Trust and impartiality
The system must be designed to earn and maintain the trust of all stakeholders. Reports are handled impartially, without prejudice or bias.
ISO 37002:2021
ISO 37002 atitinkantis pranešimas, numatytasis anoniminis.
ISO 37002:2021 provides international guidelines for establishing, implementing, and maintaining an effective whistleblowing management system. Ashio's platform is built in alignment with these principles — helping organizations meet the highest global standard for whistleblower protection.
Overview
What is ISO 37002:2021?
ISO 37002:2021 is the international standard published by the International Organization for Standardization (ISO) that provides guidelines for whistleblowing management systems. Published in July 2021, it offers a framework for organizations to receive, assess, and act on reports of wrongdoing — protecting whistleblowers from retaliation and ensuring due process. ISO 37002 complements the EU Whistleblowing Directive by providing a voluntary management system standard organizations can be audited against.
Key principles
The six core principles of ISO 37002
ISO 37002 defines six foundational principles that underpin an effective whistleblowing management system:
Protection from retaliation
Whistleblowers must be protected from any form of retaliation — whether direct (dismissal, demotion) or indirect (harassment, exclusion).
Confidentiality and anonymity
The identity of the whistleblower must be protected. Anonymous reporting must be accepted and processed with the same diligence as named reports.
Visibility and accessibility
The reporting channel must be clearly communicated and accessible to all relevant parties — including employees, contractors, suppliers, and other stakeholders.
Timely and transparent process
Reports must be acknowledged promptly and processed within defined timeframes. Whistleblowers should be kept informed of progress throughout.
Continuous improvement
The system should be regularly reviewed, monitored, and improved. Feedback loops ensure the process evolves with organizational needs and emerging risks.
Context
ISO 37002 vs. the EU Whistleblowing Directive
While the EU Whistleblowing Directive (EU) 2019/1937 creates a legal obligation for organizations in EU member states, ISO 37002 provides a voluntary, internationally recognized framework for best practice. The Directive tells you what the law requires; ISO 37002 tells you how to do it well. Many organizations use ISO 37002 as a benchmark even where the EU Directive does not apply — covering jurisdictions worldwide and going beyond minimum legal compliance.
| Framework | Scope | Mandatory? | Overlaps with ISO 37002 |
|---|---|---|---|
| ISO 37002:2021 | Whistleblowing management — global | Voluntary | — (baseline) |
| EU Directive 2019/1937 | EU member states, 50+ employees | Yes (EU) | High — ISO 37002 = compliant w/ directive |
| BSI PAS 1999:2020 | UK, voluntary | Voluntary | Very high — predecessor, fully compatible |
| NIST SP 800-53 §3.6 | US federal information systems | Yes (US federal) | Partial — covers reporting, narrower scope |
Structure
The structure of ISO 37002:2021
ISO 37002 has 9 main clauses plus annexes. Clauses 1-3 are scope, normative references, and definitions. Clauses 4-10 are the actionable content — context, leadership, planning, support, operation, performance evaluation, improvement. Most implementations focus on clauses 6 (planning), 8 (operation), and 10 (improvement).
Clause 1: Scope
Defines the boundary of the standard — applies to organizations of all sizes that want to establish, implement, maintain, and improve a whistleblowing management system.
Clause 2: Normative references
References to ISO 37000 series, ISO 26000 (social responsibility), and other standards referenced in the body.
Clause 3: Terms and definitions
Defines core terms: whistleblowing, whistleblower, report, investigation, retaliation, welfare check, etc. Aligns with ISO 704 terminology where possible.
Clause 4: Context of the organization
Identifies internal and external issues that affect the system's intended outcomes. Includes stakeholder analysis — employees, contractors, suppliers, customers, regulators, public.
Clause 5: Leadership
Top management must demonstrate commitment, establish policy, assign roles and responsibilities. Includes protection against retaliation as a leadership commitment, not just an operational one.
Clause 6: Planning
Address risks and opportunities, set objectives, plan changes. Risk assessment focuses on both operational risks (when an issue is raised) and integrity risks (when an issue is suppressed).
