This checklist checks the legal register is in place and kept up to date, then samples requirements from it to see they are complied with.
Prepared using the F-Q2A Audit Checklist form template.
The file is supplied in fully editable MS Word format and can be easily customised, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:
- Checklist number and title
- Information-classification
- Version
- Page number / total pages
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Further guidance on legal requirements and internal auditing:
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Legal Requirements Audit Checklist Template
A process audit checklist for auditing how legal requirements are identified, kept up to date and complied with, starting from the legal register or list of legal requirements. It is set out on the F-Q2A Audit Checklist format, with the scope, criteria, site, participants, auditor and date recorded at the top, and each question alongside the auditee and the evidence viewed, response and findings.
Questions Covered
- Whether a legal register or list of legal requirements is in place, covering environmental and health and safety legislation as a minimum
- The controls that keep the legal register up to date
- How updates and changes to legal requirements are managed and communicated to interested parties
- Whether the legal requirements are complied with, checked by sampling requirements from the register
Carrying Out the Audit
The last question is answered by sampling. Choose a few requirements from the register and ask to see the evidence of compliance for each one, such as an inspection record, a permit, a certificate or a completed assessment. The sample is more useful when it includes requirements that apply to the main activities of the business rather than only the general ones.
Planning the Audit
Have the legal register to hand, along with the record of its last review and any updates received since, so the auditor can see how recent changes in the law were picked up and acted on. Where the register is kept up to date by an outside service, ask how its updates are received and who checks them.
Who Should Carry Out the Audit?
Anyone trained in internal auditing who is independent of the area being audited. The questions are written in plain language, so the checklist also works well for training new internal auditors.
Included in the ISO Toolkits
This checklist is part of the ISO 9001 Toolkit and is also included in the ISO 14001, ISO 45001, ISO 27001 and ISO 22301 toolkits, including the integrated toolkits that combine them.
Related Documents
Documents that work alongside this checklist:
Part of the Process Audit Checklists
This is one of the alphaZ process audit checklists, each covering a single area of the management system, so audits can be spread across the year using the ER11 Audit Schedule. The completed checklist becomes the record of the audit, and the results can be written up using the F-Q31 Audit Report.
Adapting the Checklist
The questions can be edited, added to or removed to suit the way the organisation works, and the scope and criteria at the top changed to match the area being audited. Because every alphaZ audit checklist uses the same F-Q2A layout, audit records look the same whichever area was audited, which makes them easier to review and compare.
Using the Findings
Anything not complied with is raised as an action straight away, and a gap in how updates reach the register is followed up through corrective action so the same change is not missed again.
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