The Ultimate Guide To ISO 27001 Clause 10.2 Continual Improvement

ISO 27001 Clause 10.2 Continual Improvement

What is ISO 27001 Clause 10.2?

The ISO 27001 standard requires an organisation to continually improve the information security management system.

ISO 27001 Clause 10.2 Continual Improvement is about acknowledging that things are never perfect and do not work 100% of the time. As such having a process to continual improve and get better is baked in the standard.

The ISO 27001 standard for ISO 27001 certification wants you to be in control of your management system and continually improve it. It is one of the ISO 27001 controls.

ISO 27001 Clause 10.2 Definition

The ISO 27001 standard defined clause 10.2 as follows:

The organisation shall continually improve the suitability, adequacy and effectiveness of the information security management system.

ISO 27001 Clause 10.2 Continual Improvement Defined

How to comply with ISO 27001 Clause 10.2

How to comply with ISO 27001 Clause 10.2 Continual Improvement

  1. Implement policy

    Put in place an incident management and corrective action policy as well as a continual improvement policy. The policies say how you deal with non conformity.

  2. Implement an incident and corrective action log

    Implement and use an incident and corrective action log that includes the required fields and allows you to manage incidents and corrective actions. This is the main tool for the management of nonconformity.

  3. Implement an incident management process

    The incident management process sets out how we deal with incidents. Incidents are one of the major sources of identifying nonconformities.

  4. Implement a continual improvement process

    The continual process sets out how you make fundamental changes to prevent nonconformities from re occurring.

  5. Implement an Internal Audit Process

    Put in place an internal audit plan. Have an internal audit process. Be sure to audit the entire information security management systems at least annually and ideally based on risk.

  6. Report non conformity and corrective action to the Management Review Team

    The Management Review Team provides the management oversight and decision making body. Be sure to report to the meeting and minute the meeting minutes.

ISO 27001 Clause 10.2 Implementation Guide

The first step is to implement the policies and process that catch the things that need improvement. These are termed non conformities.

Non conformities are deviation from the norm. A deviation from the written and agreed policies and procedures.

The processes that we have that find things that need improving are:

Incident Management: Incidents occur and are either a one off or symptomatic of a bigger problem. Our process will deal with the incident, then perform a root cause to see why it happened. It may then need an improvement actions such as a change to policy, procedure or a re education or an investment in tooling.

Audit: Audit is the process of independently checking that we do what we say we do. Internal audit is built into the standard. You will also have external client audits and external certification audits. A more formal process for identifying areas that need improving.

Brainstorming: A wide term that refers to just asking people. People are good at coming up with ways that our information security management system can be improved. Ask them.

When we find something that has gone wrong we take appropriate actions to ensure that this does not and cannot occur again. This may include risk management and accepting that it may occur, if the cost of action is too high. That would require us to follow the risk management process and seek to get approval and sign off of the management review team.

We find the use of an incident and corrective action log is ideal for managing this process. The benefits of having an effective log that meets the requirements of the ISO 27001 standard whilst also efficiently handling the process are worth it.

How do you demonstrate compliance to ISO 27001 clause 10.2?

You demonstrate compliance to ISO 27001 Clause 10.2 Continual Improvement by having effective policy and process in place and having documented evidence that those processes have operated effectively. What this means is that you need policy and process for the identifiers of nonconformities, being:

  • Incident management
  • Audit (both internal audit and external audit)

And you need policy and process to deal with the nonconformities being

  • Continual Improvement

To demonstrate evidence you will have a series of documents and records

  • Incident tickets on your associated help desk systems
  • Change tickets that support any changes that have been made
  • The complete incident and corrective action log that is used to manage nonconformities
  • Meeting minutes from the Management Review Team meetings where all of he above have been shared and minuted

ISO 27001 Clause 10.2 Templates

ISO 27001 templates are a great way to implement your information security management system. Whilst an ISO 27001 toolkit can save you up to 30x in consulting fees and allow you to deliver up to 10x faster these individual templates help meet the specific requirements of ISO 27001 clause 10.2

ISO 27001 Clause 10.2 FAQ

What is ISO 27001 Clause 10.2 Continual Improvement?

The ISO 27001 standard requires that the organisation shall manage when things go wrong, manage the consequences of things going wrong, identify why it went wrong and put in place measures to stop it from happening again.

How do I evidence I meet the requirement of ISO 27001 Clause 10.2 Continual Improvement?

You evidence compliance to the ISO 27001 Clause 10.2 Continual Improvement with an incident and corrective action log and being able to demonstrate that you identify when things go wrong, put things right, identify why it went wrong and put in place measures so it does not happen again.

Where can I download ISO 27001 Clause 10.2 Continual Improvement templates?

You can download ISO 27001 Clause 10.2 Continual Improvement here: https://hightable.io/product/iso-27001-templates-toolkit/

ISO 27001 Clause 10.2 Continual Improvement example?

An example of ISO 27001 Clause 10.2 can be found here: https://hightable.io/product/iso-27001-templates-toolkit/

Do I report non conformities to senior management?

Yes. Senior management and leadership are informed of non conformities. This is usually via the management review team meeting.

Do I do a root cause analysis on non conformities?

Yes. Non conformities require a root cause analysis to identify why they happened and to help to identify what can be done to prevent it from happening again.

Can I classify non conformities?

You can classify non conformities to help you to prioritise the order in which to tackle them and the recommended actions you should take. This would be aligned with the risk management process.

Can a corrective action be that I do nothing?

Technically yes but by doing nothing you are accepting risk and therefore you would follow your risk management process with sign off and acceptance by the management review team.

How do I report a non conformity?

Non conformities are reported via the incident management process.

Can I pass ISO 27001 certification with non conformities?

Yes you can pass the ISO 27001 certification if you have non conformities as long as they are being effectively managed and reported.

ISO 27001 Certification Requirements

See Also

Reference

ISO/IEC 27001 Information Security Management

ISO 27001 Strategy Session
ISO 27001 ISO 27001 Toolkit
ISO 27001 Policy Bundle

ISO 27001 Templates Toolkit: Business Edition

ISO 27001 Policy Templates: Professional Edition

Stuart Barker

About the Author

Stuart Barker

Stuart is an ISO 27001 Consultant and author of the ISO 27001 Templates Toolkit. Over 20 years he has helped hundreds of organisations with the ISO 27001 standard and getting them ISO 27001 certification with a 100% success rate.

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