What is the primary objective of **ISO 19600**?

**ISO 19600 provides guidelines for establishing, developing, implementing, evaluating, maintaining, and improving an effective compliance management system (CMS).** Published in 2014 as a principles-based, scalable framework, it applies to all organization types and sizes, emphasizing proportionality to structure, nature, and complexity. The standard uses a Plan-Do-Check-Act (PDCA) cycle across clauses on context, leadership, planning, support, operation, performance evaluation, and improvement, integrating compliance obligations—laws, regulations, contracts, and voluntary codes—into governance and culture.

Who is legally or professionally required to comply with **ISO 19600**?

**No organization is legally required to comply with ISO 19600, as it provides non-mandatory guidelines rather than certifiable requirements.** It targets any public, private, or non-profit entity seeking a structured CMS, scalable by size, structure, nature, and complexity. Professionals such as CCOs, governance officers, and risk managers use it voluntarily for benchmarking, internal alignment, and demonstrating good governance to regulators, courts, or stakeholders.

Does **ISO 19600** require an external audit or third-party certification?

**ISO 19600 does not require external audits or third-party certification, being a guidance standard without mandatory requirements.** Organizations may conduct internal audits at planned intervals per Clause 9.2, using ISO 19011 criteria for systematic, independent evaluation. Alignment is self-assessed, supporting internal benchmarking but not formal certification, unlike its successor ISO 37301.

How often should an assessment for **ISO 19600** be performed?

**ISO 19600 assessments should occur at planned intervals, with reassessment triggered by changes in context, obligations, risks, or issues.** Clause 9 requires monitoring, measurement, analysis, and evaluation of CMS effectiveness, including audits and management reviews considering performance data, nonconformities, and stakeholder feedback. Frequency is proportionate to risk and complexity, typically annually or more often for high-risk areas.

What are the consequences of non-compliance with **ISO 19600**?

**There are no direct consequences for non-compliance with ISO 19600, as it imposes no legal or enforceable requirements.** Withdrawn in 2021 and replaced by ISO 37301, misalignment may indirectly expose organizations to regulatory penalties from unmet obligations, reputational damage, or governance scrutiny. Courts in some jurisdictions consider CMS evidence when assessing penalties for contraventions.

Can **ISO 19600** be mapped to other international frameworks?

**Yes, ISO 19600 can be mapped to other international frameworks sharing its high-level structure and PDCA logic.** Its Annex SL-compatible clauses on context, leadership, planning, support, operation, evaluation, and improvement facilitate integration with management systems like quality or risk frameworks, avoiding silos while preserving compliance independence.

What is the first step to begin implementing **ISO 19600**?

**The first step is determining the CMS scope and understanding organizational context per Clause 4.** Identify internal/external issues, interested parties, and boundaries as documented information, followed by principles of good governance—direct compliance function access to the governing body, independence, and adequate resources.

What is the primary objective of **AS9120B**?

**AS9120B's primary objective is to establish a quality management system (QMS) for organizations that procure, store, split, and resell aerospace parts without altering product characteristics.** Built on ISO 9001:2015's 10-clause structure, it adds over 100 aerospace-specific requirements addressing distribution risks like loss of traceability, counterfeit parts, documentation errors, and external provider weaknesses. Core focus areas include chain-of-custody controls (Clauses 8.5.2, 8.1.4/5), configuration management (8.1.2), and product safety awareness (7.3), enabling distributors to demonstrate conformity in aviation, space, and defense supply chains.

Who is legally or professionally required to comply with **AS9120B**?

**AS9120B applies to stockist distributors, pass-through distributors, and organizations performing batch splitting of aerospace parts without modifying characteristics.** It targets aviation, space, and defense (ASD) entities reliant on OEM/Tier 1 approval. Certification is not legally mandatory but is a commercial requirement from major OEMs and primes for supply chain participation. As of May 2023, ~2,442 global certifications (836 U.S.) underscore its role as a de facto market entry criterion; exclusions apply to manufacturers (AS9100) or MRO entities.

Does **AS9120B** require an external audit or third-party certification?

