ISO 56002
Evidence request list. 60 controls, 60 carrying auditor artefact guidance. Generated from the compliance knowledge graph on 11 September 2026. Published by The Art of Service.
Clause 10: Improvement
Requires identifying and selecting opportunities for improvement and implementing actions to meet innovation objectives.
- Feedback loop documentation
- Innovation maturity reassessment
- Updated process documentation
- Root cause analysis stops at symptom level
- Corrective actions closed without verifying effectiveness
- Lessons learned stored but never reused
- Improvement register stale, items older than 12 months unactioned
- Feedback loops from operations back to strategy missing
Requires addressing deviations and nonconformities in the innovation management system.
- Continual improvement register
- Root cause analysis records
- Innovation maturity reassessment
- Process improvement proposals tracker
- Retrospective and post-mortem notes
- Lessons learned stored but never reused
- Nonconformities not logged or trended
- Feedback loops from operations back to strategy missing
Requires continual improvement of the suitability, adequacy, and effectiveness of the innovation management system.
- Retrospective and post-mortem notes
- Feedback loop documentation
- Innovation maturity reassessment
- Root cause analysis stops at symptom level
- Corrective actions closed without verifying effectiveness
- Maturity reassessment skipped year over year
- Improvement register stale, items older than 12 months unactioned
- Feedback loops from operations back to strategy missing
Clause 4: Context of the Organization
Requires identifying internal and external issues relevant to innovation, including growth opportunities and unmet needs.
- Trend and foresight scan report
- Strategic intelligence brief
- Innovation context register
- Stakeholder map with innovation interests
- Context analysis treated as one-off, not refreshed annually
- IMS scope undefined or inconsistent across business units
- Innovation maturity baseline never established
- Strategic intelligence not feeding into innovation decisions
- Stakeholder map omits external innovation partners (universities, startups)
Requires identifying stakeholders and understanding their requirements relevant to the innovation management system.
- Trend and foresight scan report
- Interested-party requirements log
- Innovation maturity baseline assessment
- Stakeholder map with innovation interests
- IMS scope statement signed by leadership
- Internal capability gaps not assessed against strategy
- Trend scanning is ad hoc and undocumented
- Context analysis treated as one-off, not refreshed annually
Requires defining boundaries and applicability of the innovation management system within the organization.
- IMS scope statement signed by leadership
- Innovation context register
- Strategic intelligence brief
- Trend and foresight scan report
- Internal capability gaps not assessed against strategy
- IMS scope undefined or inconsistent across business units
- Stakeholder map omits external innovation partners (universities, startups)
Requires establishing, implementing, maintaining, and continually improving the innovation management system.
- Strategic intelligence brief
- IMS scope statement signed by leadership
- Competitor innovation benchmark
- Stakeholder map with innovation interests
- Strategic intelligence not feeding into innovation decisions
- Context analysis treated as one-off, not refreshed annually
- IMS scope undefined or inconsistent across business units
- Stakeholder map omits external innovation partners (universities, startups)
- Innovation maturity baseline never established
Clause 5: Leadership
Requires top management to take responsibility for the innovation management system and foster an innovation culture.
- Board minutes referencing innovation strategy
- Innovation vision and strategy document
- Approved innovation policy
- Culture barriers to risk-taking not addressed by leadership
- Innovation policy not formally approved or communicated
- Executive sponsorship limited to lip service, no time committed
- Roles and responsibilities for innovation undefined
Requires establishing an innovation policy that provides a framework for setting innovation objectives.
- Board minutes referencing innovation strategy
- Innovation governance framework
- Leadership innovation commitments register
- Innovation vision and strategy document
- Executive innovation charter
- Approved innovation policy
- Governance forum lacks decision-making authority
- Innovation strategy disconnected from corporate strategy
- No clear accountability for innovation outcomes
- Culture barriers to risk-taking not addressed by leadership
Requires establishing an innovation vision and strategy aligned with the organization's overall direction.
