Checking you are legally compliant sounds heavy, but it is mostly a list of sensible questions. Work through them before management review and you go in with the answers.

Effective Form Templates

This form template is supplied in fully editable MS Word format and can be easily customised and edited. The document uses pre-defined style formatting throughout, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:

• Form number and title
• Information-classification
• Version
• Page number / total pages

alphaZ documents - beautifully designed, tried and tested form templates. No junk, jargon or unnecessary fields. Simple and usable form templates developed over 25 years through practical use in the real world.

Further Reading

Further guidance on legal compliance:

• Evaluating Compliance with Legal Requirements
• Legal Register and Compliance Obligations
• Management Review Explained
• Legal and Compliance knowledge base

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How to Download

To get access to this file please click on Add to Cart to purchase for immediate download. If you have an alphaZ Subscription just click on Download Files to view all the files available to download. These forms are also included in the ISO 9001 Toolkit and every alphaZ ISO toolkit that covers ISO 9001, so the toolkit route gives you both files plus everything else you need in one download.

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If you'd like hands-on help reviewing your legal compliance, or with your wider management system, our remote support services provide direct expert input from our team, by the day, by project, or on an ongoing basis.

Commercial and Legal Compliance Review Templates

Two review forms for checking legal compliance ahead of management review, each set out as a list of prompts with space for comments, notes and actions, and completed by and dated. Choose the one that fits how your organisation manages its legal requirements.

ISO 14001 and ISO 45001 both ask for compliance with legal requirements to be evaluated, and ISO 9001 expects applicable statutory and regulatory requirements to be determined and met. Completing a review before management review means top management starts from a checked position on compliance rather than an assumption.

Two Versions to Choose From

• F-IMS41A Commercial and Compliance Review - for organisations that keep a full legal register. Covers the legal register and legislation updates, personal data, and ethics and conduct, then a commercial review of sales and marketing, customers and contracts.
• F-IMS41B UK Legal Compliance Review - a simplified UK legal compliance review with prompts, for organisations that do not keep a full legal register. Covers areas such as company and trading, employment, data protection, health and safety and the environment, and ends with a confirmation of legal compliance.

What's Included in the Compliance Reviews

• Completed By and Date Completed fields
• Items for review - grouped into sections, each with prompts to work through
• Comments / Notes / Actions - a column beside every item to record findings and any action needed
• Confirmation of legal compliance - an item to confirm compliance, or list the actions needed

Who Needs a Compliance Review?

Any organisation that wants a documented check on its legal compliance at planned intervals. F-IMS41A suits organisations working to one or more ISO standards with a legal register already in place. F-IMS41B suits smaller organisations working to ISO 9001 that want a practical legal check without keeping a full register.

Included in the ISO 9001 Toolkit

Both forms are part of the ISO 9001 Toolkit and every alphaZ ISO toolkit that covers ISO 9001, supplied as options alongside the legal register.

Works with the Legal Register

F-IMS41A checks that the legal register is current, so the two work together. The ER9 Legal Register in Excel is the full register, and the F-IMS27 Legal Register is the Word alternative. The completed review feeds into the F-Q3 Management Review.

When to Complete the Review

Complete the review ahead of each management review, and again when something significant changes, such as new legislation affecting the business, a new activity or a new site. Record findings and actions beside each item, then bring the completed form to management review so compliance is considered alongside the other inputs.

Keeping Up with Legislation Changes

Both reviews prompt a check on new and changed legislation since the last review. The quarterly alphaZ-OUT update summarises what has changed in UK legislation and ISO standards, and comes with the alphaZ Subscription.