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 'shall' requirements, following the **High-Level Structure (HLS)** and **Plan-Do-Check-Act (PDCA)** cycle to systematically identify **compliance obligations**, assess **compliance risks**, embed a **compliance culture**, and drive **continual improvement**.

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, types, and sectors.** It is professionally adopted by organizations seeking third-party certification to demonstrate systematic management of **compliance obligations** (legal, regulatory, contractual, voluntary), particularly in regulated industries facing ESG pressures, whistleblowing mandates, or stakeholder demands for verifiable integrity.

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 assessments and surveillance audits in a typical three-year cycle, providing external validation of CMS effectiveness through documented evidence of **leadership commitment**, **risk-based controls**, and **performance evaluation**.

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

**ISO 37301 requires continual performance evaluation through monitoring, measurement, internal audits at planned intervals, and management reviews.** Assessments follow a risk-based frequency, with **internal audits** covering high-risk areas more often; certified organizations undergo **surveillance audits** annually and recertification every three years to ensure **PDCA** alignment and **continual improvement**.

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 rather than direct legal penalties.** It mandates **root-cause analysis** and **corrective actions** for **nonconformities**, with certification withdrawal possible for unresolved issues; broader impacts include reputational damage, stakeholder distrust, and failure to mitigate compliance breaches like fines or litigation.

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

**Yes, ISO 37301 follows the ISO High-Level Structure (HLS), enabling seamless mapping and integration with other management system standards.** Its **PDCA** framework and clauses (context, leadership, planning, support, operation, evaluation, improvement) align with companion standards like **ISO 37302** (effectiveness), **ISO 37303** (competence), and **ISO 37002** (whistleblowing), supporting **Integrated Management Systems (IMS)** for holistic governance.

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

**The first step is to determine the **context of the organization**, identifying internal/external issues, interested parties, and **compliance obligations** to define CMS scope.** Secure **top management commitment**, initiate a centralized **compliance register**, and conduct a gap analysis against HLS clauses to prioritize **risk-based planning** and resource allocation.

Who is legally or professionally required to comply with **ISO 31000**?

**No organization is legally required to comply with ISO 31000, as it provides voluntary guidelines rather than mandatory requirements.** It is professionally relevant for all organizations—regardless of size, type, or sector—to enhance decision-making and resilience, with particular value for executives embedding risk into strategy and operations.

Does **ISO 31000** require an external audit or third-party certification?

**ISO 31000 does not require external audit or third-party certification, as it explicitly provides guidelines, not auditable requirements.** ISO confirms it is “not intended for certification purposes”; organizations demonstrate alignment through internal governance, evidence from records, monitoring, and continual improvement.

How often should an assessment for **ISO 31000** be performed?

**ISO 31000 assessments should be performed iteratively and dynamically, with monitoring and review conducted continually and triggered by changes in context.** The standard’s Clause 6 mandates ongoing monitoring of controls and risks, periodic reviews (e.g., quarterly enterprise reporting), and event-driven reassessments to ensure suitability, adequacy, and effectiveness.

What are the consequences of non-compliance with **ISO 31000**?

**Non-compliance with ISO 31000 carries no direct legal penalties, as it is a non-mandatory guideline standard.** Indirect consequences include heightened operational losses, regulatory scrutiny in aligned regimes, reputational damage, and suboptimal decision-making from unmanaged uncertainty.

Can **ISO 31000** be mapped to other international frameworks?

**Yes, ISO 31000 can be mapped to other international frameworks as its principles, framework, and process provide a foundational architecture for risk management.** It aligns conceptually with management system standards by supporting integration, though specifics remain independent per its guideline nature.

What is the first step to begin implementing **ISO 31000**?

**The first step to implement ISO 31000 is securing leadership commitment through a risk management policy and integration into governance (Clause 5).** Top management must demonstrate accountability by allocating resources, defining roles, and embedding risk into organizational activities before designing the framework or scaling the process.

ISO 37301 vs ISO 31000

Q: What is the primary objective of **ISO 31000**?

**ISO 31000’s primary objective is to provide principles, a framework, and process for managing risk to create and protect value by systematically addressing uncertainty’s effects on objectives.** It defines risk as “the effect of uncertainty on objectives” and applies universally to any organization, emphasizing integration into governance, leadership accountability, and iterative processes across Clauses 4 (principles), 5 (framework), and 6 (process).

Standards Comparison

ISO 37301

Voluntary

2021

Certifiable international standard for compliance management systems

ISO 31000

Voluntary

2018

International standard for risk management guidelines

Quick Verdict

ISO 37301 provides certifiable CMS requirements for compliance obligations across all organizations, while ISO 31000 offers non-certifiable guidelines for enterprise risk management. Companies adopt 37301 for audited assurance and 31000 for flexible, integrated risk practices.