- Innovation council terms of reference
- Innovation governance framework
- Board minutes referencing innovation strategy
- Innovation vision and strategy document
- No clear accountability for innovation outcomes
- Innovation strategy disconnected from corporate strategy
- Governance forum lacks decision-making authority
- Innovation policy not formally approved or communicated
Requires assigning and communicating roles and responsibilities for the innovation management system.
- Culture assessment results
- Board minutes referencing innovation strategy
- Innovation council terms of reference
- Approved innovation policy
- Roles and responsibilities for innovation undefined
- No clear accountability for innovation outcomes
- Culture barriers to risk-taking not addressed by leadership
Requires fostering a culture that supports innovation including tolerance of uncertainty and learning from failure.
- Innovation governance framework
- Strategic alignment matrix linking innovation to business goals
- Board minutes referencing innovation strategy
- RACI for innovation roles
- Innovation vision and strategy document
- Roles and responsibilities for innovation undefined
- Innovation policy not formally approved or communicated
- Executive sponsorship limited to lip service, no time committed
Clause 6: Planning
Requires identifying opportunities and risks related to innovation and planning actions to address them.
- Resource allocation plan
- Innovation roadmap
- Action plans tied to innovation objectives
- Opportunity and risk register
- Initiative prioritisation done by HiPPO not criteria
- Portfolio biased toward horizon 1 incremental projects
- Innovation objectives lack measurable targets
- Risk treatment plans absent for high-uncertainty bets
- Roadmap not updated when strategy changes
Requires establishing measurable innovation objectives with plans, responsibilities, and timelines.
- Resource allocation plan
- Innovation objectives with measurable targets
- Initiative prioritisation scorecard
- Change management plan for innovation initiatives
- Innovation roadmap
- No resource plan tied to portfolio priorities
- Opportunities and risks tracked separately with no link to objectives
- Innovation objectives lack measurable targets
Requires establishing organizational structures that support innovation activities and cross-functional collaboration.
- Action plans tied to innovation objectives
- Opportunity and risk register
- Portfolio balancing model (horizons 1/2/3)
- Opportunities and risks tracked separately with no link to objectives
- Initiative prioritisation done by HiPPO not criteria
- No resource plan tied to portfolio priorities
- Innovation objectives lack measurable targets
- Portfolio biased toward horizon 1 incremental projects
Requires managing innovation initiatives as portfolios, balancing risk, resources, and strategic alignment.
- Innovation roadmap
- Initiative prioritisation scorecard
- Resource allocation plan
- Innovation objectives with measurable targets
- Portfolio balancing model (horizons 1/2/3)
- Opportunity and risk register
- No resource plan tied to portfolio priorities
- Innovation objectives lack measurable targets
- Initiative prioritisation done by HiPPO not criteria
- Portfolio biased toward horizon 1 incremental projects
Clause 7: Support
Requires providing resources including time, knowledge, budget, and infrastructure to support innovation efforts.
- Time-allocation policy (e.g., 10% innovation time)
- Communication plan (internal/external)
- IP register and assignment agreements
- Innovation tools and methods catalogue
- Competence matrix for innovation roles
- Strategic intelligence siloed in one team
- Knowledge from past projects not captured or reused
- Partnership agreements lack IP and confidentiality clauses
- Time allocation for innovation crowded out by BAU
Requires ensuring personnel involved in innovation activities have the necessary skills and competencies.
- Strategic intelligence repository
- Training records and learning paths
- IP register and assignment agreements
- Competence requirements for innovation roles not defined
- Strategic intelligence siloed in one team
- Innovation budget not ring-fenced from operating budget
- Time allocation for innovation crowded out by BAU
Requires ensuring awareness of the innovation policy, vision, and individual contribution to the innovation system.
- Document control register for IMS
- Communication plan (internal/external)
- IP register and assignment agreements
- Competence requirements for innovation roles not defined
- Tools and methods inconsistent across teams
- IP register incomplete, ownership disputes likely
- Partnership agreements lack IP and confidentiality clauses
Requires determining internal and external communications relevant to the innovation management system.
