How To Navigate Auditor Road Blocks: Part III Disclosure, Transparency and Non-Conformance

his article is the third part in a three part series on how auditors can successfully navigate some of the obstacles and roadblocks conveniently adopted by more experienced auditees.
In the we discussed time wasting tactics, the next article looked how to avoid challenges associated with confusion. Today we will be discussing the deliberate attempts we experienced throughout the years to mislead us or keep us in the dark by auditees during the audit process. Specifically roadblocks in this area come under disclosure, transparency and non conformance.

How To Navigate Audit Road Blocks : Part II Avoid Challenges To The Audit Scope

Stressed_womanAs we discussed in last week’s article, auditors often find themselves in situations where attempts are made to bamboozle them, frustrate the process or otherwise bring the whole audit to a standstill.

Over the last 20 years we have had our fair share of experiences in having to navigate the roadblocks some clients have placed in our way during the audit process.

How To Navigate Audit Road Blocks: Part I Time Wasting Tactics

bigstock-roadblock-61432373As an auditor have you ever felt frustrated by the deliberate attempts to stall/sidetrack/confuse the auditor?

Our company has been auditing for more than 20 years, and we’ve experienced first hand clients throwing a raft of cleverly disguised roadblocks at our audit team in an attempt to throw them off track. 

The purpose of writing this blog article is to help auditors successfully navigate these obstacles and roadblocks, adopted by more experienced Auditees. This is part one of a three part series, and this first blog discusses time-wasting tactics.

Fleet Maintenance Safety and Compliance, Keeps Your Wheels Turning

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Having worked in the transport and logistics industry sector for the past 20 years, and auditing thousands of small, medium and large transport operators across Australia, I can say with confidence those transport operators who choose to take a systematic and preventative approach to Fleet Maintenance Management outperform and win more business than those who choose to stick with reactive type maintenance regimes.

What is the Role of Compliance in Managing Corruption?

what-is-the-role-of-compliance-in-managing-corruptionIn today’s world we are seeing a crackdown worldwide on bribery and corruption.  Organisations around the world charged with this task include Australia’s ICAC, whilst in the USA there is the Foreign Corrupt Practices Act, the UK has the Serious Fraud Office and there is also Transparency International – fighting corruption worldwide.

There is a very high likelihood of prosecution and subsequent fines or even jail time is higher than ever if your conduct is suspected to be corrupt. Businesses must be confident that their systems currently in place to prevent corruption are strong enough to stand up in court.  

5 Ways A Compliance Officer Is Like A Swiss Army Knife

bigstock-Red-Army-Knife-multi-tool-on--53358448It will come as no surprise to any compliance officer that the skill sets they must possess often stray far from any “textbook” definition of the job. What they may not consider is that, at times, their job may have a lot in common with the more exotic skill sets required of spies, gamblers, and diplomats.

Compliance officers are often treated as the corporate equivalent of a Swiss Army knife—a multi-disciplined tool ready to handle any problem shuffled upon them.  The compliance officer is expected to be multi lingual in the sense that he or she is speaking the languages of lawyers, regulators, HR, auditors, bankers, investors, and whatever other specialists populate the marketplace and supply chain.

Learn How Compliance Auditors Can Better Manage WHS

bigstock-Word-cloud--safety-56606669Workplace safety is not only a moral obligation but also one that can carry legal ramifications should your obligations not be met.  Australian law dictates strong workplace safety laws under the WHS Act. Specifically this means, persons conducting a business or undertaking are required to monitor the health of workers and the conditions at the workplace to ensure safety is maintained within the workplace.  It really can be a matter of life or death for employees.

8 Steps to Help Compliance Officers Audit Their Mass Management System

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Whether you are a Mass Management accredited operator or not you should be striving to maximise the capability of your fleet (return on investment) whilst ensuring continued compliance with the Road Transport and Safety laws.  

On a daily basis we come across operators (large and small) who for one reason or another have not invested in formalising their approach to Mass Management. These operators, miss out on the immediate productivity and efficiency gains and ultimately become less competitive in this thriving transport and logistics market. The freight task is growing at a rapid rate and if you want to continue to be a player you need to demonstrate to your supply chain that you have the required systems in place to give them assurance that you can deliver best value for money.