Compliance Management

ISO 37301

ISO 37301:2021 Compliance management systems – Requirements

Cost

€€€€

Complexity

High

Implementation Time

12-18 months

Key Features

Certifiable requirements replacing guidance-only ISO 19600
High-Level Structure enables IMS integration
Risk-based approach to obligations and controls
Leadership commitment builds compliance culture
Mandatory whistleblowing protections and investigations

Risk Management

ISO 31000

ISO 31000:2018 Risk management — Guidelines

Cost

€€€

Complexity

Medium

Implementation Time

12-18 months

Key Features

Eight principles guiding effective risk management
Framework emphasizing leadership and integration
Iterative six-step risk management process
Non-certifiable guidelines for all organizations
Focus on human cultural factors and continual improvement

Detailed Analysis

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

ISO 37301 Details

What It Is

ISO 37301:2021 is a certifiable international standard titled Compliance management systems – Requirements with guidance for use. It specifies requirements for establishing, implementing, maintaining, and improving an effective CMS, applicable to all organization sizes and sectors. It uses a risk-based, PDCA (Plan-Do-Check-Act) methodology aligned with the ISO High-Level Structure (HLS).

Key Components

**Leadership and commitmentTop management accountability, compliance policy, culture.
**PlanningRisk assessment, objectives, compliance obligations.
**SupportResources, competence (per ISO 37303), awareness, whistleblowing.
**OperationControls, third-party management, investigations.
**Performance evaluationMonitoring, audits, management reviews (per ISO 37302).
**ImprovementCorrective actions, continual enhancement. Follows HLS with certifiable requirements via accredited bodies.

Why Organizations Use It

Drives regulatory compliance, risk reduction, ethical culture amid ESG pressures. Provides third-party certification for stakeholder trust, investor confidence, reputational protection. Enables IMS integration, supports UN SDGs, mitigates fines/litigation.

Implementation Overview

Phased approach: context analysis, obligation register, controls, training, audits. Scalable for SMEs/enterprises; 3-year certification cycle. Involves leadership buy-in, platforms for registers/KPIs; prepares via gap analysis, ANAB-accredited auditors. (178 words)

ISO 31000 Details

What It Is

ISO 31000:2018, Risk management — Guidelines is an international standard providing non-certifiable guidance for enterprise-wide risk management. Its primary purpose is to help organizations manage uncertainty affecting objectives through principles, framework, and process. The risk-based approach defines risk as "the effect of uncertainty on objectives," encompassing both threats and opportunities.

Key Components

**Three pillars8 principles (e.g., integrated, customized, dynamic), framework (leadership, integration, design, implementation, evaluation, improvement), and 6-step process (communication, scope/context/criteria, assessment, treatment, monitoring/review, recording/reporting).
No fixed controls; flexible, principles-based.
Built on PDCA cycle; not certifiable.

Why Organizations Use It

Enhances decision-making, resilience, value creation/protection.
Supports governance, strategy; builds stakeholder trust.
Applicable to any size/sector; aligns with regulations like ISO 27001.

Implementation Overview

Phased: leadership alignment, gap analysis, pilot, rollout, monitoring.
Involves policy, training, tools (e.g., GRC platforms).
Universal applicability; internal audits for assurance, no external certification.

Key Differences

Aspect	ISO 37301	ISO 31000
Scope	Compliance obligations, risks, CMS requirements	All risks affecting objectives, enterprise-wide
Industry	All sectors, sizes, global applicability	All sectors, sizes, global applicability
Nature	Certifiable requirements standard	Non-certifiable guidelines only
Testing	Accredited certification audits, surveillance	Internal audits, management reviews, no certification
Penalties	Loss of certification, no legal penalties	No penalties, voluntary adoption

Scope

ISO 37301

Compliance obligations, risks, CMS requirements

ISO 31000

All risks affecting objectives, enterprise-wide

Industry

ISO 37301

All sectors, sizes, global applicability

ISO 31000

All sectors, sizes, global applicability

Nature

ISO 37301

Certifiable requirements standard

ISO 31000

Non-certifiable guidelines only

Testing

ISO 37301

Accredited certification audits, surveillance

ISO 31000

Internal audits, management reviews, no certification

Penalties

ISO 37301

Loss of certification, no legal penalties

ISO 31000

No penalties, voluntary adoption

Frequently Asked Questions

Common questions about ISO 37301 and ISO 31000

ISO 37301 FAQ

ISO 31000 FAQ

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ISO 37301

ISO 31000

Quick Verdict

ISO 37301

Key Features

ISO 31000

Key Features

Detailed Analysis

ISO 37301 Details

What It Is

Key Components

Why Organizations Use It

Implementation Overview

ISO 31000 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?

Can ISO 37301 be mapped to other international frameworks?

What is the first step to begin implementing ISO 37301?

ISO 31000 FAQ

What is the primary objective of ISO 31000?

Who is legally or professionally required to comply with ISO 31000?

Does ISO 31000 require an external audit or third-party certification?

How often should an assessment for ISO 31000 be performed?

What are the consequences of non-compliance with ISO 31000?

Can ISO 31000 be mapped to other international frameworks?

What is the first step to begin implementing ISO 31000?

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The Regulatory Radar: How Data-Driven Compliance Tools Provide Strategic Foresight

Breaking Down NIST CSF 2.0 Structure: Core, Tiers, Profiles, and Real-World Application

Step-by-Step Implementation Guide to ISO 27701: Building a Privacy Information Management System (PIMS) on Your ISO 27001 Foundation

Run Maturity Assessments with GRADUM

Check out these other Gradum.io Standards Comparison Pages

IFS Food vs SQF

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