What is the primary objective of **ISO 37301**?

**ISO 37301:2021 specifies requirements for establishing, implementing, maintaining, and improving an effective **Compliance Management System (CMS)**.** Published on 13 April 2021, it replaces the guidance-only ISO 19600 by introducing certifiable requirements using the **Plan-Do-Check-Act (PDCA)** cycle and **High-Level Structure (HLS)**. The standard promotes a risk-based approach to identify **compliance obligations**, assess risks and opportunities, foster leadership commitment, and ensure continual improvement through performance evaluation.

Who is legally or professionally required to comply with **ISO 37301**?

**No organization is legally required to comply with ISO 37301, as it is a voluntary certifiable standard applicable to all sizes and sectors.** It is professionally adopted by organizations seeking third-party certification to demonstrate systematic management of **compliance obligations** (legal, regulatory, contractual, voluntary). Large enterprises like Kingspan have certified multiple sites, driven by stakeholder demands for governance assurance.

Does **ISO 37301** require an external audit or third-party certification?

**ISO 37301 enables but does not require external audits or third-party certification.** Certification is issued by accredited bodies (e.g., ANAB-accredited), involving initial conformity assessment and surveillance audits in a typical three-year cycle. Organizations must conduct internal audits and management reviews, with certification providing external validation of CMS effectiveness.

How often should an assessment for **ISO 37301** be performed?

**ISO 37301 requires continual assessment through ongoing monitoring, measurement, internal audits at planned intervals, and periodic management reviews by top management.** Internal audits are risk-based in frequency; certification involves surveillance audits annually or biennially within a three-year cycle. Performance evaluation uses KPIs aligned with ISO 37302 for effectiveness.

What are the consequences of non-compliance with **ISO 37301**?

**Non-conformance with ISO 37301 results in internal corrective actions, potential loss of certification, and heightened organizational risks such as regulatory fines or reputational damage.** The standard mandates root-cause analysis, nonconformity control, and CMS improvements via clause 10.2; unaddressed issues may lead to major nonconformities in audits, but no direct legal penalties apply as it is voluntary.

An **ISO 37301** be mapped to other international frameworks?

**Yes, ISO 37301 follows the High-Level Structure (HLS), enabling seamless mapping and integration with other ISO management system standards.** Its PDCA cycle and clauses (context, leadership, planning, support, operation, performance, improvement) align with standards like those for quality, environment, and information security, supporting Integrated Management Systems (IMS) and joint audits.

What is the first step to begin implementing **ISO 37301**?

**The first step is to determine the organization's context, including internal/external issues, interested parties' needs, and CMS scope per clause 4.** Secure top management commitment, inventory **compliance obligations** into a centralized register, and prioritize material risks to establish a risk-based foundation for planning objectives and controls.

What is the primary objective of **ISO 26000**?

**ISO 26000 provides internationally recognized guidance on social responsibility to help organizations integrate sustainable practices into their operations.** Published in November 2010 and confirmed current in 2021, it defines social responsibility as an organization's accountability for its impacts on society and the environment through transparent, ethical behavior that contributes to sustainable development, respects stakeholder expectations, complies with law, aligns with international norms, and is embedded organization-wide.

Who is legally or professionally required to comply with **ISO 26000**?

**No organization is legally required to comply with ISO 26000, as it is voluntary guidance applicable to all types regardless of size, location, or sector.** It targets private, public, and non-profit entities, including SMEs, multinationals, hospitals, schools, and charities, encouraging contextual application through stakeholder engagement to address relevant impacts in the seven core subjects.

Does **ISO 26000** require an external audit or third-party certification?

**ISO 26000 explicitly prohibits external audits or third-party certification, as it contains no requirements and is not a management system standard.** Clause 1 states that certification claims would misrepresent its purpose; organizations should use it as guidance, supported by self-assessment, transparent reporting, and tools like the ISO 26000 Communication Protocol for credible claims.

