The CoRsafe Audit Experience
In our last blog, we explained the importance of preparing for your CoRsafe audit, and how it acts as a health check for you or your supply chain. We highlighted the key steps to get ready, from understanding the audit scope to organising the necessary documentation and completing a CoRsafe self-assessment.
Now that you’re prepared, it’s time to focus on the next phase: the day of the audit. In this article, we’ll walk you through what to expect during the audit itself, and what happens afterwards, ensuring you’re confident and informed at every step of the process.
How does the CoRsafe audit work?
Independent auditor Jodie Hamilton says your CoRsafe audit should take approximately four to six hours to complete, depending on the size, complexity and preparedness of your company.
“It’s important to have all records and documentation readily available, as discussed during the pre-audit preparation,” she says. “Prior to the audit, we will have completed a scoping call, so both parties should be familiar with the process. There’s always an agenda in place, and as the auditor, I’ll have gained a good understanding of the business, which allows me to hit the ground running.
“We start with an opening meeting to go through the audit steps, covering what we’ll look at, key actions, and logistical details such as break times. Although these points are all discussed before the audit, we always review them again at the start of the day to make sure everyone is aligned."
On the day of the audit, the auditor will review the relevant policies, procedures and processes, and evidence of how your business has implemented them. This is done for each audit standard by sighting systems and evidence of compliance, observing processes, or interviewing on-site personnel.
Throughout the audit, you’ll be kept up-to-date about how you’re performing. Your auditor may identify gaps, or ‘non-conformances’ – areas where your systems don’t meet the required standards.
The most common gaps include:
Audit standard & Non-conformance issues
CoR Management
● Lack of formal policies or procedures
● Lack of formal mechanisms to provide evidence of monitoring
● No regular audits of internal sites and supply chain partners
● No formal agreements or expectations in place with supply chain partners
Load Restraint
● Lack of verified load restraint systems
● Lack of communication of load restraint systems
● Failure to regularly inspect inbound/outbound loads or to record such inspections accordingly
Axle/Gross Weight
● No training for staff on how to conduct an inspection
● Failure to regularly inspect inbound/outbound loads or to record such inspections accordingly
● Weighing devices not calibrated regularly for accuracy
● Weighing calculations not verified if no weighing device devices available
Dimensions
● Failure to measure load dimensions accurately, leading to loads exceeding width or height limits
Fatigue Management
● No documented understanding of who’s responsible for calculating journey plans
● No appropriate management of fatigue-related issues
● No regular medical checks for drivers
Speed Management
● No documented understanding of who’s responsible for calculating schedules and trip times
● Lack of communication between supply chain partners and drivers
● No documented inspections
Drugs and Alcohol
● Lack of evidence to demonstrate implementation of drug and alcohol testing process
● Inadequate process demonstration for dealing with non-negative test results
Vehicle Standards / Road Worthiness
● Failure to address non-conformances identified during intercepts, including root cause analysis
● Lack of pre-trip checks, resulting in missed safety issues
“Non-conformances are a part of everyday operations – we understand that they’re bound to happen from time to time,” Jodie says. “What’s important is how they’re handled. Good businesses have processes in place to identify non-conformances, apply corrective actions, and monitor the situation to ensure those actions are effective.”
At the end of the audit, the focus shifts to reviewing the findings and ensuring that all parties are clear on the next steps.
“We always hold a closeout meeting where we review our findings with the relevant personnel,” Jodie says. “The goal is to ensure that when they receive the audit report, there are no surprises. It’s a very transparent process, so they can start addressing any gaps immediately.”
What happens after the audit?
The auditor continues to work on your audit report after they leave your site, and when completed (within seven days), they issue a draft audit report. The draft report gives you a chance to review the results and any commentary, then respond to the auditor to either agree with the content, or to challenge any findings. There’s also a dispute resolution process should there be any serious issues.
Now you’re ready for the final audit report! The auditor provides the final report to the audited party, and if someone else (your customer, usually) paid for the audit, they get a copy too. The CoRsafe platform also gives visibility of the audit to your other customers (if they are a CoRsafe client and have added you in the system).
If your audit result is 100%, there’s no further action required, though often auditors may make additional comments that you may benefit from looking into.
If your audit score is less than 100%, it means the auditor has identified some gaps. Not to worry though, as our audits include up to 28 days after the final audit report for you to close your gaps, and have the auditor reassess your evidence for those gaps.
While an auditor can’t tell you how to close your gaps, they may be able to provide broad examples of what ‘good’ looks like, which is an excellent start when deciding what approach you’re going to take to address any issues.
“I’m not going to stand there with a big stick and say, ‘You need to do this exactly this way’, but I am there to provide encouragement and to help guide you in the right direction,” Jodie says. “Ultimately, it’ll be up to you to address the issues identified during the audit, and to provide proof that those corrective actions have been taken.
“So if it’s a management system issue, for instance, that could mean showing me where you’ve updated a policy in your manual. For operational issues, it might involve providing updated Standard Operating Procedures or training records.
“Of course, common sense has to come into play. For example, if drivers are on the road and won’t be back for training for a couple of weeks, you might present a plan for how you’re going to roll out training over the next month.”
If you aren’t able to close the non-conformances in the time frame that’s been agreed upon, that’s okay – Chain of Responsibility isn’t straight forward, we get it!
If you organised the audit yourself, you know the road to CoR excellence is a long one, and you're committed to the journey.
If one of your customers asked you to complete the audit, talk with them, and get an understanding of their expectations. What’s important is that you’re taking action to address any gaps, and you’re stamping out risk to protect your people, your customers, and ultimately the general public.
“Audits are a powerful improvement tool,” Jodie says. “It’s all about the attitude you bring to the process, but ultimately, audits help you strengthen your business and enhance your compliance.
“While safety is always the top priority, there are other benefits, too. Audits can lead to cost savings by making your operations more efficient. It’s about continual improvement, and that improvement ripples through every part of your business.”
If you’ve read this far, you’re going to be fine. We know you want to do the right thing, and an audit is a powerful tool to help you realise that goal. You’re well on your way to being part of the good-players club, or you’re already there – now it’s time to play.
©2024 Logistics Safety Solutions Pty Ltd (LSS) ABN 25 134 417 379. This information is general information only and provided without taking into account your particular objectives, circumstances and needs. While every effort has been made to ensure the information is accurate, its accuracy and suitability to your specific circumstances are not guaranteed. You should seek independent professional advice before acting on the information contained in this article. 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 any of the information provided.