6 things to ask your auditor

The Australian Logistics Council in its Submission Phase 2 Report of the Heavy Vehicle Roadworthiness Review September 2014 has raised its concerns over Auditor quality, that there has been no change in examination requirements since 2008, and auditors are not required to audit Chain of Responsibility obligations. Before your next audit consider the following questions:-

1. Is your Heavy vehicle Auditor accredited by Exemplar Global?

Under the National Heavy Vehicle Accreditation Scheme (NHVAS) Business Rules February 2014 and Independent Audit Framework, all audits are to be conducted by an approved independent auditor. These auditors must be certified by Exemplar Global (formally known as RABQSA) to be recognised by the National Heavy Vehicle Regulator (NHVR) as an NHVAS auditor.

To become certified you are required to:-

• Completean e- based PAAS Master Examination to ensure you possess the appropriate personal attributes as defined in ISO 19011:2002

• Provide evidence of knowledge competency defined by the RABQSA the following competency units

• Management Systems Auditing RABQSA-AU

• Auditing Quality Management Systems RABQSA-QM

• Heavy Vehicle Operations RABQSA-HV

• NHVAS Fatigue Management RABQSA-FM

• Skill Examination on site by an approved RABQSA Certified HVA Skill Examiner

When all the certification requirements are met approval is provided by Exemplar Global for a period of four years. An identification card is provided by Exemplar Global to the approved auditor, providing the details necessary to confirm your audit will be conducted by Exemplar Global approved auditor.

Compliance audits must be carried out by an auditor who is independent of an external to the Participant, and has not conducted more than two consecutive audits for the participant previously.

2. Does your Heavy Vehicle Auditor have more than 5 years transport industry experience?

An approved auditor needs to demonstrate knowledge competencies for Heavy Vehicle Operations

• You must understand the regulatory environment of the heavy transport industry

• Understand the role and purpose of accreditation in the heavy transport industry

• Understand business rules of heavy vehicle accreditation schemes

• Understand the detailed requirements of audit matricies and audit reports for all modules in heavy vehicle accreditation schemes

An approved auditor must also be able to demonstrate knowledge in Fatigue Management

• Understand the regulatory environment in relation to NHVAS Accreditation Fatigue Management for the heavy transport industry

• Understand the role and purpose of accreditation in the heavy transport industry

• Understand the business rules of heavy vehicle accreditation schemes

• Understand the accreditation sytandars, the underpinning criteria and assessment steps for the NHVAS fatigue management modules included in heavy vehicle accreditation schemes.

• General knowledge of fatigue science.

If your auditor does not have this detailed understanding knowledge and experience you may be obtaining an inferior audit.

3. Does your auditor provide solutions to improve your business?

Any auditor who does not take the time to provide suggestions for improvement to you is not giving you value for money. The opportunity for improvement should be a key outcome of each audit. Apart from ensuring compliance and due diligence there is always a requirement to seek continuous improvement and this should apply to each audit be it a random or compliance audit.

• Solutions should include improved rostering to manage fatigue,

• Improving journey plans to meet a drivers ability for work and rest

• Working with customers on improved loading and unloading windows

Ensuring all equipment is engineered to allow for equal mass distribution on loaded vehicles for compliance

• Regular review of maintenance and discussions to ensure repairs a completed when agreed.

4. Does your heavy vehicle auditor meet with you on site?

Compliance audits must be carried out using the approved audit matrix or audit summary report in person and not by telephone. Providing false or misleading information to the NHVR is an offense under the National Heavy Vehicle Legislation. Persons who do so may be subject to a financial penalty. The NHVR may also impose sanctions on your business; refer Section 9 National Heavy Vehicle Accreditation Scheme Standards and Business Rules. These sanctions may include:

• Counselling

• A written warning notice

• An improvement notice

• Issue a notice to take corrective action within a period of time

• Increasing the frequency of scheduled compliance audits

• Variation for the period of an accreditation

• Issuing a proposed action notice why accreditation should not be suspended

• Issuing a proposed action notice why accreditation should not be cancelled

• Issuing a notice for immediate suspension or cancellation of accreditation

5. Does your auditor provide you with a list of required documents before your audit?

To assist the audit process it is always helpful to have available the required documents and records to allow for an effective use of the auditors time. Having to search for documents and records is never helpful.

Ensure the module being audited is available and up to date

Maintenance Management System

All instructions to monitor maintenance checks are available

Evidence that confirms compliance with the set procedure, policy and instructions

Training records are available

Instructions on recording faults, repair of faults or delayed repair are available

Records of vehicles accredited under the Maintenance scheme

Personnel records are documented to show responsibilities, qualifications

Records showing maintenance records, service levels, tasks to be completed

Table of tolerances and wear limits for major components

Internal review records

Mass Management System

Vehicle register

Documentation that supports how product is loading is controlled to ensure that axle and gross mass remain within the limits allowable under the Mass Management Program

Verification process to confirm the products transported and the vehicle operating conditions remain consistent with the allowable axle and gross mass limits.

Documentation confirming the vehicles being operated in accordance with the Mass Management Maintenance of Suspension Standard.

Records exist to confirm all positions involved in the management, operation, administration, participation and verification of the Mass Management System are current clearly defined and documented.

Internal Review records are available to verify that all results and activities comply with the systems policies, procedures and instructions.

Training records of all responsible persons are current and available.

Documented evidence must be maintained to demonstrate the effective operation of the Mass Management System.

Fatigue Management System

The authorities, responsibilities and duties of all positions in the management, operation, administration, participation and verification of their operation are current, clearly defined and documented and being carried out.

The operator will implement, authorise, maintain, and review documented policies and procedures that ensure the management performance and verification of the FMS is in accordance with the Standards.

Records that confirm all personnel involved in the management, operation, administration, participation and verification of the FMS can demonstrate competence in fatigue knowledge relevant to their position.

Journey plans or trip schedules exist and are in accordance with the limits prescribed in legislation.

Records confirms drivers are fit for duty

Internal Review records

6. Does your auditor have Industry Experience?

The National Logistic Safety Code (NLSC) has been developed by the member companies of Australian Logistics Council by harmonising the Retail Logistics Supply Chain Code of Conduct with the Steel Code of Practice. The NLSC is the platform from which all industries can develop their own industry solution to best suit their needs whilst maintaining levels of consistency for all parties whatever supply chain.

Purpose of the Code

The Code is aimed at establishing practicable and enforceable guidelines covering logistical interaction across the entire supply chain to ensure all parties understand their role and obligations in making the supply chain safe and compliant under the Chain of Responsibilities (CoR) laws. The Code is not intended to be anti-competitive in any way.

The Code is voluntary and prescribes minimum levels of operational behaviour to assist those in the code to manage their obligations under the relevant road transport laws and occupational health and safety legislation. The Code will not remove the obligation to comply with relevant laws and regulations.

There are currently five NLSC Codes of Practice in the Transport & Logistics industry – one for the steel industry, one for the retail sector i.e. fast moving consumer goods (FMCG), one for the coal seam gas industry, one for the electrical cable industry and a code for the tanker industry.

To confirm your auditor’s industry experience they should be able to endorse the National Logistics Safety Code and the specific Industry code which may relate to your business.

New codes for industries are being regularly developed, so if your industry is not listed talk to your Auditor about your relevant Industry and what safety Code may be of assistance to your business.

This article, hopefully has encouraged the direction you need to take when next choosing your Heavy Vehicle Auditor, we would welcome the opportunity of discussing this with you and keeping you informed of the changes coming across the Auditing process, your call will be welcome,