- Communication plan (internal/external)
- Time-allocation policy (e.g., 10% innovation time)
- Knowledge repository / lessons learned database
- Competence matrix for innovation roles
- Innovation infrastructure inventory
- Training records and learning paths
- Knowledge from past projects not captured or reused
- Innovation budget not ring-fenced from operating budget
- IP register incomplete, ownership disputes likely
- Tools and methods inconsistent across teams
Requires creating and maintaining documented information necessary for the innovation management system.
- Competence matrix for innovation roles
- Partnership and collaboration agreements
- Resource and budget plan for innovation
- Time-allocation policy (e.g., 10% innovation time)
- Training records and learning paths
- Knowledge repository / lessons learned database
- Tools and methods inconsistent across teams
- IP register incomplete, ownership disputes likely
- Competence requirements for innovation roles not defined
Requires identifying and deploying appropriate tools and methods to support innovation activities.
- Time-allocation policy (e.g., 10% innovation time)
- Resource and budget plan for innovation
- IP register and assignment agreements
- Knowledge repository / lessons learned database
- Competence matrix for innovation roles
- Innovation budget not ring-fenced from operating budget
- IP register incomplete, ownership disputes likely
- Time allocation for innovation crowded out by BAU
Requires gathering and analyzing strategic intelligence to inform innovation decisions and identify opportunities.
- Communication plan (internal/external)
- Knowledge repository / lessons learned database
- Strategic intelligence repository
- Partnership agreements lack IP and confidentiality clauses
- Knowledge from past projects not captured or reused
- Strategic intelligence siloed in one team
- IP register incomplete, ownership disputes likely
Requires establishing processes for managing intellectual property generated through innovation activities.
- Innovation tools and methods catalogue
- Time-allocation policy (e.g., 10% innovation time)
- Competence matrix for innovation roles
- Document control register for IMS
- Competence requirements for innovation roles not defined
- Partnership agreements lack IP and confidentiality clauses
- IP register incomplete, ownership disputes likely
- Time allocation for innovation crowded out by BAU
Clause 8: Operations - Innovation Process
Requires planning, implementing, and controlling the processes needed for the innovation management system.
- Concept validation reports
- Opportunity backlog
- Pipeline funnel report
- Prototype and pilot test results
- Solution deployment plan
- Post-launch reviews not held or not actioned
- Stage gates skipped under schedule pressure
- Pilot results not feeding back into solution design
- Concept validation relies on opinion not evidence
- Idea-to-launch process undocumented, varies by team
Requires establishing processes for managing innovation initiatives from concept through implementation.
- Idea management system records
- Solution deployment plan
- Prototype and pilot test results
- Pilot results not feeding back into solution design
- Idea-to-launch process undocumented, varies by team
- Stage gates skipped under schedule pressure
Requires systematic identification of opportunities for innovation through trends analysis, user needs, and market research.
- Concept validation reports
- Stage-gate review minutes
- Documented innovation process (idea-to-launch)
- Idea management system records
- Post-launch reviews not held or not actioned
- Deployment plans treat innovations like BAU launches
- Pilot results not feeding back into solution design
- Opportunity backlog grows without grooming or kill decisions
- Concept validation relies on opinion not evidence
Requires developing innovation concepts and value propositions from identified opportunities.
- Customer co-creation session notes
- Concept validation reports
- Post-launch review report
- Pilot results not feeding back into solution design
- Concept validation relies on opinion not evidence
- Opportunity backlog grows without grooming or kill decisions
- Idea-to-launch process undocumented, varies by team
- Deployment plans treat innovations like BAU launches
Requires validating innovation concepts through experimentation, prototyping, and stakeholder feedback.
- Customer co-creation session notes
- Documented innovation process (idea-to-launch)
- Solution deployment plan
- Idea management system records
- Post-launch review report
- Stage-gate review minutes
- Idea-to-launch process undocumented, varies by team
- Stage gates skipped under schedule pressure
- Pilot results not feeding back into solution design
- Post-launch reviews not held or not actioned
- Opportunity backlog grows without grooming or kill decisions
Requires developing validated concepts into implementable solutions with defined specifications.
