What is ISO 27001 Clause 10.2 in ISO 27001?
ISO 27001 Clause 10.2 is a documented process for managing security failures. You must identify root causes and implement corrective actions. Integrate this into native business tools like Jira or SharePoint. This ensures management remains accountable for fixing systemic issues within daily operations.
Auditor’s Eye: The Shortcut Trap
Automated SaaS platforms often provide generic incident checkboxes. These “black box” tools hide the actual thinking behind root cause analysis. Auditors prefer seeing Jira tickets with detailed comments from staff. Evidence in your native document repositories proves management ownership. Relying on external software leads to surface-level compliance. We want to see how your team fixed the systemic failure manually.
| Feature | ISO 27001:2013 | ISO 27001:2022 |
|---|---|---|
| Response Requirement | React and take action. | React, evaluate, and implement actions. |
| Effectiveness Review | Review of corrective actions. | Mandatory effectiveness evaluation. |
| Documentation | Retain documented information. | Retain evidence of nature and results. |
How to Implement ISO 27001 Clause 10.2 (Step-by-Step)
Manage nonconformities by embedding the corrective action process into your daily workflows. Use existing organisational tools to record every step. This ensures security is a cultural habit rather than a software installation. Lead with immediate reaction to any security failure. Follow these steps for an integrated approach.
Step 1: Immediate Reaction and Logging
Log the nonconformity as a high-priority ticket in Jira. Take immediate steps to contain the issue. Record these initial actions directly in the ticket. This creates a transparent audit trail of your response.
Step 2: Root Cause Analysis
Convene a team to determine why the failure occurred. Use a Confluence document to perform a Five Whys analysis. Link this document to the original Jira ticket. Auditors check these for human deliberation and depth.
Step 3: Corrective Action Implementation
Determine the permanent fix needed to prevent recurrence. Assign this task to a process owner via Jira. Ensure you update any relevant SharePoint policies or procedures. This shows that the ISMS is maturing through action.
Step 4: Effectiveness Evaluation
Review the fix after a defined period. Record the results in your management review minutes. If the problem persists: repeat the process. This closed-loop system is vital for maintaining certification.
ISO 27001 Clause 10.2 Nonconformity and Corrective Action Audit Evidence Checklist
Auditors require manual records that prove oversight. Focus on internal document versions and meeting minutes. Provide these items:
- Central nonconformity register hosted in SharePoint.
- Jira tickets showing the history of specific incident resolutions.
- Root cause analysis reports stored in your internal wiki.
- Minutes from management reviews discussing corrective action results.
- Version-controlled policy documents updated after systemic fixes.
Relational Mapping
Clause 10.2 directly supports Clause 10.1 Continual Improvement. It takes data from Clause 9.1 Monitoring and Clause 9.2 Internal Audit. Failures identified in these clauses must enter the corrective action process. This creates a logical flow through the entire management system.
Auditor Interview: Process Management
Question: How does the organisation manage security failures?
Answer: We log all nonconformities as Jira tickets for tracking.
Question: Who is responsible for root cause analysis?
Answer: The relevant process owner leads the analysis in Confluence.
Question: Where is the evidence that your fixes actually work?
Answer: We record effectiveness evaluations in our SharePoint meeting minutes.
Common Non-Conformities
| Failure Mode | Cause | Auditor Finding |
|---|---|---|
| Automated Complacency | Relying on a SaaS platform’s default incident list. | Major NC: No evidence of internal procedural ownership. |
| Surface-level Fixes | Correcting the symptom but not the root cause. | Minor NC: Failure to implement effective corrective actions. |
| Lack of Evidence | No recorded review of action effectiveness. | Minor NC: Incomplete documentation of results. |
Frequently Asked Questions
What is the bottom line for Clause 10.2?
The bottom line is that you must fix the root cause. Do not just correct the immediate error. Document the entire process in your internal tools. This proves the organisation owns the security system. It prevents security from being a separate IT silo.
How does Jira help with corrective actions?
Jira provides a clear audit trail of accountability. It records who performed the fix and when. You can link tickets to root cause documents in Confluence. This keeps all evidence in one place. Auditors prefer this over detached compliance software.
Why is root cause analysis mandatory?
Without root cause analysis: the same failure will repeat. ISO 27001 requires systemic prevention. Documented analysis in SharePoint shows you understand the risk. This demonstrates a mature management culture. It is essential for passing your certification audit.