Example of Procedure for Evaluation of Compliance

EHS documentation 2 Minutes

1.0 PURPOSE:

 To establish, implement & maintain a procedure to evaluate and update applicable Environmental, its Compliance obligation including legal and other requirements applicable to EMS Management System of XXX.

 2.0 SCOPE:

 Evaluation of its compliance obligations including its legal & other requirements applicable to all the activities, products & services covered under the scope of the EMS Management System.

3.0 RESPONSIBILITY:  Legal Team Members

4.0 PROCEDURE:

4.1 The Legal team of XXX periodically carries out the evaluation of its Compliance obligation including all legal & other requirements once in Six months. Periodicity of evaluation of compliance will vary for different legal & other requirements. The associated records are maintained.

4.2 The method adopted in evaluating its Compliance obligations is briefed below. Each of the identified legislation such as act/rule/ consent / other requirement is studied for every condition in the format specified for evaluating the compliance. Each of the conditions is rated for compliance using the following grades.

  1. Fulfilled – Fully complied.
  2. Not relevant – any condition in the legal consents, which is not applicable to KFL.
  3. Still Open – but can be rectified by taking corrective action.
  4. Not fulfilled – This requires an action plan to achieve compliance through the Management Program.

4.3 The evaluation of requirements to be carried out once in Six Months or whenever any new legal requirement is introduced by the Pollution Control Board / any other regulatory authority and is applicable to the firm. The evaluation covers

  • License, consents, authorization
  • Notifications, publications by government authorities and reply
  • Compliance with other requirements
  • Updating on legal requirements and other requirements

4.4      The application for renewal of consents/authorization under government statutory requirements will be given in advance as specified in the Act / Rule. The renewal frequency mentioned in the table may be altered as per the notification/intimation from the government authorities from time to time.

4.5     Corrective Action: This includes the steps taken to rectify the non-compliance observed against any of the applicable legal/other requirements. When the applicable condition is rated as 3 or 4 it is reviewed for the appropriate corrective action and action plan or if necessary EOHS management program is initiated with the responsibility and target date.

5.0 Document / record reference:

S. NoDocument /Record DescriptionReference No.
1Legal RegisterEMS-RG-01

Published by Pretesh Biswas

Pretesh Biswas has wealth of qualifications and experience in providing results-oriented solutions for your system development, training or auditing needs. He has helped dozens of organizations in implementing effective management systems to a number of standards. He provide a unique blend of specialized knowledge, experience, tools and interactive skills to help you develop systems that not only get certified, but also contribute to the bottom line. He has taught literally hundreds of students over the past 5 years. He has experience in training at hundreds of organizations in several industry sectors. His training is unique in that which can be customized as to your management system and activities and deliver them at your facility. This greatly accelerates the learning curve and application of the knowledge acquired. He is now ex-Certification body lead auditor now working as consultancy auditor. He has performed hundreds of audits in several industry sectors. As consultancy auditor, he not just report findings, but provide value-added service in recommending appropriate solutions. Experience Consultancy: He has helped over 100 clients in a wide variety of industries achieve ISO 9001,14001,27001,20000, OHSAS 18001 and TS 16949 certification. Industries include automotive, metal stamping and screw machine, fabrication, machining, assembly, Forging electrostatic and chrome plating, heat-treating, coatings, glass, plastic and rubber products, electrical and electronic equipment, assemblies & components, batteries, computer hardware and software, printing, placement and Security help, warehousing and distribution, repair facilities, consumer credit counseling agencies, banks, call centers, etc. Training: He has delivered public and on-site quality management training to over 1000 students. Courses include ISO/TS -RAB approved Lead Auditor, Internal Auditing, Implementation, Documentation, as well as customized ISO/TS courses, PPAP, FMEA, APQP and Control Plans. Auditing: He has conducted over 100 third party registration and surveillance audits and dozens of gap, internal and pre-assessment audits to ISO/QS/TS Standards, in the manufacturing and service sectors. Other services: He has provided business planning, restructuring, asset management, systems and process streamlining services to a variety of manufacturing and service clients such as printing, plastics, automotive, transportation and custom brokerage, warehousing and distribution, electrical and electronics, trading, equipment leasing, etc. Education & professional certification: Pretesh Biswas has held IRCA certified Lead Auditor for ISO 9001,14001 and 27001. He holds a Bachelor of Engineering degree in Mechanical Engineering and is a MBA in Systems and Marketing. Prior to becoming a business consultant 6 years ago, he has worked in several portfolios such as Marketing, operations, production, Quality and customer care. He is also certified in Six Sigma Black belt .

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