Compliance Evaluation Audit Tool

Overview

You must periodically evaluate compliance with your legal and other requirements. This is different from an internal audit (which checks if you follow your own procedures). This checks if you follow the law.

How to Use

1. Preparation: Take your Legal Register.
2. Audit: For each line item, look for evidence of compliance.
   • Requirement: “Service boiler annually.” -> Evidence: Service report dated last month.
   • Requirement: “Do not exceed pH 9.” -> Evidence: pH logbook showing values 7-8.
3. Record: Mark as Compliant or Non-Compliant.
4. Action: Raise a Non-Conformance Report (NCR) for any legal breaches immediately.

Frequency

The frequency depends on the risk, but typically this is done annually.