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Paul Molenaar
Compliance Experts Pty Ltd
Colin Karlson
Chain of Compliance
Risk Management (NLSC Audit Tool)
WHS Act 2011 Requirements
Part 2—Health and safety duties – Section 17
Management of Risks
A duty imposed on a person to ensure health and safety
requires the person:
(a) to eliminate risks to health and safety, so far as is
reasonably practicable; and
(b) if it is not reasonably practicable to eliminate risks to
health and safety, to minimise those risks so far as
is reasonably practicable.
Risk Management (NLSC Audit Tool)
• Element 2.0 WH&S Risk Assessment and Compliance.
• What objective evidence are we seeking to establish
compliance with NLSC criteria 2.01, 2.02 and 2.03
• Criteria for this element are based on WHS Act
requirements and AS/NZS ISO 31000:2009 - Risk
Management— Principles and Guidelines
(Note: The intent of these questions are focused on the
Transport Task Risks. It is not intended as a full WHS Audit)
Risk Management
Framework & Methodology
Risk Management Framework: Set of components that provide the foundations and
organisational arrangements for designing, implementing, monitoring, reviewing and
continually improving risk management throughout the organisation.
31000:2009 - Risk
Principles and
NLSC Criteria 2.01
NLSC 2.01 Criteria Requirement:
• Can you provide a workplace hazard/risk assessment register for this
operation that demonstrates an effective control and review process
pertaining to site and transport task risks?
• Is there a site Risk Register which demonstrates effective control and
• Does the Risk Register contain reference to risk assessments which
adequately reflect the organisations activities?
• Do the workplace Risk Assessments cover: site facilities and
equipment, fleet, all transport tasks (eg: loading, unloading, coupling,
use of pallet jacks, delivery point risks, etc.) – on and off site?
NLSC Criteria 2.02
NLSC 2.02 Criteria Requirement:
• Are the findings of these hazard /risk assessments effectively
documented and acted upon, and measured against the
appropriate standard or criteria?
• Which Risk Assessment Framework is applied and is it an
appropriate standard?
• Is the Hazard Identification/ Risk Assessment documentation
available showing the process applied to determine suitable control
• Who conducted the risk assessments and are they familiar with key
risk management principles like Hierarchy of Controls?
• Have the Risk Assessment findings been acted upon?
NLSC Criteria 2.03
NLSC 2.03 (a, b and c) Criteria Requirements:
Are actions arising from Hazard Identification and Risk Assessments:
• a) effectively addressed?
• b) effectively implemented?
• c) effectively monitored and reviewed?
Having documented the Risk Assessments, have the controls been
implemented and have these been assessed to determine whether they were
suitable to address the problems identified?
Having implemented suitable controls, are these controls being effectively
monitored and reviewed to ensure continued relevance?
For example: What data is being collected to validate this?
Site Inspections, Near Miss / Incident Reports, etc.
Chapter 5 Speed
Chapter 6 Fatigue
In Short:
Any Party in the chain must take all
Reasonable Steps to not cause a HV driver
to speed or drive while impaired by fatigue
Fine: $10,000
NLSC Speed and Fatigue
Risk Assessment
HVNL 10.4 – Provisions about liability
“Reasonable Steps Defence” (RSD)
623 RSD Speed and Fatigue
“A Party in the Supply Chain”
Conduct risk assessment
Reviewed annually
Reviewed after each event
This applies to every Party
Quote from VicRoads “Heavy Vehicle Speed
Compliance” October 2009:
“Drivers are not included in the chain, as they
are covered by existing regulations”
Satellite tracking or IVMS is not the complete
Start the Process
• Define which Party you are
• Refer to duties for each Party from chapters 5
& 6 into the risk assessment
• Examine the RSD examples for each Party
• Identify your tasks and activities
Continual Considerations
• “Ought to know what you reasonably
ought to know”
• Knowledge, training and competency
• Guilty by act or omission
Tasks, Hazards and Risks
Commercial Arrangements
For Speed clauses 212 to 216
For Fatigue clauses 235 to 237
• Contract or agreement will not cause …..
• Duty not to make a demand ….
• Will not result in, encourage or provide and
incentive to ………
• Particular contract etc. prohibited…..
Tasks, Hazards and Risks
Consignors, Load Managers & others
Time frames in contracts or agreements
Work time verses transit time
Point to point times, not drivers work time
No mention of contingencies, holidays,
environment, authority to stop the job
IFOT rewards and penalties
No schedule verification or skills
No driver or supply chain consultation
Time slot penalties
Tasks, Hazards and Risks
Drivers work and rest, goods or passengers
(This can include Consignors)
Knowledge, training & competency
Verified schedules
Drivers second or other jobs
Tasks, Hazards and Risks
Load Managers
Communication to schedulers of time on site
Managing time on site
Communicating on site
Queuing and parking
Rest and ablution facilities (clause 239)
Work environment and facilities
Tasks, Hazards and Risks
Additional Considerations for
Operators and Prime Contractors
Fitness for duty
ADR 65 compliance
Exception report parameters
NCR system
Considerations and Risks
3PL is a link in the chain
Contract schedulers
Local work verses linehaul
Reasonable enquiry
• Competency of the Auditor
• Rigor of the audit enquiry tool
• Why do we do this?
Thank you
Paul Molenaar
Compliance Experts Pty Ltd
PH: 03 9545 1452
Colin Karlson
Chain of Compliance
PH: 02 4982 4244

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