9.1.2 Evaluation of Compliance
Your organization should set up a process that:
- Determines the frequency of the evaluation
- The execution of the evaluation
- The actions that need to be taken
If, during a compliance evaluation, a failure to fulfill a compliance obligation is identified, the organization needs to take action to achieve compliance. This may require getting in contact with a regulatory agency to agree to the action to be taken. Once that agreement is in place, it becomes a compliance obligation.
Contents
- 9.1.2 Evaluation of Compliance
- Compliance Status
- Compliance Obligations Register
- Compliance Audit
- Compliance Obligations Template
Compliance Status
An organization is expected to evaluate the fulfillment of its compliance obligations and maintain knowledge and understanding of its compliance status.
As per ISO 14001:2015, Clause 9.1.2, an understanding of the organization’s compliance status must be demonstrated. Therefore, your organization must have the means, via inspections, tests, and audits, that are frequent and robust enough to ensure that the knowledge and understanding of compliance status is maintained.
Why Reinvent The Wheel?
Compliance Obligations Register
It is the responsibility of the Environment and Sustainability Manager to maintain and review the Compliance Obligations Register, specifically to determine:
- Whether a piece of legislation, amendment to current legislation or new legislation is ‘relevant’ or ‘irrelevant’
- Whether our organization is compliant with the legislation whilst describing how the requirements apply and what controls are in place to manage and mitigate the requirement and related environmental aspects
- Whether other compliance obligations relevant to our organization and those that we have adopted whilst describing how the requirements apply to and what controls are in place to remain compliant
- Update the register quarterly and communicate to relevant staff whose responsibilities or actions can affect compliance
Compliance Audit
The Certification Auditor’s role is not to verify the result of the compliance audit, but to assess the effectiveness of the audit process and taken actions. An understanding of compliance status must be demonstrated.
Therefore, your organization must have the means (inspections, tests, audits) that are frequent and robust enough to ensure that knowledge and understanding of compliance status is maintained.
Compliance Obligations Procedure
Process Maps
Compliance Obligations Register
Results Summary
Training
Guidance