Clause 7: Support
Resources, competence, awareness, communication, documented information. Includes training needs analysis for both investigators and management.
Clause 8: Operation
The largest clause. Covers receiving reports, assessing and acknowledging, investigating, communicating outcomes, closing. Includes both formal reports and informal concerns.
Clause 9: Performance evaluation
Monitoring, measurement, analysis, evaluation, internal audit, management review. Includes both system-level metrics and individual case metrics.
Clause 10: Improvement
Nonconformity, corrective action, continual improvement. Includes lessons learned from each case, pattern analysis across cases.
Implementation
How to implement ISO 37002:2021
Most organizations complete a working ISO 37002-aligned system in 60-90 days when using a focused framework. The roadmap below is what mature compliance teams follow.
1
Week 1-2: Scoping and leadership buy-in
Identify scope, secure top management commitment per clause 5, document the policy. Map internal and external stakeholders per clause 4.
2
Week 3-4: Risk assessment and policy
Identify integrity risks per clause 6: where could issues arise, who could be affected, what channels currently exist, where are the gaps.
3
Week 5-6: Channel and process design
Implement or upgrade the reporting channel per clause 8 — intake, acknowledgement, investigation, communication, closure. Document the procedure.
4
Week 7-8: Competence and awareness
Per clause 7: train investigators, brief managers, communicate to all employees. Make the policy visible, in local languages, at the point where reports are most likely to be considered.
5
Week 9-10: Go live and monitoring
Launch. Per clause 9: set KPIs, run an internal audit within 60 days, hold a management review within 90 days. Report early metrics to leadership.
6
Quarter 1 onwards: Continual improvement
Per clause 10: pattern analysis across cases, root cause analysis for nonconformities, year-end management review. Update policy and procedures as needed.
How Ashio helps
How Ashio maps to ISO 37002 requirements
You don't need to start from scratch. Ashio implements the operational parts of ISO 37002 out of the box. Here's the clause-by-clause mapping.
Clause 5 (Leadership): policy + governance
Configurable policy text in 11 languages, published alongside the report form. Single sign-on for investigators with role-based permissions and full audit trail.
Clause 6 (Planning): risk-aware design
Configurable categories mirror the risk taxonomy. Channel reaches internal employees, contractors, suppliers, customers — all stakeholder groups ISO requires you to consider.
Clause 7 (Support): training + documentation
Ashio handles the technical platform; we provide ready-to-use training materials for investigators and employees. All documentation is in ISO 27001-certified data centers.
Clause 8 (Operation): the core
End-to-end case management: receive, acknowledge, investigate, communicate, close. The two mandatory timelines (7 days acknowledgement, 3 months feedback) are automatic. Anonymity built in.
Clause 9 (Performance evaluation): metrics
Automatic KPIs: time-to-acknowledge, time-to-close, case volume, category distribution. Exportable for management review per ISO requirement.
Clause 10 (Improvement): learning loop
Pattern analysis across cases, root cause workflows, year-end management review templates. Continuous improvement built in.
Certification
Can you get certified to ISO 37002?
Short answer: no, not directly. ISO 37002 is a guidance document, not a certifiable management system standard. The certifiable system standard for compliance is ISO 37301. However, ISO 37002 alignment is often a proxy requirement, and certification bodies offer ISO 37002 alignment attestations.
ISO 37002 itself is not certifiable
It is a Type B guidance standard, not a Type A certifiable management system standard. Look for ISO 37301 if you need a certifiable compliance framework.
Many certification bodies offer attestations
BSI, TÜV, DNV, Bureau Veritas, SGS and others offer independent assessments of ISO 37002 alignment. Useful for vendor due diligence and customer trust.
Internal audit is required for ISO 37002
Per clause 9, you must run internal audits at planned intervals. A first-year organization typically audits twice; mature organizations once a year.
Ashio provides the data you need for both
Reports on time-to-acknowledge, time-to-close, pattern analysis — all the inputs an external auditor or your own internal audit will need.
Key metrics
The metrics that prove your ISO 37002 system works
Clause 9 of ISO 37002 requires monitoring, measurement, and evaluation. Here are the metrics mature compliance teams track.
