By Jackie Stapleton
I turned up for a certification audit at a mid-sized service organization a few years ago and the quality manager smiled and said, “We’re ready, everything’s in SharePoint!”
A few hours into the audit, it was clear the documents were definitely well presented, but the system itself wasn’t.
Team leaders couldn’t explain how last year’s objectives were measured, a recent risk assessment had been saved over the old one instead of archived, and no one had followed up as to whether the internal audit corrective actions were actually closed out.
They weren’t careless, just caught in the trap of thinking the audit is just about documentation rather than proof the system is alive and used day-to-day.
We ended up with three minor nonconformances that could have been avoided if the evidence matched the reality.
What I saw in that audit wasn’t a problem with the documented system; in fact, you could probably say that it was a culture issue. The team thought tidy documents equaled conformance, but the day-to-day behaviors and evidence told a different story. This aligns with the Harvard Business Review article, “Compliance Isn’t Enough: The Need for Integrity”, which argues that true compliance only works when it’s built into leadership and culture, not just recorded in a manual.
That’s the part that usually hides below the surface and it’s what most often derails an otherwise well-written system.
Under the surface: what really derails audits
Most audit failures don’t come from obscure clauses or tricky technicalities. They come from a handful of predictable pitfalls that creep into everyday practice. Each one chips away at the effectiveness of your management system and they’re usually avoidable.
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These are the seven pitfalls hiding under the surface that most often derail audits:
1. Treating the audit as a paperwork parade
Focusing on presenting neat documents instead of demonstrating how the processes actually work.
Audit impact: Auditors need evidence that the system is being used, not just stored.
2. Neglecting clause cross-links between processes
Teams know their own procedure but can’t explain how it connects to other areas or clauses.
Audit impact: Missed links create gaps, often around risk, opportunities, document control, or competence.
3. Not valuing evidence as proof of action
Teams carry out the activity but don’t record it, or they store evidence haphazardly so it’s hard to retrieve.
Audit impact: If there’s no accessible record, it’s as if the activity never happened. The system loses credibility because you can’t demonstrate that you did what you said you’d do.
4. Weak internal audits or no follow-through on findings
Internal audits are rushed or treated as a tick-box exercise, and past findings sit unresolved.
Audit impact: Signals poor system health and lack of continual improvement which is an easy target for nonconformances.
5. Objectives that are vague, static, or ignored
Annual goals are written once and forgotten or worded too loosely to measure.
Audit impact: The expectation is measurable, monitored objectives, so therefore stagnant KPIs suggest the system isn’t driving improvement.
6. Leaders absent or disengaged from the system
Management shows up at the opening meeting (if you’re lucky) then steps back.
Audit impact: Leadership is built into the requirements, and absent leaders show the system isn’t truly embedded.
7. Poor preparation for the human side of the audit
Front-line staff aren’t briefed and freeze or guess answers when questioned.
Audit impact: Auditors see gaps between “what’s documented” and “what people say,” undermining trust in the whole system.
Steps to put this into action
- Review your evidence trail. Pick one recent process (like training or risk reviews) and check that you can easily show who did what, when.
- Run a quick cross-link check. Map one clause, say risk and opportunities, across the relevant processes to be sure nothing is falling through the cracks.
- Revisit your objectives. Make sure they’re current, measurable, and visible to the people responsible for achieving them.
- Engage your leaders. Schedule a short session with top management to brief them on their role in demonstrating leadership during audits.
- Brief your frontline team. Give staff a simple explanation of what the next audit involves and the part they play. A 15-minute conversation often prevents a day’s worth of confusion.
About the author
Jackie Stapleton is the director of Auditor Training Online and holds multiple Exemplar Global certifications.
A version of this article first appeared on Auditor Training Online‘s Lead The Standard newsletter and is published here with permission.