non-conformities (major, minor, observation)
• Link findings to specific ISO 27001 clauses or controls
• Define corrective actions and responsibilities
• Track progress from identification to closure
• Maintain audit-ready records for certification and surveillance audits

This ensures findings are not just recorded - but resolved effectively.

Key Sections Included in the Non-Conformity Report

The template reflects how non-conformities are documented in real ISO 27001 audits.

1. Non-Conformity Identification

Captures the core details of the finding.

• Reference number
• Audit type (internal/external)
• Date of audit
• Auditor details

2. Description of Non-Conformity

Clearly defines the issue.

• What was observed
• What requirement was not met
• Context of the finding

3. Evidence and Supporting Information

Provides proof of the finding.

• Documents reviewed
• Records or logs
• Observations during audit

4. Classification of Finding

Defines severity.

• Major non-conformity
• Minor non-conformity
• Observation or improvement area

5. Root Cause Analysis

Identifies why the issue occurred.

• Process gaps
• Control weaknesses
• Human or system errors

6. Corrective Action Plan

Defines how the issue will be resolved.

• Actions to be taken
• Responsible person
• Target completion date

7. Status Tracking

Tracks progress of the corrective action.

• Open
• In progress
• Closed

8. Verification and Closure

Confirms resolution.

• Review of effectiveness
• Closure approval
• Final documentation

How This Aligns with ISO 27001 Requirements

Non-conformity reporting supports multiple ISO 27001:2022 requirements, including:

• Clause 9.2 Internal Audit
• Clause 10 Improvement (Corrective Actions)
• Management review inputs
• Audit evidence and documentation

This template ensures that:

• Findings are documented consistently
• Evidence is clearly recorded
• Actions are tracked and verified
• Compliance is demonstrated during audits

How to Use This Template in Practice

This report is typically used during and after audits.

Step 1 – Record the Finding
Document the non-conformity immediately after identification.

Step 2 – Capture Evidence
Include supporting details and references.

Step 3 – Analyze Root Cause
Identify why the issue occurred.

Step 4 – Define Corrective Actions
Assign actions, owners, and timelines.

Step 5 – Track and Close
Monitor progress and verify closure.

Common Audit Reporting Gaps This Template Fixes

Organizations often face recurring issues in audit reporting.

• Vague or unclear audit findings
• Missing evidence for non-conformities
• No structured corrective action tracking
• Lack of closure verification
• Repeated findings across audits

This template introduces clarity, accountability, and traceability.

Designed for Real Audit and Compliance Use

This template is useful for:

• Internal and external audits
• Information Security Managers
• Internal auditors and compliance teams
• ISO 27001 implementation projects
• Consultants managing audit findings

It reflects how non-conformities are actually documented and tracked in audits.

Conclusion

Information transfer is one of the most vulnerable stages in the data lifecycle, where the risk of interception, misuse, or exposure is highest. Without a structured policy, organizations lose control over how data is shared and protected. This ISO 27001 Information Transfer Policy Template provides a clear and practical framework to manage secure data exchange across internal and external environments. By defining approved methods, enforcing security controls, and ensuring accountability, it helps organizations reduce risk, improve data protection, and maintain compliance with ISO 27001 requirements while ensuring audit readiness.