- Prototype and pilot test results
- Concept validation reports
- Pipeline funnel report
- Customer co-creation session notes
- Solution deployment plan
- Opportunity backlog
- Stage gates skipped under schedule pressure
- Deployment plans treat innovations like BAU launches
- Idea-to-launch process undocumented, varies by team
- Concept validation relies on opinion not evidence
- Pilot results not feeding back into solution design
Requires deploying innovation solutions including market launch, scaling, and value realization activities.
- Documented innovation process (idea-to-launch)
- Prototype and pilot test results
- Concept validation reports
- Opportunity backlog
- Customer co-creation session notes
- Concept validation relies on opinion not evidence
- Opportunity backlog grows without grooming or kill decisions
- Deployment plans treat innovations like BAU launches
Clause 9: Performance Evaluation
Requires determining what needs to be monitored and measured for innovation performance evaluation.
- Innovation KPI dashboard
- Balanced scorecard for innovation
- Innovation analytics report
- Measurement and evaluation procedure
- Benchmarking against peers absent
- Evaluation criteria differ across portfolio without rationale
- KPIs measure activity (idea count) not outcomes (revenue, adoption)
- Internal audits of IMS not scheduled
- Management reviews skip innovation as an agenda item
Requires conducting internal audits to verify the innovation management system's conformance and effectiveness.
- Performance evaluation criteria document
- Balanced scorecard for innovation
- Audit nonconformity log
- Innovation KPI dashboard
- Management review minutes and actions
- Benchmarking study results
- Management reviews skip innovation as an agenda item
- Customer feedback not systematically captured
- Lagging indicators only, no leading indicators
- Evaluation criteria differ across portfolio without rationale
- Internal audits of IMS not scheduled
Requires top management review of the innovation management system for suitability and effectiveness.
- Internal audit programme and reports
- Benchmarking study results
- Audit nonconformity log
- Internal audits of IMS not scheduled
- Customer feedback not systematically captured
- Management reviews skip innovation as an agenda item
- Benchmarking against peers absent
- Lagging indicators only, no leading indicators
Context
Determine external and internal issues relevant to innovation including market trends, technology shifts, competition and organizational culture.
- Innovation environment scan
- Trend analysis report
- Competitor intelligence
- No structured horizon scanning
- Inside-out only
Identify interested parties relevant to innovation activities and their requirements including users, customers, partners and broader ecosystem.
- Stakeholder map
- Voice-of-customer programme
- Partner ecosystem register
- No end-user research
- Partner ecosystem absent
Determine boundaries and applicability of IMS including types of innovation pursued and organizational coverage.
- IMS scope document
- Innovation typology (incremental/radical/disruptive)
- Coverage map
- Product-only scope
- BU silos
Establish, implement, maintain and continually improve IMS including processes, interactions and innovation portfolio.
- IMS process map
- Innovation portfolio dashboard
- Stage-gate framework
- Ad hoc projects only
- No portfolio view
Establish innovation vision, strategy, policy and objectives supported by innovation culture and embedded in organizational strategy.
- Innovation vision statement
- Innovation strategy doc
- Culture survey results
- Vision but no strategy
- Risk-averse culture
Improvement
React to deviations and nonconformities including learning from failed innovations and taking action where appropriate.
- Failure post-mortems
- Lessons-learned register
- Retro action tracker
- Blame culture
- No post-mortems
Continually improve suitability, adequacy and effectiveness of IMS including adoption of new methods and learning loops.
- IMS improvement plan
- Maturity assessments
- Method adoption log
- No maturity baseline
- Static IMS
Leadership
Top management demonstrates leadership for innovation including risk tolerance, learning from failure and providing strategic direction.
- CEO innovation mandate
- Risk tolerance statement
- Time/budget for exploration
- Innovation theatre
- No tolerance for failure
Establish innovation policy aligned with strategy providing framework for objectives, commitment to innovation and continual improvement.
