Compliance Evaluation Record

by Nick T

The ISO 14001 compliance evaluation record is a tool used by environmental management system (EMS) auditors to collect evidence of an organization's compliance with the requirements of the ISO 14001 standard. The record includes a description of the organization's EMS, the scope of the audit, and the auditor's findings and recommendations. A compliance evaluation record is valuable for organizations seeking to improve their environmental performance. It can help identify gaps in the EMS and identify opportunities for improvement. Additionally, the record can benchmark an organization's performance against other organizations. The evaluation is conducted by an external auditor, who will review the company's policies, procedures, and practices to ensure they meet the standard’s requirements. The auditor will then issue a report that includes a list of Recommendations for improvement if any are needed.

compliance evaluation record, compliance evaluation


ISO 14001 compliance evaluation assesses whether an organization meets the standard's requirements. It is usually done by an external organization, such as a third-party certification body.

Benefits of compliance evaluation record

The benefits of ISO 14001 compliance evaluation records are many. They can help organizations to:

  • Save money by reducing waste
  • Improve their reputation
  • Attract and retain customers
  • Improve employee morale
  • improve their environmental performance.

Steps required to be compliant with ISO 14001

ISO 14001 certification is not a requirement, but it can be helpful for businesses that want to demonstrate their commitment to environmental sustainability. To be ISO 14001 certified, companies must develop an environmental management system (EMS) and be audited by an accredited certification body. This article provides an overview of companies’ steps to ensure their EMS complies with ISO 14001.

  1. Develop an environmental policy.
  2. Conduct a preliminary assessment of your company's impacts on the environment.
  3. Identify environmental aspects and impacts that need to be controlled.
  4. Set environmental objectives and targets.
  5. Implement your EMS processes and procedures.
  6. Monitor, measure, and document environmental performance indicators.
  7. Conduct regular internal audits to check for compliance with the standard.
  8. Correct and prevent non-conformities identified during audits.
  9. Undergo an external ISO 14001 certification audit every three years.

How to record noncompliance in ISO 14001?

To ensure that your organization complies with ISO 14001, you need to have a system for recording incidents of non-compliance. This system should be easy to use and accessible to all organization members. It should also be capable of generating reports that can be used to improve the environmental management system.
There are various software packages available that can be used to record and manage data on environmental incidents. However, selecting a packet compatible with the organization's other software systems is essential.
The following are some tips on how to record a list of non-compliances with ISO 14001:

  • Use a software package compatible with the other systems the organization uses.
  • Make sure that the system is accessible to all organization members.
  • Ensure that the system can generate reports that can be used to improve the environmental management system.

How to assess your company's adherence to ISO 14001?

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If you are considering implementing ISO 14001 in your organization, it is essential to understand how to assess your organization’s compliance with the standard. This article offers a detailed how-to for accomplishing that.

  1. Review the requirements of ISO 14001.
  2. Identify all the policies and procedures your organization has to address the requirements of ISO 14001.
  3. Compare the policies and procedures identified to the standard's requirements.
  4. Make a list of any gaps that you have found.
  5. Develop a plan to address the gaps that you have identified.
  6. Implement the plan and monitor your progress.

Instructions to use this template

All yellow indicated numbers in the compliance evaluation record need action to be taken. Below are the details:

1. Provide the Revision History of the document

  • Revision Number: in the order of 00,01,02, etc
  • Date: Revision Date of Document in dd-mmm-yyyy
  • Prepared By: Name of the person who prepared the document
  • Reviewed By: Name of the person who reviewed the document after revision
  • Approved By: Name of the person who approved the document after revision
  • Description: Describe the revision
2. Insert Company Name
3. Insert either MR or Any Designated Officer by the organization
4. Write the Name of a country whose rules apply to the organization
5. List the Names of other regulatory bodies
6. Mention the frequency, such as Monthly/Quarterly/Half yearly/Annually, as per the organization
7. Communication log or any means to record that applies to the organization
8. Additional Training, if required by the organization, can be listed or modified
9. Compliance Obligation Register
  • Type of Rule – Mention if Regulatory or Non-Regulatory
  • Applicable Rules/Law Name – Write the rule name or specific rules that are mentioned in the act which are applicable
  • Requirement – Mention what the organization needs to do to fulfill the act's requirement
  • Compliance Status – Mention Complied or Not Complied
  • Due By – In case the action required to be done by the organization has a due date, mention the due date
  • Done By – In case the action required to be done by the organization and the task has been done, mention the done date
  • Responsibility – Provide the name of the person responsible for ensuring that the task is completed as per defined due dates
10. Emerging Issues Register
  • Date of Notification – mention the date on which the new rule/act was notified
  • Regulatory Body – Mention the name of the regulatory body whose new notification is being assessed
  • New Rules – Mention all the rules provided in the notification
  • Applicability – Mention if the rules as mentioned in “New Rules” is Applicable or Not Applicable
  • Action Required – Mention what action is required to be done by the organization if the rule is Applicable else, mention Not Applicable
  • Target Date – Mention the target date to complete the task defined under “Action Required.”
  • Responsibility – Mention the name of the person responsible for completing the task as defined