Compliance obligation record and operational control

Q1. How to prepare compliance obligation record according to clause 6.1.3?

Answer:

The standard uses the wording “maintain documented information of its compliance obligations”. Maintain is not applicable to records but this is strange concerning the content of the clause.

I recommend developing a register where you list each source of compliance obligations (general legal and regulatory requirements, permits, contracts, …). For each compliance obligation write its summary or purpose. For each compliance obligation determine if it is applicable to the organization and how its translated into specific requirements. If applicable what are the actions implied.

For example:

Q2. What is operational control and how to prepare this?

Answer:

How will your organization ensure that environmental aspects are receiving the expected treatment?

For each environmental aspects your organization has to set what is expected to be done in order to comply with the environmental policy commitments. For example, about wastes:

• Provide specific bins to segregate different kinds of wastes near generation
• Provide training, instructions, rules in order to be sure that segregation will take place
• Implement an internal waste collecting circuit to interim storage
• Implement rules for calling authorized waste operators
• Implement rules for official recording of waste transfer
   

Another example - operational control is what ensures that the wastewater treatment facility is operating under control and discharging treated wastewater according to legal requirements.

You can find more information below:

• How to create an ISO 14001 list of legal and regulatory requirements - https://advisera.com/14001academy/blog/2019/11/04/iso-14001-legislation-checklist-how-to-create-it/
• Demystification of legal requirements in ISO 14001 - https://advisera.com/14001academy/blog/2014/10/01/demystification-legal-requirements-iso-14001/
• Defining and implementing operational control in ISO 14001:2015 - https://advisera.com/14001academy/blog/2016/04/11/defining-and-implementing-operational-control-in-iso-140012015/140012015/
• Enroll for free in this course – ISO 14001:2015 Foundations Course - https://advisera.com/training/iso-14001-internal-auditor-course/
• Book – The ISO 14001:2015 Companion - https://advisera.com/books/the-iso-14001-2015-companion/