In this step you find the laws, regulations and other requirements your company must comply with (compliance obligations), organize them in one place, and plan how to check that they are being met. You receive a compliance obligations register and a compliance evaluation plan.
You identify and register the laws, regulations and other requirements that apply to your industry, sites and chosen standards, and set up a compliance evaluation plan (method, frequency, evaluator). The actual evaluation is carried out in the Compliance Evaluation step (Social Value track).
First confirm the clauses in your chosen standards that require legal requirements management, and before writing, look for primary sources on the National Law Information Center and the websites of the competent ministries. Revision dates and provisions that could not be confirmed are marked "To be confirmed"; a compliance conclusion is written only when there is evidence (document number); and if the external notice and the internal document are of different versions, it is raised as an action.
For a half-yearly review (every January and July) or an ad hoc review (news of a law amendment), write "half-yearly review" or "ad hoc review" under "Requests" and designate your existing register as your company's material. Confirm penalties and punishments against the original text of the law.
※ The number beside the title is the basis clause. HS is the Harmonized Structure (the common clause structure used across ISO standards).
Output
- Legal requirements management required by the standardClauses of your chosen standards (e.g. ISO 14001 and ISO 45001 6.1.3, ISO 13485 7.2.1, ISO/IEC 27001 A.5.31) / Requirement / Where this output satisfies it
- Legal requirements registerIn the order of act, enforcement decree, enforcement rule, notice and standard, permit conditions, then standard and contract requirements / Latest revision, confirmation date and source / Related provisions / Applicable target / Related management system documents
- Changed legal requirements and compliance evaluation historyRevisions and their impact found in half-yearly (January and July) and ad hoc reviews, and determinations backed by evidence (document number)
- Correspondence table: legal provisions and management system documentsThe procedures, guidelines and forms that reflect each provision, and actions for gaps
- Action plan, key dates (effective date, end of grace period, next review), list of items to be confirmed, and sources
Next steps
Economic Prosperity: Steps this step builds on: Context of the Organization (Operation) · Management Review
Steps that continue from this step's results: Risk Assessment · Objective Setting · Competence Recognition · Documented Information Control · Documented Information of External Origin · Contract Management · Design and Development Control · Supplier Management · Process Control · Internal Audit · Management Review
Social Value: Steps this step builds on: Context of the Organization (Operation) · Compliance Evaluation · Management Review
Steps that continue from this step's results: Risk Assessment · Objective Setting · Participation, Consultation and Communication · Competence Recognition · Documented Information Control · Documented Information of External Origin · Supplier Management · Process Control · Emergency Preparedness and Response · Compliance Evaluation · Internal Audit · Management Review
When you operate, designate the Management System\Legal Requirements folder (or file) and eiso will organize, tally, analyze and consolidate that material.
Material to designate: a list of permits and reports, statutory inspection and measurement records, and the current list of laws and regulations. (Management System Operation Guide)
