Paul Molenaar - Compliance Experts - Compliance Systems & Automation
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Transcript of Paul Molenaar - Compliance Experts - Compliance Systems & Automation
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
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 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
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. [email protected]://www.complianceexperts.com
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