ISO 37301
Certifiable international standard for compliance management systems
ISO 19600
International guidelines for compliance management systems
Quick Verdict
ISO 37301 provides certifiable requirements for effective CMS, enabling third-party validation across all organizations. ISO 19600 offered non-certifiable guidance. Companies adopt ISO 37301 for assurance and integration; legacy users transition for auditability.
ISO 37301
ISO 37301:2021 Compliance management systems – Requirements
Key Features
- Certifiable standard replacing guidance-only ISO 19600
- High-Level Structure aligns with ISO 9001/14001/27001
- Risk-based identification of compliance obligations and controls
- Leadership commitment fosters compliance culture and resources
- Mandatory confidential whistleblowing with anti-retaliation protections
ISO 19600
ISO 19600:2014 Compliance management systems — Guidelines
Key Features
- PDCA-based management system for compliance
- Governance principles: independence and board access
- Risk-based obligations identification and controls
- Scalable and proportionate to organization size
- Integrates with other ISO management systems
Detailed Analysis
A comprehensive look at the specific requirements, scope, and impact of each standard.
ISO 37301 Details
What It Is
ISO 37301:2021, titled Compliance management systems – Requirements with guidance for use, is a certifiable international standard for establishing, implementing, and improving Compliance Management Systems (CMS). It replaces guidance-only ISO 19600 and uses a risk-based PDCA cycle within the High-Level Structure (HLS) for broad applicability across organizations.
Key Components
- Core clauses: context, leadership, planning, support, operation, performance evaluation, improvement.
- Emphasizes leadership commitment, risk assessment, whistleblowing channels, internal audits, and continual improvement.
- Built on HLS for integration; companion standards like ISO 37302 (effectiveness) and ISO 37303 (competence).
- Certification via accredited bodies (e.g., ANAB) in a three-year cycle.
Why Organizations Use It
Drives regulatory compliance, reduces risks/fines, builds integrity culture, enhances stakeholder trust, and supports ESG/SDGs. Provides third-party validation amid rising complexity; strategic for investor confidence and reputation.
Implementation Overview
Phased: initiate (gap analysis), design (registers/policies), implement (training/controls), evaluate (audits/KPIs), sustain. Scalable for SMEs/enterprises; all sectors/geographies. Requires certification audits, resource allocation, cultural change.
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 (legal, regulatory, contractual, voluntary) through a scalable, risk-based, PDCA (Plan-Do-Check-Act) approach aligned with ISO's high-level structure.
Key Components
- Core clauses cover context, leadership, planning, support, operation, performance evaluation, and improvement.
- Emphasizes **principles of good governancecompliance function independence, direct board access, adequate resources.
- Focuses on obligations identification, risk assessment, controls, training, monitoring, audits, and continual improvement.
- No fixed number of controls; proportionate to organization size/complexity.
Why Organizations Use It
- Mitigates compliance risks, reduces penalties, enhances governance.
- Builds culture of integrity, stakeholder trust, operational efficiency.
- Integrates with other management systems (e.g., ISO 9001, 14001).
- Provides benchmarking despite withdrawal (replaced by certifiable ISO 37301).
Implementation Overview
- Phased: gap analysis, policy design, risk assessment, controls rollout, monitoring.
- Scalable for SMEs (6-12 months) to large firms (12-36 months).
- Universal applicability; no certification, but internal audits/management reviews recommended.
Key Differences
| Aspect | ISO 37301 | ISO 19600 |
|---|---|---|
| Scope | Requirements for CMS, all obligations | Guidelines for CMS, principles-based |
| Industry | All sizes/sectors worldwide | All sizes/sectors worldwide |
| Nature | Certifiable requirements standard | Non-certifiable guidance standard |
| Testing | Accredited certification audits | Internal audits, no certification |
| Penalties | Loss of certification | No formal penalties |
Scope
Industry
Nature
Testing
Penalties
Frequently Asked Questions
Common questions about ISO 37301 and ISO 19600
ISO 37301 FAQ
ISO 19600 FAQ
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