How often should an assessment for **ISO 26000** be performed?

**ISO 26000 recommends periodic assessments at appropriate intervals aligned with organizational context and stakeholder needs.** It emphasizes ongoing stakeholder engagement, performance reviews, and reporting that include objectives, achievements, shortfalls, and improvement plans, integrated into continuous cycles like Plan-Do-Check-Act without fixed frequencies.

What are the consequences of non-compliance with **ISO 26000**?

**There are no formal consequences for non-compliance with ISO 26000, as it imposes no legal requirements or penalties.** However, misalignment with its seven principles and core subjects risks reputational damage, stakeholder distrust, lost market access, and indirect exposure to related regulations on human rights, labor, or environment, with credibility hinging on transparent practices.

An **ISO 26000** be mapped to other international frameworks?

**Yes, ISO 26000 aligns with frameworks like OECD Guidelines, UN Global Compact, GRI, and UN SDGs through official ISO linkage documents.** Developed with agreements involving ILO, OECD, GRI, and others, it supports interoperability for ESG reporting, human rights due diligence, and sustainability integration without replacing certifiable standards.

What is the first step to begin implementing **ISO 26000**?

**The first step is recognizing social responsibility and engaging stakeholders per Clause 5 to understand organizational impacts and context.** This involves mapping impacts across the seven core subjects, identifying relevant issues through dialogue, and prioritizing based on significance to inform governance, strategy, and integration throughout the organization.

ISO 37301 vs ISO 26000

Standards Comparison

ISO 37301

Voluntary

2021

Certifiable international standard for compliance management systems

ISO 26000

Voluntary

2010

International guidance standard for social responsibility.

Quick Verdict

ISO 37301 provides certifiable CMS requirements for compliance risks across organizations, while ISO 26000 offers non-certifiable guidance on social responsibility principles and core subjects. Companies adopt 37301 for audit-proof compliance, 26000 for ethical governance and stakeholder trust.

Compliance Management

ISO 37301

ISO 37301:2021 Compliance management systems – Requirements

Cost

€€€€

Complexity

High

Implementation Time

12-18 months

Key Features

Certifiable CMS requirements replacing guidance-only ISO 19600
High-level structure enables integration with other ISO standards
Risk-based approach to compliance obligations and controls
Mandates leadership commitment and compliance culture
Requires confidential whistleblowing and anti-retaliation protections

Social Responsibility

ISO 26000

ISO 26000:2010 Guidance on social responsibility

Cost

€€€

Complexity

High

Implementation Time

12-18 months

Key Features

Seven core subjects for holistic SR coverage
Seven principles underpinning all decisions
Non-certifiable guidance for all organizations
Stakeholder engagement for issue prioritization
Integration with management systems like ISO 14001

Detailed Analysis

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

ISO 37301 Details

What It Is

ISO 37301:2021 – Compliance management systems – Requirements with guidance for use is a certifiable international standard for establishing, implementing, maintaining, and improving effective compliance management systems (CMS). It replaces guidance-only ISO 19600, using a risk-based PDCA cycle and ISO High-Level Structure (HLS) for broad applicability across organizations.

Key Components

Core clauses: context, leadership, planning, support, operation, performance evaluation, improvement.
Emphasizes compliance obligations identification, risk assessment, whistleblowing, internal audits, management reviews.
Built on HLS for integration; supports companion standards like ISO 37302 (effectiveness) and ISO 37303 (competence).
Enables third-party certification via accredited bodies like ANAB.

Why Organizations Use It

Provides external assurance, reduces noncompliance risks, fines, reputational harm.
Builds stakeholder trust, supports ESG/SDGs, facilitates market access.
Drives cultural integrity, continual improvement; aligns with regulatory demands.

Implementation Overview

Phased approach: gap analysis, risk register, controls, training, audits, certification.
Scalable for SMEs to enterprises, all sectors/geographies.
Involves initial audits, 3-year surveillance cycles; 2024 amendment adds climate action.

