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Meeting Legal Statuary and Regulatory Requirements Query

Discussion in 'ISO 9001:2015 - Quality Management Systems' started by Suraiya Ramkissoon, Mar 13, 2019.

  1. Suraiya Ramkissoon

    Suraiya Ramkissoon Member

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    Hi everyone,

    I'm implementing ISO 9001 at a dealership and distribution company and was wondering the extent necessary of documenting that we are meeting Legal statuary and regulatory requirements.

    This is my plan, what do you guys think?

    I have an excel document ' Register of compliance' There are two tabs.

    Tab 1 - Certificates licenses and permits. headings are as follows:
    Certifying Body/ Document/ Expiry date/Scope of the Certificate/Certificate/Licence no./Department - Responsibility/Remarks
    This will be a live document and updated when managers notify my of new certificates (the managers are responsible for managing their department's compliance)

    Tab 2 - Laws (i'm thinking here to state all the Laws applicable to my company and the manager(s) responsible to ensure compliance.

    Suraiya
     
  2. Andy Nichols

    Andy Nichols Moderator Staff Member

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    Before you create a monster, what's the scope of your QMS? Don't forget that these requirements apply to product/service which are within the scope of your QMS...
     
    Last edited: Mar 13, 2019
  3. tony s

    tony s Well-Known Member

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    I believe your company just need to keep updated records of compliance with the statutory and regulatory requirements. Since you mentioned that there are managers who are responsible to ensure compliance, IMHO, maintaining a register (and if you're the one responsible for that) might relieve your managers the responsibility they are tasked to bear.
     
  4. Yukon

    Yukon Well-Known Member

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    Suri,
    I audit a company with location in Toronto, Regina, and Lethbridge. It is a power service company (downed hydro lines, burned out transformers, hydro pole/line installation, etc). They service all of their vehicles at each location. When I audit stat/reg requirements, competency) I am presented with licenses/permits for each Technician in my sample. Your approach is good and I would advise you to stay with it.
     
  5. Andy Nichols

    Andy Nichols Moderator Staff Member

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    Suraiya

    What "pleases" an auditor, isn't what the standard requires. An organization must be aware of its responsibilities to provide products and services which meet the applicable regulatory and statutory requirements. This is why I asked for the scope of the QMS, so appropriate comments and guidance can be given - not what (one) auditor finds acceptable.
     
    Suraiya Ramkissoon likes this.
  6. Yukon

    Yukon Well-Known Member

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    Suri,
    The above is just one way a client met the requirements of the standard. It's just an example that's all.

    Regards,
    Yukon
     
  7. Suraiya Ramkissoon

    Suraiya Ramkissoon Member

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    This is our scope:

    Scope – Location 1
    The provision of marketing, sales and distribution for light and heavy duty automobiles; agricultural & industrial machinery and implements, batteries, tyres and lubricants; safety and hygienic solutions; office products; crop care; auto rental; and related after sales services; to retail and consumer markets, in compliance with all required guidelines from Principals.

    Scope – Location 2 + 3
    The sales and distribution for light and heavy duty automobiles; agricultural & industrial machinery and implements; batteries, tyres, lubricants and gases; safety and hygienic solutions; office products; crop care solutions and the provision of related after sales services.

    Scope – Location 4
    The provision of auto rental services to end users in compliance with Principal Requirements
     
  8. Andy Nichols

    Andy Nichols Moderator Staff Member

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    Thanks. Now, what regulations or statutory requirements are there, to do with the provision, distribution etc of vehicles? I'd go out on a limb and say not very many...if at all.
     
  9. Yukon

    Yukon Well-Known Member

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    Good luck ( I'd love to do the CB audit )

    Regards,
    Yukon
     
  10. Suraiya Ramkissoon

    Suraiya Ramkissoon Member

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    I am now in the process of figuring that out. Each manager is to let me know.

    So far there are basically import permits that are required (particularly for crop care as it deals with dangerous chemicals), storage permits, distribution permits.

    but aside from that, is it necessary to track building permits e.g. fire safety permits? OSHA permits? to what extent do i need to document?
     
  11. tony s

    tony s Well-Known Member

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    There are regulatory requirements that your organization need to secure every transaction (e.g. import permits), some periodical (e.g. fire safety permits) and some at major activities (e.g. building permit). If your organization designates you as their compliance officer, a monitoring tool could help you in keeping track. But if the responsibilities to ensure compliance are spread out to various point persons, maintaining that monitoring tool will definitely add-up to your existing functions. Anyway, it's your call.
     
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  12. Yukon

    Yukon Well-Known Member

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    Suraiya,
    In ISO 9001:2015, statutory and regulatory requirements are mentioned in conjunction with customer requirements. In all cases, your products and services need to meet customer and applicable statutory and regulatory requirements, and ISO 9001:2015 points out where you need to consider this in your QMS. This comes into consideration when understanding the needs of interested parties, understanding all requirements to ensure customer focus is maintained, determining and reviewing the requirements for your products and services, collecting design and development inputs, what control you will have on external providers, and post-delivery activities.

    Of course, before you can include statutory and regulatory requirements in your QMS, you need to identify which are applicable to you, your processes, and your products and services. You need to know what laws and other mandatory requirements you need to meet in order to legally provide your products and services, and ISO 9001:2015 Appendix A.3 is very clear that it is for you to decide if any particular requirement of an interested party is relevant to your QMS. So, you need to have a way to identify the statutory and regulatory requirements that you need to meet, and you then need to ensure that you keep up to date on any changes.

    Once you know the requirements you need to meet, you then need to find a way to bring them into your QMS. It does not make sense to try to have a separate method of controlling the activities that your employees need to do to meet statutory and regulatory requirements, so including these requirements in the processes, procedures, and documented information that your employees follow is advisable.

    (Source: ISO 9001 Academy Blog)

    If I can help just ask,
    Yukon
     
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  13. Suraiya Ramkissoon

    Suraiya Ramkissoon Member

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    Thanks for the feedback everyone. Much appreciated.

    Suraiya
     

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