Understanding Compliance Obligations in ISO 14001
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All organizations interact with the environment. This interaction often falls under compliance obligations set by governments, local authorities, customers, or industry organizations. Evaluating compliance, communicating results to top management, and developing actions to address noncompliance are crucial parts of any Environmental Management System (EMS).
What Are Compliance Obligations in ISO 14001?
ISO 14001 considers compliance obligations to be both mandatory requirements, like laws and regulations, and voluntary ones, such as contracts or codes of practice. Expectations of relevant interested parties can also be included. Once an organization commits to these voluntary requirements, they become mandatory.
Implementing an EMS and gaining ISO 14001 certification requires determining and complying with all applicable compliance obligations. This commitment is emphasized in the Environmental Policy, a public document endorsed by top management.
Determining Compliance Obligations
Organizations start by identifying all compliance obligations. For each obligation, they determine the specific requirements and actions needed. After this, they assess how these obligations apply based on their environmental interactions, determined by identifying environmental aspects.
Applicability of Compliance Obligations
Some compliance obligations are always applicable. For example, discharging industrial wastewater requires authorization from a competent authority. The discharge must comply with quality requirements set by regulations or specific licenses. If an organization does not generate industrial wastewater, these obligations are not applicable.
Other obligations depend on quantities involved. For instance, in some countries, consuming electricity or solvents above a certain amount triggers specific requirements. Below this threshold, these obligations are not applicable.
What is Compliance Evaluation?
Compliance evaluation involves periodically comparing compliance obligations with the organization’s actual situation. This requires keeping an updated list of compliance obligations and their specific requirements.
First, check if compliance obligations are applicable. Then, translate them into specific requirements, known as compliance obligations requirements. For example, some countries only apply volatile organic compound regulations to certain sectors and if annual consumption exceeds a specific amount.
Evaluating Compliance
Once you determine the compliance obligations, assess if your organization complies with these requirements. In some cases, the answer will be a clear yes. In others, it might be no or partial compliance. For example, check last year’s electricity consumption against regulatory thresholds or ensure your wastewater discharge license is valid and compliant.
According to ISO 14001:2015, any non-compliance must be addressed to achieve compliance. Actions taken should create a new reality for the organization.
Steps for Compliance Evaluation
Compliance evaluation under ISO 14001:2015 (clause 9.1.2) involves:
Frequency
Determine how often to evaluate compliance. Frequency varies based on the organization’s sector, performance, and changes in compliance obligations. Consider the potential environmental consequences of non-compliance.
Execution
Perform the compliance evaluation and keep records of the results. Ensure the responsible person or team is competent, with knowledge of relevant legislation and the organization’s activities.
Reporting
Report the evaluation results to top management. Top management must be aware of the environmental compliance situation.
Action
Act on any identified non-compliance to restore compliance. Treat non-compliance as non-conformity when appropriate.
Communication
Communicate with official entities if applicable.
Status
The organization knows its compliance status and understands its situation.
Commitment to Compliance
Periodic compliance evaluations ensure the organization and top management are aware of their compliance status. They communicate required information to external entities and act promptly to correct non-compliance, adhering to their commitments. A well-executed compliance evaluation prevents fines, bad reputations, and potential facility closures.
