Templates and records · ISO 14001 · Clause 9.1.2

ISO 14001 evaluation of compliance template

The periodic check, requirement by requirement, that the company meets what the legal register says it must, with the evidence to prove it.

In one sentence

The evaluation of legal compliance reviews each requirement in the register at a set frequency and notes the evidence examined, the result and the actions where something is not met, because ISO 14001 requires compliance to be evaluated, knowledge of its status to be maintained and documented information of the results to be retained (9.1.2).

Content reviewed on 17 October 2026

Where the standard requires it: ISO 14001 · Clause 9.1.2 Clauses are cited with the ISO 14001:2015 numbering, the same one the Academy uses. The 2026 edition was published on 15 April 2026 and 2015 certificates must transition to it before 30 April 2029.
Type of information: Mandatory record Documented information to be retained (9.1.2)
Who fills it in: Environmental manager It can be outsourced, but the results must reach management and the system review
When: At the frequency set for each requirement At least once per annual cycle; also after an inspection or a significant change
How long it is kept: Set by the organisation The standard sets no periods: it asks you to decide on retention and disposition (7.5.3.2). Covering at least the three-year certification cycle lets you show the history at recertification.

What the standard requires

What ISO 14001 demands and what it leaves to your judgement

The standard asks you to establish the evaluation process, decide how often it is carried out, evaluate compliance and take action if needed. The company sets the frequency and it can vary by requirement: a permit with quarterly controls is not evaluated in the same way as an annual obligation.

What is retained is the result. An evaluation that just ticks «compliant» without stating which document, measurement or inspection was reviewed allows nothing to be checked.

It is the most distinctive requirement of the environmental standard and one of the biggest sources of findings, because a legal breach the company has not detected itself calls into question the effectiveness of the whole system.

Read it in context: Performance evaluation, in the ISO 14001 Academy

Structure

Fields the template should include

Period evaluated, date and evaluator
Requirement from the legal register being evaluated
Evidence reviewed: document, measurement, inspection, declaration
Result: compliant, non-compliant or partly compliant
Deviation found and associated risk
Action and nonconformity number, if applicable
Next planned evaluation
Overall conclusion for the management review

Example

Example: annual evaluation at a packaging plant (fictitious company)

Company, people and figures are fictitious: the example only shows what a properly completed record looks like.

Field	Content
Period and evaluator	Year 2026 · environmental manager · 28 September 2026
Requirements evaluated	46 · 43 compliant · 2 partly compliant · 1 non-compliant
Chronological waste record	Compliant · 38 entries reviewed with their transfer documents
Perimeter noise measurement	Compliant · accredited body report of 12 June, all points below the limit
Partly compliant	Inspection of diesel tanks: carried out, but the certificate is not filed
Non-compliant	Annual hazardous waste report sent on 14 March, after the 1 March deadline
Action	NC-AMB-2026-07 · obligations calendar with a reminder 30 days ahead
Conclusion	Compliance rate of 93 % · presented at the October management review

At the audit

Mistakes auditors commonly flag

The list of laws is evaluated, not the specific obligations, and everything is «compliant».
No record of what evidence was reviewed to conclude compliance.
A breach that is detected does not open a nonconformity or an action.
The evaluation frequency is not defined or not respected.
The results never reach the management review.

In Kimobox

How this record is kept in Kimobox

1The legal compliance evaluation is scheduled with alerts ahead of each review.
2Each line starts from the legal requirements register, with the evidence attached to the same record.
3A breach opens a nonconformity with mandatory root cause and an action with owner and date.
4The management review receives the environmental data already aggregated, including the compliance rate.

Frequently asked questions

What people ask us before getting started

How often must legal compliance be evaluated?

The standard lets the organisation set the frequency. The usual approach is a full evaluation every year and more frequent ones for requirements with periodic controls or a history of deviations.

Can internal audit carry it out?

It can be built into it, but it remains a record in its own right: the certification auditor will ask to see the result for each requirement, not just the audit report.

What happens if a breach is found?

It is handled as a nonconformity: immediate correction, cause analysis and corrective action. If it affects a permit, it is also worth considering whether to notify the authorities.

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Sources

Where each figure comes from

References to the official text in force. If a standard is revised, this page is updated and the review date says so.

ISO 14001:2015 — Environmental management systems. Requirements with guidance for use ISO · 2015 edition, with Amd 1:2024; superseded by the 2026 edition
ISO 14001:2026 — Environmental management systems. Requirements with guidance for use ISO · 2026 edition, published on 15 April 2026
Global ACI-TECH-3-TR 2029-04-30 (M) — Transition Requirements for ISO 14001:2026 Global ACI · Issued on 4 September 2026