Example of Procedure for Evaluation of Compliance


 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


4.1 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

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