**Yes, AS9120B requires third-party certification through accredited bodies following a two-stage audit process (Stage 1 documentation review, Stage 2 on-site effectiveness verification).** Audits align with AS9101F using process-based methods (PEAR sheets, Turtle diagrams). Certification, valid for 3 years with annual surveillance, lists organizations in IAQG's OASIS database for visibility. Internal audits (Clause 9.2) support readiness but external certification confirms compliance.

How often should an assessment for **AS9120B** be performed?

**AS9120B requires internal audits at planned intervals to cover the full QMS scope annually (Clause 9.2).** Management reviews occur at defined intervals (typically quarterly or semi-annually, per Clause 9.3), evaluating performance trends, risks, and supplier data. Recertification audits occur every 3 years, with annual surveillance. Assessments must ensure ongoing suitability, addressing changes in context (Clause 4.1) or risks (Clause 6.1).

What are the consequences of non-compliance with **AS9120B**?

**Non-compliance with AS9120B risks contract disqualification, supply chain exclusion, and OEM blacklisting.** While not legally mandated, failure leads to audit nonconformities, loss of OASIS listing, reputational damage, and liabilities from counterfeit parts or traceability failures (e.g., recalls, safety incidents). Common audit pitfalls include weak supplier controls (Clause 8.4) and traceability gaps (8.5.2), resulting in major findings, certification denial, or suspension.

An **AS9120B** be mapped to other international frameworks?

**AS9120B cannot be formally mapped as it is a standalone IAQG standard built on ISO 9001:2015.** Its 10-clause HLS enables practical alignment with ISO 9001 requirements, facilitating gap closure for transitions. Aerospace additions (e.g., counterfeit prevention, traceability) are unique; no official mappings to other frameworks exist per research.

What is the first step to begin implementing **AS9120B**?

**The first step is conducting a formal gap analysis against AS9120B clauses using a tailored checklist (Clauses 4-10).** Form a cross-functional team to assess context (4.1/4.2), scope (4.3), and high-risk areas like supplier controls (8.4) and traceability (8.5.2). Document findings, prioritize risks, and justify "not applicable" clauses (e.g., 8.3 design) with evidence linking to conformity.

ISO 19600 vs AS9120B

Standards Comparison

ISO 19600

Voluntary

2014

Guidelines for scalable compliance management systems

AS9120B

Mandatory

2016

Aerospace QMS standard for distributors ensuring traceability and authenticity.

Quick Verdict

ISO 19600 provides compliance management guidelines for all organizations, while AS9120B is a certifiable QMS standard for aerospace distributors. Companies adopt ISO 19600 for governance frameworks and AS9120B for supply chain approval and market access.

Compliance Management

ISO 19600

ISO 19600:2014 Compliance management systems — Guidelines

Cost

€€€

Complexity

Medium

Implementation Time

6-12 months

Key Features

Explicit governance principles for compliance independence
Risk-based scalable compliance management system
PDCA cycle with high-level structure integration
Proportionality to organization size and complexity
Broad obligations including voluntary commitments

Quality Management

AS9120B

AS9120B Quality Management Systems for Distributors

Cost

€€€€

Complexity

High

Implementation Time

6-12 months

Key Features

Robust traceability and chain-of-custody controls for split lots
Counterfeit and suspected unapproved parts prevention processes
Enhanced external provider evaluation and risk-based verification
Configuration management tailored to distribution operations
Product safety and ethical behavior awareness requirements

Detailed Analysis

A comprehensive look at the specific requirements, scope, and impact of each standard.

ISO 19600 Details

What It Is

ISO 19600:2014 — Compliance management systems — Guidelines is an international standard providing non-certifiable guidance for establishing, implementing, evaluating, maintaining, and improving a compliance management system (CMS). Its primary purpose is to help organizations of any size manage compliance obligations systematically using a risk-based, principles-based approach aligned with PDCA cycle and high-level structure.

Key Components

Core pillars: context, leadership, planning, support, operation, performance evaluation, improvement.
**Governance principlesdirect access to governing body, compliance independence, adequate resources.
Built on proportionality, transparency, sustainability; covers obligations register, risk assessment, controls, audits.
No fixed controls; voluntary alignment, not certification.

Why Organizations Use It

Mitigates regulatory risks, fines, reputational damage.
Enhances governance, culture, operational efficiency.
Supports integration with ISO 9001, 14001; builds stakeholder trust.
Prepares for ISO 37301 certification; demonstrates due diligence.

