Preparing for a CoRsafe Audit
Chain of Responsibility (CoR) legislation places obligations on all parties in the road transport supply chain (such as consignors, loaders, schedulers and executives) to ensure the safe operation of heavy vehicles. An ideal way to ensure these obligations are being properly managed is through an independent onsite audit.
If you’re reading this, chances are you have either been asked to undertake a CoR audit for your own business, or you’re considering auditing your own supply chain. Regardless of why you’re getting the audit, think of it like a CoR health check for you or your supply chain.
Audits are a helpful tool for businesses that allow them to identify potential gaps and areas for continuous improvement. By undertaking an audit, your business could test and verify your business practices against industry standards and best practice; demonstrate your company’s commitment to compliance; and provide your supply chain partners and executives with assurance.
CoRsafe ensures the audit is fully aligned to the Heavy Vehicle National Law (HVNL) registered ‘Master Code’, and our highly qualified independent compliance auditors assesses against this standard.
Aaron Armstrong, a CoRsafe auditor and registered National Heavy Vehicle Accreditation Scheme (NHVAS) auditor says that preparation is the key to a successful audit.
“If you don’t prepare for an audit, that doesn’t reflect well on your business, and it can certainly make the audit more difficult to carry out – both for the auditee and the auditor,” he says. “But if you do your preparation upfront, you’ll usually get a better result.”
Here’s what you need to know to prepare for when the auditor comes knocking.
Setting the stage for a successful audit
The process begins when you lock in an agreed audit date with the auditor. Your auditor will also have a pre-audit meeting with you to confirm your company’s supply chain functions; the scope of the audit; and any on-site safety requirements they need to be aware of, such as a requirement to wear high-vis clothing.
“At the outset, I’ll talk to the auditee about their operation and their transport activities, to develop an understanding of their role within the supply chain,” Aaron says. “I’ll also answer any questions they might have about the audit process and how it works, because I don’t want to surprise people.”
“I’ll follow up those initial conversations with an audit agenda, which outlines the scope and timeframe of the audit, and lets them know what sorts of documents they’ll need to make available.”
“There’s always an aspect of on-site observation involved in an audit, as well, so I’ll talk that through with the auditee – they might need to carry out a safety induction on the day of the audit, for instance. They might also need to make sure certain personnel are available, or let other departments within the business know that an auditor is going to be on-site to observe their processes and have a chat with them about their operations.”
“I’ll talk through all of that with them, because the more the auditee understands how the audit will be conducted, the better they can prepare, leading to a smoother process on the day.”
Prior to the audit, your business profile will be set up in the CoRsafe system, where you’ll be able to access the CoRsafe Guide, which is used by CoRsafe supply chain partners to support the management of their CoR duties.
You’ll also be able to complete a self-assessment against the same audit criteria that helps you self-identify any gaps, and consider ways to address these gaps before the audit day.
“The CoRsafe self-assessment is a very useful tool,” Aaron says, “because it allows the auditee to conduct a self-assessment using the exact audit criteria that I’ll be assessing them against on the day. This allows them to assess their own level of compliance, and prepare for the questions that might come up throughout the audit.”
What you need to have ready for your audit
It’s important to be aware of what the audit scope may include, and what evidence you will need to provide. Ultimately, the CoRsafe audit assesses two things:
What processes you have in place
Proven implementation and effectiveness of these processes
You will need to show documentation of these processes, and provide evidence of how you operationalise them.
“The audit agenda includes a list of documents and records that may be requested throughout the audit,” Aaron says, “so the auditee can ensure they’re all readily accessible on the day.”
The types of things the auditor will look for may vary depending on what transport activities you manage, but generally they will be looking for:
CoR Management: Policies, procedures, and registers for systems that are in place to monitor and measure supply chain participants against CoR.
Load Restraint: Understanding of approved load restraint procedures (LRPs); training LRPs; approved LRPs; inspections process and evidence; average volumes of loads received; inspections; load procedures; plans; and dispatch documents.
Axle/Gross Weight: Weight calculations; policies; procedures; load plans; container weight declarations; recording; training; scheduling.
Dimensions: Equipment requirements; dimension management; policies and procedures; route management.
Fatigue Management: Rosters; driver work diaries; self-assessment records; medical records; training.
Speed Management: Speed policy; GPS records; training; rostering; speed checks and limiters.
Drugs and Alcohol: Drug and alcohol policy; WHS policy; risk register; assessments; workplace inspection reports.
Vehicle Standards / Road Worthiness: Inspection and service records.
“Of course, the auditor isn’t coming on-site just to look at pieces of paper,” Aaron adds. “We’re also verifying that these processes that are written down are actually being carried out. While someone is doing their job, for instance, we might ask them questions to make sure they understand their roles and their responsibilities. So it’s not just about making sure processes are documented – it’s about making sure they’re lived and breathed within the business.”
The day before the auditor comes on-site to conduct the audit, it’s the best practice to ensure all of your required documentation is readily available and up to date, and that everyone within your business is aware of what may be required of them on the day.
“If I could make one suggestion to all auditees,” Aaron says, “it would be to review the audit agenda in advance, and make sure you actually do the CoRsafe self-assessment. I find that people who have done the self-assessment tend to have a much better understanding of what the audit is looking for than people who haven’t done the self-assessment, and as a result, they’re more confident and better equipped to address any potential gaps.”
“It also allows for a more productive discussion during the audit, as both the auditor and auditee are on the same page.”
Now that you know what a CoRsafe audit is and what you need to do to prepare, our next article will focus on the day of the audit – and what comes next. Subscribe to our newsletter to be one of the first to read about the CoRsafe audit experience.
© 2024 Logistics Safety Solutions Pty Ltd (LSS) ABN 25 134 417 379. General information only. LSS bears no responsibility, and shall not be held liable, for any loss, damage or injury arising directly or indirectly from your use of or reliance on the information in this article.