ISO 26000 Details

What It Is

ISO 26000:2010 is the international guidance standard on social responsibility (SR). It provides a voluntary framework, not certifiable requirements, applicable to all organizations regardless of size, sector, or location. Its primary purpose is to help organizations integrate SR into governance, strategy, and operations through principles-based guidance and stakeholder engagement.

Key Components

Seven **core subjectsorganizational governance, human rights, labor practices, environment, fair operating practices, consumer issues, community involvement.
Seven **principlesaccountability, transparency, ethical behavior, respect for stakeholder interests, rule of law, international norms, human rights.
No fixed controls; emphasizes holistic, contextual application via Clauses 5-7 on recognition, core subjects, and integration.
Non-certifiable; uses self-assessment and transparent reporting.

Why Organizations Use It

Enhances sustainability commitment, risk management, and stakeholder trust.
Aligns with SDGs, OECD, GRI; supports ESG reporting.
Builds resilience, competitive edge, talent attraction without certification burden.

Implementation Overview

Phased: materiality assessment, stakeholder engagement, policy integration, training, monitoring.
Integrates with ISO 14001/45001; universal applicability; no mandatory audits.

Key Differences

Aspect	ISO 37301	ISO 26000
Scope	Compliance obligations, risks, CMS requirements	Social responsibility principles, core subjects
Industry	All sizes/sectors worldwide	All organizations/sectors globally
Nature	Certifiable requirements standard	Non-certifiable guidance standard
Testing	Accredited third-party audits	Self-assessment, no certification
Penalties	Loss of certification	No penalties, reputational risks

Scope

ISO 37301

Compliance obligations, risks, CMS requirements

ISO 26000

Social responsibility principles, core subjects

Industry

ISO 37301

All sizes/sectors worldwide

ISO 26000

All organizations/sectors globally

Nature

ISO 37301

Certifiable requirements standard

ISO 26000

Non-certifiable guidance standard

Testing

ISO 37301

Accredited third-party audits

ISO 26000

Self-assessment, no certification

Penalties

ISO 37301

Loss of certification

ISO 26000

No penalties, reputational risks

Frequently Asked Questions

Common questions about ISO 37301 and ISO 26000

ISO 37301 FAQ

ISO 26000 FAQ

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ISO 37301

ISO 26000

Quick Verdict

ISO 37301

Key Features

ISO 26000

Key Features

Detailed Analysis

ISO 37301 Details

What It Is

Key Components

Why Organizations Use It

Implementation Overview

ISO 26000 Details

What It Is

Key Components

Why Organizations Use It

Implementation Overview

Key Differences

Scope

Industry

Nature

Testing

Penalties

Frequently Asked Questions

ISO 37301 FAQ

What is the primary objective of ISO 37301?

Who is legally or professionally required to comply with ISO 37301?

Does ISO 37301 require an external audit or third-party certification?

How often should an assessment for ISO 37301 be performed?

What are the consequences of non-compliance with ISO 37301?

An ISO 37301 be mapped to other international frameworks?

What is the first step to begin implementing ISO 37301?

ISO 26000 FAQ

What is the primary objective of ISO 26000?

Who is legally or professionally required to comply with ISO 26000?

Does ISO 26000 require an external audit or third-party certification?

How often should an assessment for ISO 26000 be performed?

What are the consequences of non-compliance with ISO 26000?

An ISO 26000 be mapped to other international frameworks?

What is the first step to begin implementing ISO 26000?

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The Tool Landscape for Reaching and Maintaining ISO 27001 Compliance

One Step at a Time - a 6 Month Plan to Live and Breath DORA

Measuring NIST CSF 2.0 Success: KPIs, Dashboards, and Continuous Improvement Using Tiers & Profiles

Run Maturity Assessments with GRADUM

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APRA CPS 234 vs ISO 41001

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