- Signed innovation policy
- Communication evidence
- Policy review log
- Generic R&D policy
- No commitment language
Assign and communicate responsibilities and authorities for IMS including innovation leaders, sponsors and champions.
- Innovation org chart
- Sponsor/champion register
- RACI
- Innovation isolated in R&D
- No exec sponsor
Operation
Plan, implement and control innovation processes needed to meet requirements including identifying opportunities, creating concepts, validating and deploying.
- Innovation process model
- Stage-gate templates
- Pivot/kill criteria
- Linear waterfall only
- No kill criteria
Configure innovation processes from opportunity identification through concept creation, validation, development and deployment.
- Opportunity funnel data
- Concept canvas library
- Validation experiment log
- Deployment playbook
- Funnel data missing
- Experiments not logged
Performance evaluation
Determine what to monitor regarding innovation performance and IMS effectiveness including portfolio progress and value realised.
- Innovation KPI dashboard
- Value realisation tracking
- Portfolio health reports
- Activity over outcome
- No value tracking
Conduct internal audits at planned intervals to evaluate IMS conformity and effectiveness considering innovation context.
- Audit programme
- Audit reports
- Auditor brief on innovation context
- Compliance lens only
- No effectiveness focus
Top management reviews IMS at planned intervals to ensure continuing suitability, adequacy, effectiveness and alignment with strategy.
- Management review minutes
- Strategy alignment check
- Portfolio review record
- Annual only
- No strategy refresh trigger
Planning
Determine risks and opportunities related to innovation including upside risk and plan actions to address them.
- Innovation risk-opportunity matrix
- Portfolio risk balance
- Real options analysis
- Downside risk only
- No portfolio balance
Establish innovation objectives at relevant functions and levels including type, scope, time horizon and how achievement measured.
- Innovation objectives register
- KPI scorecard (input/throughput/output)
- Time-horizon mix
- Output KPIs only
- Short-term bias
Determine and provide organizational structures supporting innovation activities including dedicated teams, partnerships and governance.
- Innovation team structure
- Governance forums
- Partnership agreements
- No dedicated team
- Functional silos block
Establish, manage and evaluate innovation portfolios aligned with strategy considering type, balance, risk and resources.
- Portfolio dashboard
- Horizon 1/2/3 split
- Stage-gate progression
- Kill/continue decisions
- No horizon balance
- Zombie projects
Support
Determine and provide resources necessary for IMS including people, time, knowledge, finance, infrastructure and tools.
- Innovation budget
- Time-allocation policy (e.g. 10/20% time)
- Innovation infrastructure inventory
- No protected time
- Underfunded
Determine necessary competences for innovation including creativity, entrepreneurship, design thinking and ensure persons are competent.
- Innovation competency framework
- Training records
- External coach engagements
- Technical only
- No design thinking training
Persons doing work under organization's control are aware of innovation policy, contribution and implications of not conforming.
- Awareness campaigns
- Onboarding modules
- Recognition programmes
- Only R&D aware
- No recognition
IMS includes documented information required by standard and necessary for effectiveness including learning capture.
- IMS knowledge base
- Lessons-learned repository
- Decision logs
- Knowledge lost
- No lessons captured
Determine, provide and maintain tools and methods needed to support innovation activities and processes.
- Method library (design thinking, TRIZ, lean startup)
- Innovation software/platforms
- Sandbox environments
- No standard toolkit
- No sandbox
Determine, collect and analyse strategic intelligence from internal and external sources to support innovation decisions.
- Strategic intelligence reports
- Patent/trend monitoring
- Customer insight pipeline
- No competitive intel
- Patent landscape ignored
Establish IP management approach including identification, protection, exploitation and respect of third-party IP.
- IP policy
- Patent portfolio register
- Freedom-to-operate reviews
- NDA templates
- Reactive IP only
- Trade secrets not managed
Assembled from the framework’s own control set, so this list is regenerated rather than written and stays current as the graph does. See the ISO 56002 framework page.