Definition
A nonconformity is the non-fulfilment of a requirement. The requirement can come from three places: a clause of the standard, a legal provision, or a procedure the organisation wrote itself. The third is often forgotten: not following your own procedure is a nonconformity.
Three levels
| Class | What it means | Consequence |
|---|---|---|
| Major | An element of the system is missing or has broken down entirely; or many minor findings cluster on the same element | Root cause analysis and dated corrective action; at certification, a barrier to the certificate |
| Minor | The element exists and works; there is a single deviation | Corrective action, with verification possibly at the next audit |
| Observation | Not yet a nonconformity; a condition that will become one if it continues | An improvement opportunity, followed up by the organisation |
Minors add up to a major
Minor findings repeating on the same clause show that the element is not in fact working, and together they constitute a major nonconformity. Findings are therefore assessed not only one by one but clause by clause in aggregate.
The purpose of classification
Class is a tool for prioritisation, not punishment. An auditor who writes everything as major paralyses the system; one who writes everything as an observation changes nothing. The classification criteria are written down in advance and applied the same way by every auditor.