Time-to-acknowledge
Target: <7 days per EU Directive and clause 8.2. Below 3 days is excellent. Measures responsiveness to reporters and signals system health.
Time-to-close
Target: <3 months per EU Directive. Below 1 month is excellent. Tracks investigation efficiency and feedback cycles. Distinguish closure (information given) from full resolution (action taken).
Report volume per 100 employees
Industry benchmark: 1-3 reports per 100 employees per year. Significantly below: possible under-reporting. Significantly above: possibly a serious problem OR a strong speak-up culture.
Channel mix diversity
ISO 37002 clause 8.1 requires multiple channels. Track what % comes via each. If 95% comes from one source, diversity is poor and you may be missing entire categories of reports.
Official sources
Official sources
Savo pareigoms patikrinti ir originaliems tekstams skaityti. Tarptautinė standartizacijos organizacija, ES direktyva ir papildomi vadybos sistemos standartai išvardyti žemiau.
ISO 37002:2021 (ISO.org)
Tarptautinės standartizacijos organizacijos oficialus santrauka, taikymo sritis ir komiteto informacija.
iso.org/standard/80095ISO 37301:2021 (Atitikties vadybos sistemos)
Sertifikavimo standartas, kurį ISO 37002 papildo. Rekomenduojamas kaip kitas žingsnis siekiant formalaus sertifikavimo.
iso.org/standard/75080ISO 27001 (Informacijos sauga)
Organizacijoms, diegiančioms ISO 37002 su skaitmeniniu kanalu, ISO 27001 suteikia sertifikuojamą informacijos saugos sistemą, papildančią pranešėjų sistemą.
iso.org/standard/27001Who it's for
Who benefits from an ISO 37002-aligned system?
ISO 37002 is designed for organizations of all sizes, in all sectors, worldwide. It is particularly relevant for:
- Multinational corporations seeking a consistent global standard for whistleblowing across jurisdictions
- Organizations in countries without specific whistleblowing legislation who want to follow international best practice
- Compliance teams looking to benchmark their existing whistleblowing program against a recognized standard
- Public sector bodies, NGOs, and international organizations committed to transparency and accountability
Audito pėdsakas
Audito pėdsakas: dokumentacija paruošta ISO 37002 sertifikavimui.
Audito pėdsakas yra vienas svarbiausių ISO 37002 reikalavimų — be jo negalima įrodyti atitikties standartui. „Ashio“ nuo pirmos dienos pateikia pilną, nekeičiamą audito pėdsaką: kiekvienas veiksmas registruojamas su laiko žyma, jo negalima vėliau pakeisti, ir jis paruoštas sertifikavimo auditui.
Nekeičiamas veiklos žurnalas
Kiekvienas veiksmas — pranešimo sukūrimas, būsenos pakeitimas, komentaro pridėjimas, failo įkėlimas — registruojamas su laiko žyma nekeičiamame žurnale. Auditorius mato, kas ką ir kada atliko, be galimybės vėliau pakeisti įrašų.
Visos pranešimo gyvavimo ciklo dokumentacija
Nuo pranešimo gavimo iki uždarymo „Ashio“ dokumentuoja kiekvieną žingsnį su atsakingu asmeniu, laiko žyma ir pagrindimu. Per auditą per kelias sekundes galite atkurti visą bylos gyvavimo ciklą.
Automatinis 7 dienų ir 3 mėnesių terminų sekimas
ES direktyva ir Pranešėjų apsaugos įstatymas reikalauja gavimo patvirtinimo per 7 dienas ir atsakymo per 3 mėnesius. „Ashio“ abu terminus registruoja automatiškai — jei auditorius klausia, ar jie buvo laikomi, įrodymas prieinamas iš karto.
Eksportavimas sertifikavimo įstaigai
Visus pranešimus, veiksmus ir audito pėdsakus galima eksportuoti PDF ir CSV formatais — puikiai tinka išorės auditoriams, sertifikavimo įstaigoms ar vidaus kontrolei. Nėra pardavėjo užrakinimo, nėra nuosavybinių formatų.
