Reasonable Enquiry User`s Manual
Contents
1.2. Answer the question by completing the relevant option within the Responses box Compliant Non Compliant or Not Applicable Place any free text notes in relation to the question in the Observations box Page 12 ALC Online Compliance Tool User Guide Click the Check Spelling button to check for spellings on Observations Check Spelling Add any relevant file attachments see Attachments section of this document below Click the Next Section button The Next Section button is the blue arrow pointing to the right at the bottom of the Checklist page This will take you to the next question Repeat Steps 2 5 above for each question in the Audit Checklist Next Section FF intranet Protected Moc Clicking the Next or Previous question navigation buttons will also save your answers before navigating to the next previous question oo Previous At any time you may click the Save button to save your answers and return to the Checklist page Alternatively click the Cancel button to discard any unsaved responses for the current question and return to the Checklist page Page 13 ALC Online Compliance Tool User Guide SUBMITTTNG A REASONABLE ENQUIRY 1 Complete all questions given in the reasonable enquiry see Completing a Reasonable Enquiry above for details 2 Once all questions have been completed
3. 66 14 Page 2 INTRODUCTION Australian Logistic Council Headquartered in the nation s capital Canberra the Australian Logistic Council is the peak national body representing the major and National companies participating in the Australian freight transport and logistics supply chain ALC s mission is to influence national transport and infrastructure regulation and policy to ensure Australia has safe secure reliable sustainable and internationally competitive supply chains Retail Logistics Supply Chain RLSC Code of Conduct ALC launched the RLSC Code of Conduct in 2006 The ten point code supports a clear chain of responsibility in freight logistics which involves all parties in the operation from the supplier and retailer to the carrier and logistics provider The code recognizes the importance of public safety and amenity in retail logistics operations The Code also provides a rigorous level of protection via a reasonable steps defense in relation to Chain of Responsibility and OHS legislative compliance requirements In a self regulating system all code signatories must submit their operations to routine independent audit and may also make reasonable enquiry assessments of associated vendor or transport suppliers to determine compliance with the RLSC Audits are conducted by ALC accredited auditors with recognized transport safety auditing qualifications Sharing of audit outcomes by stakeholders in order t
4. the Submit Audit Button will appear in green at the lower left hand corner of the page RLSC Reasonable Enquiry Nesie Australia Ltd 14 02 2011 1225 AM 100 00 10 Operational Infrastructure 10 02 030 3 Does the maintenance of site infrastructure ensure that loading unloading areas are clearly marked Criticat Responses Comptant inspection Non Compliant Not Applicable Attachments 0 Observations meaane Standard Text o History T M add ede Deete Downoad THIS IS A CRITICAL QUESTION Visual and supporting evidence sighted H save x Cancel 92 Check Spelling 3 Click the Submit Audit button Submit Audit 4 Confirm submission of the Reasonable Enquiry by clicking the OK button Submitting this audit may prevent further modifications or deny WP access to the audit Are you sure you wish to continue Page 14 ALC Online Compliance Tool User Guide 5 You will be taken to a page confirming the successful submission of the Reasonable Enquiry 4 AUSTRALIAN LOGISTICS COUNCIL Audit Submitted Successfully Thank you for completing an ALC Reasonable Enquiry Self Assessment A report providing details of your responses to the self assessment has been forwarded to Nesle Tom Thumb 9212 2229 tony stephenson icomply com au x Close 6 Click the Close button x Close Page 15
5. ALC ONLINE COMPLIANCE TOOL REASONABLE ENQUIRY USER GUIDE A AUSTRALIAN LOGISTICS COUNCIL Username 2 comply iAppraise requires Microsoft Internet Explorer 7 0 or higher 8 0 recommended For best results set screen resolution to 1280 x 1024 Document Version v1 ALC Online Compliance Tool User Guide TABLE OF CONTENTS 11111111161111 0 3 Se aa cc E E E E EA E EE 4 2 Onanie E E ec oe T EE E TOES 6 Creatine a Reasonable 1 7 Completing a Reasonable 66 12 SUbMitttng Reasonable Enquiry
