Chain of Responsibility & Heavy Vehicle Safety Conference

COMPLIANCE SYSTEMS & AUTOMATION

Presented By:Paul MolenaarDirectorCompliance Experts www.complianceexperts.com

Presentation Date:2nd December 2015

Presentation Location:Pullman Quay Grand Sydney Harbour

Presentation Overview

• Introduction

• Compliance and the Law;

• Creating a systematic approach to effectively manage Chain of Responsibility (CoR) obligations;

• Share a sample automated workflow, designed to eliminate time consuming CoR compliance tasks; and

• The benefits of systemisation and automation.

• Conclusion

Compliance and the Law

Define the Specific Freight Tasks and Map the Organisations Supply Chain

Know what Road Transport and CoR laws you are supposed to be complying with, at

National, State and Local Levels

TRANSPORT & LOGISTICSModes of Transport

• ROAD (Linehaul, Regional, Local)

• RAIL

• SEA

• AIR

TRANSPORT & LOGISTICSNational and State based Laws

NHVLNational Heavy Vehicle LawHVNL regulationsHeavy Vehicle (Fatigue Management) National RegulationHeavy Vehicle (General) National Regulation Heavy Vehicle (Mass, Dimension and Loading) National RegulationHeavy Vehicle (Vehicle Standards) National Regulation

Put processes and systems in place to make sure you operate in line with legal requirements

Fatigue, Speed, Mass & Dimension, Load Restraint and Fleet Maintenance

Educate relevant people in your business –Road Transport and CoR obligations, CoR specific policies and procedures

Educate the relevant people in your business, so they are aware of the specific Road Transport and CoR obligations.

Ensure they are familiar with your company’s CoR specific Policies and Procedures.

Check that the processes and systems actually work, and validate that these systems are meeting CoR legal obligations

Check, with some regularity, that your processes and systems actually work – with both your company and your supply chain partners –and validate that these systems are meeting CoR legal obligations

Make sure that people know what to do if they think there might be a potential problem or a breach in

meeting the Road Transport or CoR laws.

Make sure you can keep the whole thing up to date as external (Road Transport and CoR obligations) and internal (Commercial Agreements)

requirements change, for example: you win a big new contract

Sample Automated Workflow Designed to eliminate the time consuming compliance tasks

The Checking Process – CoR Reasonable Enquiry Process

Sub-Contractor

makes an application for registration

Sub-Contractor’s payment processed, or alternatively client

Sponsors fee.

Upon receipt of payment, the Sub-

Contractor is sent (via email) a user login and password and

proceeds to undertake the on-line

CoR Reasonable Enquiry Self-Assessment.

Sub-Contractor

submits their CoR Reasonable Enquiry,

along with a declaration attesting

to their state of compliance to the client for review

Based on the Sub-Contractor’s CoR

Reasonable Enquiry Result, the client CoR

Manager assigns a risk rating (High,

Medium or Low) and, if required, initiates a

third party compliance audit to verify the state of

compliance

Client Assigns a Preferred Audit Body

to conduct the Compliance Audit

Auditor undertakes a Stage 1 review of the

Sub-Contractor Compliance Audit -

(Desktop)

Auditor approves SubContractor in

readiness for Stage 2 surveillance audit

(On-site)

Step 1) Automate the Sub-Contractor registration process

Step 2) Automate the Sub-Contractor approval and review process

Step 3) Enable the Sub-Contractor to securely login into the system and undertake their self assessment

Step 4) Sub-Contractor undertakes the CoR Reasonable Enquiry Self -Assessment process, either On-Line or Off-Line

Step 5) Generate the Sub-Contractor Self Assessment Report, Identifying Critical Non Conformances

Step 6) Provide Management with access to Real-Time Management Dashboards and Business Intelligence

Benefits Associated with Systemisation and Automated Compliance Workflows

So why automate the compliance process and what are the associated benefits?

Automated compliance workflows help organisations:• Foster improved stakeholder engagement by automating self assessment and

review processes• Form the knowledgebase of compliance regulations and standards• Provide the workflow capabilities to assist the organisation in managing all

aspects of compliance including corrective action planning and management and controls testing.

• Provide centralisation of compliance information• Provide consistency and standardisation across the enterprise and its supply

chain• Provide the ability to manage third party risks more effectively• Facilitate Risk Management decisions which are based on real time

information

Conclusion

Thank you

Contacts:

Paul MolenaarDirector

+61 3 9545 1452 | +61 3 9545 1458 (fax) | +61 412 405 400 (mobile)PO Box 3313, Wheelers Hill VIC 3150. Australia.paul.molenaar@complianceexperts.comhttp://www.complianceexperts.com

Like what you see?Be part of our conversation.

informa.com.au

Join our e-newsletter