FAQ
Common questions about ISO 37002
Is ISO 37002 a legal requirement?+
No. Unlike the EU Whistleblowing Directive or national laws like the German HinSchG, ISO 37002 is a voluntary standard. It represents international best practice — organizations adopt it to demonstrate a commitment to excellence in whistleblowing management beyond minimum legal requirements.
Can a software product be 'ISO 37002 certified'?+
ISO 37002 is a management system standard, not a product certification. Organizations implement and operate an ISO 37002-aligned system — software supports that system. Ashio provides the technical infrastructure to operationalize ISO 37002's guidelines, but the standard is about the overall management system, not any single tool.
How does ISO 37002 relate to ISO 37001?+
ISO 37001 is the anti-bribery management system standard. ISO 37002 complements it by providing specific guidance on whistleblowing — which is a key component of any anti-bribery program. Organizations with ISO 37001 certification often adopt ISO 37002 guidelines to strengthen their reporting mechanisms.
Does Ashio help with ISO 37002 audits or certification?+
Ashio's platform provides the documentation, audit trails, and process structure that support ISO 37002 compliance. While Ashio itself is not a certification body, our activity logs and case management workflows give auditors the evidence they need to verify your whistleblowing processes.
Is ISO 37002 certification available?+
No. ISO 37002:2021 is a guidance document, not a certifiable management system standard. For certifiable compliance frameworks, see ISO 37301. However, certification bodies offer ISO 37002 alignment attestations, and internal audits against ISO 37002 are expected per clause 9.
Is ISO 37002 mandatory?+
No. ISO 37002 is voluntary. However, the EU Whistleblowing Directive 2019/1937 is mandatory in EU member states for organizations with 50+ employees, and a system aligned with ISO 37002 will substantially meet those mandatory requirements.
What is the difference between ISO 37002 and the EU Whistleblowing Directive?+
ISO 37002 is an international, voluntary standard for whistleblowing management systems, published by ISO. The EU Whistleblowing Directive (2019/1937) is binding EU law that requires member states to transpose it by 17 December 2021 and applies to organizations with 50+ employees. ISO 37002 is broader in scope (all sectors, all sizes) but the EU Directive is the legal floor. A system aligned with ISO 37002 substantially meets the EU Directive requirements.
How long does ISO 37002 implementation take?+
A focused implementation using a structured framework typically takes 60-90 days for an initial compliant system. Mature continuous improvement and full clause coverage (especially 8, 9, 10) typically take 6-12 months. Using a platform like Ashio can compress initial implementation to 1-2 weeks for clauses 6-9.
Does ISO 37002 apply to small businesses?+
Yes. ISO 37002 is applicable to organizations of all sizes, including small businesses. However, the standard notes that some requirements may not be applicable to very small organizations. The EU Whistleblowing Directive (which ISO 37002 helps satisfy) applies to organizations with 50+ employees in EU member states.
How does ISO 37002 relate to other compliance frameworks?+
ISO 37002 aligns with ISO 37301 (compliance management systems), ISO 27001 (information security), and ISO 45001 (occupational health and safety). It also integrates with the EU Whistleblowing Directive (2019/1937) in EU member states, the UK Bribery Act 2010, and the US Sarbanes-Oxley Act Section 806.
What is the role of the whistleblower under ISO 37002?+
ISO 37002 defines the whistleblower as a person who makes a report or disclosure about a concern. The standard requires protection of the whistleblower from retaliation, preservation of confidentiality, and access to remedies if retaliation occurs.
EU directives covered
Related compliance guides.
Explore Ashio's coverage of each EU regulation.
EU Whistleblowing Compliance
One platform for every EU directive — NIS2, AI Act, CSRD, CSDDD, Pay Transparency, ISO 37002.
Read moreEU Whistleblower Directive
Requirements, deadlines, and penalties under Directive 2019/1937.
Read moreNIS2 Incident Reporting
Cybersecurity incident reporting timelines and internal channels.
Read moreTruly Anonymous Reporting
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Read moreReady to align with ISO 37002 best practice?
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