6. ditions 6 InStep 2 edit the fields for Business Details as required Step 2 Business Details Business Details Name Toms Transport Trading Name TomsTransport p ACN 123456789 Street Address 4 Thomas street Suburb Mount Waverley State Vic Post Code 3135 Phone 9222 2032 Contact Us Terms and Conditions Page 9 ALC Online Compliance Tool User Guide 7 After filling out all fields select Next You will be taken to Step 3 Step 3 Contact Details Contact Details Title Mr First Name Ken Last Name McGuire Position QA Manager Phone 04546976 Email ken mcguire tomstransport com Contact Us Terms and Conditions 8 InStep 3 edit the fields for Contact Details as required 9 After completing all fields select next You will be taken to the final step Step 4 Step 4 Payment Details Payment Details Product Description Qty Price GST Reasonable Enquiry Self A single reasonable enquiry 2 2 Assessment assessment 1 250 00 25 00 Total AUD 275 00 Cardholder Name Card Number Card Expiry Date Accepted Cards VISA 2 01 ui Card Verficiation Number or Cancel Contact Us Terms and Conditions Page 10 ALC Online Compliance Tool User Guide 10 In Step 4 edit the fields for Payment Details as required Step 4 Payment Details Payment Details Produc
7. ed to a Insert the provided Signatory Reference number b Register their details c Make 200 00 payment for the online service 3 The vendor or contractor completes the questionnaire provided 4 The vendor or contractor clicks a Submit button to finalise the process Document Version v1 ALC Online Compliance Tool User Guide CREATING A REASONABLE ENQUIRY You will be provided with an Email specifying the URL and Reference Code for your reasonable enquiry checklist Follow the link or go to the following URL If the link displays an error please copy the web address and insert it into your browser You will be taken to the following page Enter the Reference Code provided to you The remaining fields on this page will be automatically completed for you Step 1 Signatory Details Signatory Details Reference Code Please fill in the reference code provided to you Name Contact Name Email Declaration I being an authorised representative of the business entity registering on this form have authority to authorise and verify the information provided in respect of this a Reasonable Enquiry I authorise the above ALC Signatory to view store and use the information provided by me pursuant to the Reasonable Enquiry I am aware that giving false or misleading information is a serious offence I Agree Reference Code field is required Contact Us Terms and Conditions httos www iappraise c
8. enable pop ups right click on the pop up tool bar and select Allow pop ups from this site 1 Internet Explorer 7 Tools Popup blocker Popup blocker settings Page 4 ALC Online Compliance Tool User Guide 2 Internet Explorer 8 The same path as for Internet Explorer 7 but the option doesn t always appear on the toolbar with the File Edit View Favorites Tools Help options The Tools option may appear on the right just above the main window In the popup blocker settings add the web address https www iappraise com au alc Close the browser window and open a new session with the new settings Page 5 REASONABLE ENQUIRIES A Reasonable Enquiry is a due diligence mechanism to enable ALC Signatories to evaluate if a supply chain partner has the required systems in place to manage their Chain of Responsibility legal obligations The Reasonable Enquiry consists of a questionnaire comprising 45 critical questions Respondents are requested to complete an online assessment Once the questionnaire is completed and Submitted a report is sent to the ALC Signatory for review The Reasonable Enquiry process is as follows 1 ALC Signatory sends a requesting email to the vendor or contractor The ALC Signatory provides a Signatory Reference number and the following web address https www iappraise com au alc ReasonableEnquiry aspx 2 The vendor or contractor clicks the web address and is requir
9. ge Audit RLSC Reasonable Enquiry Nesie Australia Ltd 15 02 2011 1 00 AM Z Checklist 0 00 Question Ret Question Test Not Ano cabie Answered iv Observations we P Reports Section 1 Legal Compliance and COR vy Summary gt Refresh 01 01 010 1 How do you ensure that you have access to the latest version of all road transport statutory regulations in the states that you operation g Criticat 01 02 010 1 What type of compliance training programs are provided for vendors g Criticat 01 02 020 2 What type of compliance training programs are provided for employed drivers Critical 01 02 030 3 What type of compliance training programs are provided for subcontractors Criticak E 01 02 040 4 What type of compliance training programs are provided for DC staff g Criticat Submit Audi a The Reasonable Enquiry is a collection of Sections containing Audit Questions Click the question that you wish to start answering The Question Answer page will display 10 Operational infrastructure TOO 2 Doge the mainignance of site What loading unloading ore cheaty marked Critical Responses Compii Neer 9 0 3 0 Hod atin Attachments 0 O Athman iona 9 undra Test T Badd Fe oe O Doe THE A Vel and suppli
