Improvement Register Template

The Improvement Register is your central repository for tracking all continuous improvement initiatives within your ISMS. This living document demonstrates your commitment to Clause 10.1.

Document Control

Purpose

This register tracks:

• Improvement opportunities identified
• Prioritization decisions
• Implementation status
• Results achieved
• Lessons learned

Register Structure

Field Definitions

ID

• Format: IMP-XXX
• Sequential numbering
• Never reuse IDs

Date Identified

• When the improvement opportunity was identified
• Format: YYYY-MM-DD

Source

Categories:

• Internal Audit
• External Audit
• Incident Analysis
• Management Review
• Performance Metrics
• Employee Suggestion
• Technology Change
• Regulatory Change
• Stakeholder Feedback
• Continuous Monitoring

Description

• Clear, concise statement of the improvement
• Action-oriented
• Specific enough to understand intent

Category

Types of improvements:

• Security - Enhancing security controls
• Efficiency - Process optimization
• Compliance - Meeting regulatory requirements
• Awareness - Training and education
• Technology - Tool implementation
• Documentation - ISMS documentation
• Usability - User experience
• Cost Reduction - Financial optimization

Priority

Based on impact and urgency:

• Critical - Security risk, regulatory deadline, major incident response
• High - Significant risk reduction, high ROI, audit finding
• Medium - Moderate improvement, good ROI, efficiency gain
• Low - Minor improvement, nice to have, low urgency

Owner

• Person responsible for implementation
• Must be assigned before moving to "Planned" status
• Can be reassigned if needed

Status

Lifecycle stages:

• Identified - Improvement opportunity logged
• Evaluation - Assessing feasibility, cost, benefit
• Approved - Approved for implementation
• Planned - Implementation plan created
• In Progress - Currently being implemented
• Completed - Implementation finished
• Verified - Effectiveness confirmed
• Deferred - Postponed to future date
• Rejected - Not pursuing (document reason)

Target Date

• Expected completion date
• Set when status moves to "Planned"
• Can be adjusted with approval

Completion Date

• Actual date improvement implemented
• For tracking on-time performance

Outcome

Results achieved:

• Quantitative metrics where possible
• Qualitative assessment
• Whether objectives were met
• Unintended consequences (positive or negative)

Notes

Additional context:

• Implementation challenges
• Resource requirements
• Dependencies
• Follow-up actions needed

Prioritization Framework

Critical Priority Criteria

✓ Addresses major nonconformity ✓ Responds to significant security incident ✓ Required for regulatory compliance ✓ Prevents immediate risk

High Priority Criteria

✓ Addresses minor nonconformity ✓ Audit recommendation ✓ High risk reduction ✓ ROI > 200%

Medium Priority Criteria

✓ Efficiency improvement ✓ Moderate risk reduction ✓ ROI > 100% ✓ Enhances existing control

Low Priority Criteria

✓ Nice to have enhancement ✓ Low risk reduction ✓ No immediate driver ✓ Optional optimization

Management Process

Weekly Review (ISMS Manager)

• Review new submissions
• Assign initial priority
• Request additional information if needed
• Assign for evaluation if appropriate

Monthly Improvement Meeting

Attendees:

• ISMS Manager (Chair)
• Security Manager
• IT Manager
• Compliance Officer
• Representative from each department

Agenda:

1. Review new improvements (Status: Identified)
2. Review evaluations (Status: Evaluation)
3. Prioritization decisions
4. Approve high-priority improvements
5. Review in-progress improvements
6. Verify completed improvements
7. Update deferred improvements

Quarterly Management Review Input

• Total improvements by status
• Completion rate and on-time performance
• Impact summary
• Resource utilization
• Trend analysis

Metrics Dashboard

Track these KPIs:

Volume Metrics

• Total improvements identified (YTD)
• Improvements by source
• Improvements by category
• Improvements by priority

Process Metrics

• Average time in each status
• Approval rate (approved vs. rejected)
• On-time completion rate
• Resource hours invested

Outcome Metrics

• Improvements completed (YTD)
• Percentage achieving objectives
• Quantified benefits (cost savings, time savings, risk reduction)
• Employee participation rate

Health Indicators

• Open improvements > 30 days old
• Improvements past target date
• Improvements in evaluation > 14 days
• Deferred improvements reviewed quarterly

Integration Points

Risk Assessment

• Improvements affecting risks → Update risk register
• New controls implemented → Update Statement of Applicability
• Control enhancements → Update control descriptions

Corrective Actions

• Corrective actions → Often become improvements
• Link CAR numbers in Notes field
• Track CAR-driven improvements separately

Management Review

• Provide improvement summary
• Highlight significant achievements
• Request resources for planned improvements

Internal Audit

• Improvements addressing audit findings
• Track closure of audit recommendations
• Demonstrate continuous improvement

Example Entries

Example 1: Quick Win

IMP-042

• Source: Employee Suggestion
• Description: Add security tips to login screen
• Category: Awareness
• Priority: Low
• Status: Completed
• Outcome: Increased security awareness, no cost, implemented in 1 day

Example 2: Major Project

IMP-018

• Source: Management Review
• Description: Migrate to cloud-based ISMS platform
• Category: Technology
• Priority: High
• Status: In Progress
• Target: 2024-09-30
• Notes: 6-month project, budget $50k, expected 40% efficiency gain

Example 3: Deferred

IMP-029

• Source: External Audit
• Description: Implement blockchain for audit trail
• Category: Technology
• Priority: Low
• Status: Deferred
• Notes: Interesting concept but unproven ROI, revisit in 2025

Submission Process

How to Submit an Improvement Idea

1. Email to: [email protected] OR
2. Submit via: ISMS Portal > Improvements > New Suggestion OR
3. Discuss at: Monthly ISMS Committee Meeting

Include:

• Brief description of the improvement
• Problem it solves or opportunity it addresses
• Estimated effort (if known)
• Any supporting information

Response:

• Acknowledgment within 2 business days
• Initial evaluation within 2 weeks
• Decision communicated with reasoning

Review Schedule

ISMS Manager - Weekly

• Review new entries
• Update status of in-progress items
• Follow up on overdue items

Improvement Meeting - Monthly

• Comprehensive review
• Prioritization decisions
• Approval and resource allocation

Management Review - Quarterly

• Strategic review
• Trend analysis
• Resource planning

Annual Review

• Full register review
• Archive completed items > 1 year old
• Update processes based on lessons learned

Related Documents

• ISMS-PROC-CAR: Corrective Action Procedure
• ISMS-POL-001: Information Security Policy (Clause 10.1 commitment)
• ISMS-PROC-MR: Management Review Procedure
• ISMS-REG-CAR: Corrective Action Register
• ISMS-REG-RISK: Risk Register

Approval

Next Lesson: Conduct structured lessons learned sessions to capture knowledge from your ISMS journey.