Implementation Overview

Phased: gap analysis, policy design, controls rollout, monitoring.
Scalable for SMEs to multinationals, all sectors.
Involves training, audits, management reviews; no mandatory certification.

AS9120B Details

What It Is

AS9120B is the IAQG quality management system standard for aerospace distributors, built on ISO 9001:2015's 10-clause structure. It targets organizations procuring, storing, splitting, and reselling parts without alteration, emphasizing risk-based thinking to address distribution risks like traceability loss and counterfeits.

Key Components

Over 100 aerospace-specific requirements beyond ISO 9001.
Core areas: context analysis, leadership, planning, support, operations (traceability, preservation, counterfeit prevention), performance evaluation, improvement.
Built on PDCA cycle; requires documented information, internal audits, management review.
Certification via accredited bodies, OASIS listing.

Why Organizations Use It

Commercial necessity for OEM/Tier-1 supply chains.
Mitigates risks of nonconformities, counterfeits, legal liabilities.
Enhances market access, customer trust, operational efficiency.
Builds stakeholder confidence through proven chain-of-custody.

Implementation Overview

Phased approach: gap analysis, process design, training, audits (6-12 months).
Applies to aviation/space/defense distributors globally.
Involves cross-functional teams, IT for traceability, certification audits.

Key Differences

Aspect	ISO 19600	AS9120B
Scope	Compliance management systems guidelines	Aerospace distributor QMS requirements
Industry	All organizations worldwide	Aerospace distribution sector globally
Nature	Voluntary guidelines, non-certifiable	Certifiable quality standard
Testing	Internal audits, management reviews	Certification audits, surveillance audits
Penalties	No legal penalties	Loss of certification, market exclusion

Scope

ISO 19600

Compliance management systems guidelines

AS9120B

Aerospace distributor QMS requirements

Industry

ISO 19600

All organizations worldwide

AS9120B

Aerospace distribution sector globally

Nature

ISO 19600

Voluntary guidelines, non-certifiable

AS9120B

Certifiable quality standard

Testing

ISO 19600

Internal audits, management reviews

AS9120B

Certification audits, surveillance audits

Penalties

ISO 19600

No legal penalties

AS9120B

Loss of certification, market exclusion

Frequently Asked Questions

Common questions about ISO 19600 and AS9120B

ISO 19600 FAQ

AS9120B FAQ

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ISO 19600

AS9120B

Quick Verdict

ISO 19600

Key Features

AS9120B

Key Features

Detailed Analysis

ISO 19600 Details

What It Is

Key Components

Why Organizations Use It

Implementation Overview

AS9120B Details

What It Is

Key Components

Why Organizations Use It

Implementation Overview

Key Differences

Scope

Industry

Nature

Testing

Penalties

Frequently Asked Questions

ISO 19600 FAQ

What is the primary objective of ISO 19600?

Who is legally or professionally required to comply with ISO 19600?

Does ISO 19600 require an external audit or third-party certification?

How often should an assessment for ISO 19600 be performed?

What are the consequences of non-compliance with ISO 19600?

Can ISO 19600 be mapped to other international frameworks?

What is the first step to begin implementing ISO 19600?

AS9120B FAQ

What is the primary objective of AS9120B?

Who is legally or professionally required to comply with AS9120B?

Does AS9120B require an external audit or third-party certification?

How often should an assessment for AS9120B be performed?

What are the consequences of non-compliance with AS9120B?

An AS9120B be mapped to other international frameworks?

What is the first step to begin implementing AS9120B?

You Might also be Interested in These Articles...

CMMC Level 3 Implementation Guide: Integrating NIST SP 800-172 Enhanced Controls for APT Defense

5 Ways Modern Compliance Software Makes Evolving Regulations Your Strategic Advantage

The Reasons Why NIS2 is Fundamental for Cyber Resilience in Europe

Run Maturity Assessments with GRADUM

Check out these other Gradum.io Standards Comparison Pages

NIST 800-171 vs ISO 27701

CSL (Cyber Security Law of China) vs HITRUST CSF

ISO 30301 vs ISO 27018