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**, and foster a culture of integrity.

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 entities seeking third-party validation of their CMS, particularly in regulated industries facing complex **compliance obligations** like ESG, whistleblowing, and third-party risks, with examples including Kingspan's multi-site certifications.

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 optional via **accredited bodies** like those under ANAB/ANSI, involving initial conformity assessment and surveillance audits in a typical three-year cycle, providing verifiable evidence of CMS effectiveness.

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

**ISO 37301 requires continual performance evaluation through monitoring, measurement, internal audits, and management reviews at planned intervals.** Internal audits are risk-based with no fixed frequency, while certification involves surveillance audits, commonly annually within a three-year cycle by accredited certification bodies.

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

**Non-conformance with ISO 37301 results in loss of certification, corrective actions, or audit nonconformities, but imposes no direct legal penalties as it is voluntary.** Internally, it risks inadequate CMS leading to regulatory breaches, reputational damage, fines from unmet obligations, and failure to demonstrate continual improvement per clause 10.

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

**Yes, ISO 37301 aligns seamlessly with other frameworks via its High-Level Structure (HLS), facilitating integration into Integrated Management Systems (IMS).** It supports modular use with companion standards like ISO 37302 (effectiveness), ISO 37303 (competence), and ISO 37002 (whistleblowing), enabling shared audits and risk processes.

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

**The first step is securing top management commitment and performing contextual analysis per clause 4 to map internal/external issues, interested parties, and CMS scope.** This initiates the PDCA cycle, leading to obligation inventory, risk assessment, and compliance register development.

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

**TOGAF's primary objective is to provide a proven, vendor-neutral methodology and framework for designing, planning, implementing, and governing enterprise architecture to improve business efficiency.** It establishes consistent standards, methods, and communication among architecture professionals via the **Architecture Development Method (ADM)**, an iterative lifecycle spanning Preliminary Phase through Architecture Change Management, supported by the **Content Framework**, **Enterprise Continuum**, and **Architecture Capability Framework** for alignment of strategy, business, and IT.

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

**No organization is legally required to comply with TOGAF, as it is a voluntary, vendor-neutral standard developed by The Open Group.** Professionally, it is adopted by large enterprises, government agencies, and regulated sectors (e.g., finance, defense) undergoing complex IT modernization, where architects and C-suites use it to ensure coherence, avoid proprietary lock-in, and enable repeatable governance through certified practitioners.

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

**TOGAF does not require external audits or third-party certification for organizational compliance.** It emphasizes internal **Architecture Board** oversight, compliance reviews, and self-assessments via the **Architecture Capability Framework**; The Open Group offers practitioner certifications (e.g., TOGAF 9.2/10th Edition) to build skills, but these are optional for consistent application of ADM and governance.

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

**TOGAF assessments should be performed continuously through Phase H (Architecture Change Management) and iteratively via Requirements Management across ADM cycles.** Maturity uses models like ACMM quarterly; compliance reviews align with project lifecycles, with Architecture Board cadences (e.g., monthly for active programs, quarterly for portfolio), adapting to change triggers like business shifts or regulatory updates.

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

**Non-compliance with TOGAF results in internal risks like fragmented architectures, duplicated efforts, vendor lock-in, and failed transformations, but no legal penalties exist as it is voluntary.** Poor adherence leads to higher IT costs, integration failures, governance gaps, and reduced ROI, undermining enterprise coherence without enforceable sanctions.

Can **TOGAF** be mapped to other international frameworks?

**Yes, TOGAF can be mapped to other frameworks through its modular structure and Enterprise Continuum.** The 10th Edition provides guidance for integration with complementary standards, using the Content Metamodel for alignment of ADM phases, governance, and artifacts to ensure consistent enterprise architecture practices.

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

**The first step is the Preliminary Phase: establish architecture capability by defining principles, tailoring the framework, selecting tools, and setting up the Architecture Repository.** This includes forming the **Architecture Board**, clarifying business drivers via a Request for Architecture Work, and preparing for ADM iteration.

ISO 37301 vs TOGAF

Standards Comparison

ISO 37301

Voluntary

2021

Certifiable international standard for compliance management systems

TOGAF

Voluntary

2022

Global framework for enterprise architecture development.

Quick Verdict

ISO 37301 provides certifiable compliance management systems for all organizations globally, while TOGAF offers a methodology for enterprise architecture in large IT-driven enterprises. Companies adopt ISO 37301 for compliance assurance and TOGAF for strategic IT-business alignment.

Compliance Management

ISO 37301

ISO 37301:2021 Compliance management systems – Requirements with guidance

Cost

€€€€

Complexity

High

Implementation Time

12-18 months

Key Features

Certifiable standard replacing guidance-only ISO 19600
High-Level Structure alignment for management system integration
Risk-based compliance obligations identification and assessment
Leadership commitment and organizational culture emphasis
Confidential whistleblowing channels with anti-retaliation protections

Enterprise Architecture

TOGAF

The Open Group Architecture Framework (TOGAF)

Cost

€€€€

Complexity

High

Implementation Time

12-18 months

Key Features

Iterative Architecture Development Method (ADM)
Content Framework with metamodel and artifacts
Enterprise Continuum for asset classification and reuse
Reference models like TRM and III-RM
Architecture Capability Framework for governance

Detailed Analysis

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

ISO 37301 Details

What It Is

ISO 37301:2021, officially Compliance management systems – Requirements with guidance for use, is a certifiable international standard for Compliance Management Systems (CMS). It outlines requirements to establish, implement, maintain, and improve CMS via risk-based planning, PDCA cycle, and High-Level Structure (HLS) for seamless integration.

Key Components

**LeadershipCommitment, policy, roles, culture promotion
**PlanningObligations, risks, objectives, actions
**SupportResources, competence, awareness, whistleblowing communication
**OperationControls, third-party oversight, investigations
**EvaluationMonitoring, KPIs, audits, management reviews
**ImprovementCorrective actions, continual enhancement Certifiable by accredited bodies (e.g., ANAB).

Why Organizations Use It

Provides certification for stakeholder assurance, reduces fines/reputational risks, builds integrity culture, supports ESG/SDGs, integrates with ISO 9001/27001, offers maturity models for competitive edge.

Implementation Overview

Phased: context/risk analysis, register building, training, audits, certification. Scalable for all sizes/sectors; 12-18 months typical; 3-year surveillance cycles.

TOGAF Details

What It Is

TOGAF (The Open Group Architecture Framework) is a vendor-neutral enterprise architecture framework and methodology. Its primary purpose is to design, plan, implement, and govern enterprise-wide change across business and IT. The core approach is the iterative Architecture Development Method (ADM), supporting tailoring for organizational contexts.

Key Components

**ADM phasesPreliminary, Vision, Business/Data/Application/Technology Architectures, Opportunities, Migration, Governance, Change Management.
**Content FrameworkDeliverables, artifacts, building blocks, and metamodel.
Enterprise Continuum, reference models (TRM, III-RM), and Architecture Capability Framework.
Certification via Open Group levels for practitioners.

Why Organizations Use It

Aligns strategy with execution, reduces duplication, accelerates delivery.
Enables governance, risk management, reuse for ROI.
Builds stakeholder trust through consistent standards.
Competitive edge in transformations, avoiding vendor lock-in.

Implementation Overview

Phased rollout: preparation, pilot, scale with maturity assessments.
Tailoring ADM, building repository, training.
Suits large enterprises across industries; voluntary adoption.

Key Differences

Aspect	ISO 37301	TOGAF
Scope	Compliance management systems (CMS)	Enterprise architecture development
Industry	All sectors, all sizes globally	Large enterprises, IT-heavy sectors
Nature	Certifiable management system standard	Vendor-neutral EA methodology/framework
Testing	Third-party certification audits	Internal compliance reviews, maturity assessments
Penalties	Loss of certification, no legal fines	No penalties, internal governance only

Scope

ISO 37301

Compliance management systems (CMS)

TOGAF

Enterprise architecture development

Industry

ISO 37301

All sectors, all sizes globally

TOGAF

Large enterprises, IT-heavy sectors

Nature

ISO 37301

Certifiable management system standard

TOGAF

Vendor-neutral EA methodology/framework

Testing

ISO 37301

Third-party certification audits

TOGAF

Internal compliance reviews, maturity assessments

Penalties

ISO 37301

Loss of certification, no legal fines

TOGAF

No penalties, internal governance only

Frequently Asked Questions

Common questions about ISO 37301 and TOGAF

ISO 37301 FAQ

TOGAF FAQ

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ISO 37301

TOGAF

Quick Verdict

ISO 37301

Key Features

TOGAF

Key Features

Detailed Analysis

ISO 37301 Details

What It Is

Key Components

Why Organizations Use It

Implementation Overview

TOGAF 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?

TOGAF FAQ

What is the primary objective of TOGAF?

Who is legally or professionally required to comply with TOGAF?

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

How often should an assessment for TOGAF be performed?

What are the consequences of non-compliance with TOGAF?

Can TOGAF be mapped to other international frameworks?

What is the first step to begin implementing TOGAF?

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Run Maturity Assessments with GRADUM

Check out these other Gradum.io Standards Comparison Pages

WCAG vs GDPR UK

FDA 21 CFR Part 11 vs COBIT

APPI vs TOGAF