10. o bring about continual improvement is encouraged Ensuring compliance protects the integrity of the RLSC and protects ALC member organizations Compliance Auditing Process Because ALC relied on a primarily manual process by external auditors inconsistent audit methodologies outcomes and reporting emerged and ALC lacked visibility of outcomes across the sector Member companies wanted a more consistent and standardized approach with predictable outcomes and a better process for performing their own self assessments ALC needed better visibility of compliance and a more flexible system to handle changes in compliance requirements and the rapid growth in uptake of the RLSC Document Version v1 ALC Online Compliance Tool User Guide Online Compliance Tool ALC and iComply decided to customize iComply s web based risk and audit solution iAppraise ALC enlisted the help of Microsoft Gold Certified partner iComply because of its compliance solution development experience and deep understanding of the transport and logistics sector With its customized version of iAppraise ALC has a secure web based compliance solution allowing On demand scheduling of assessments by members Independent assignment of auditors Capture of pay as you go service fees Workflow for the conduct and management of the end to end auditing and reporting process Standardized audit questionnaires reports and issue handling event driven email reminder
11. om au alc ReasonableEnquiry aspx A Page 7 ALC Online Compliance Tool User Guide 3 Read the Declaration text and tick agree Step 1 Signatory Details Signatory Details Reference Code T 205 Please fill in the reference code provided to you Nante Demo Signatory Contact Nante being an authorised representative of the business entity registering on this form have authority to authorise and verify the information provided in respect of this a Reasonable Enquiry I authorise the above ALC Signatory to view store and use the information provided by me pursuant to the Reasonable Enquiry I am aware that giving false or misleading information is a serious offence I Agree 4 Select the Next button to continue on to Step 2 Declaration I being an authorised representative of the business entity registering on this form have authority to authorise and verify the information provided in respect of this a Reasonable Enquiry I authorise the above ALC Signatory to view store and use the information provided by me pursuant to the Reasonable Enquiry I am aware that giving false or misleading information is a serious offence Page 8 ALC Online Compliance Tool User Guide 5 You will be taken to Step 2 Step 2 Business Details Business Details Name Trading Name ACN Street Address Suburb State Post Code Contact Us Terms and Con
12. s Data analysis and sector wide reporting to support advocacy ALC can assign each member and each auditor a unique secure login to the iAppraise system After members log in to the secure on demand compliance portal they can quickly schedule internal self assessments or external audits and assign approved auditors Emails alerts automatically keep all parties informed and the solution presents standardized questionnaires from a centralized library Auditors use mobile software to perform field assessments and are able to attach any documentary evidence of compliance Members can also perform self assessments to confirm compliance with the RLSC and other safety requirements and independently maintain internal users of the system via the portal Benefits With the improved regulatory compliance process made possible by iAppraise ALC has improved efficiency streamlined workflow provided better visibility and improved flexibility to deal with frequently changing transport and logistics regulations SOFTWARE REQUIREMENTS Web Browser e Internet Explorer Version 7 or higher is required to operate correctly It will NOT operate in version 6 For best results set screen resolution to 1280 x 1024 Pop Ups e Web browsers are sometimes configured to block pop up windows Before logging into the program for the first time please enable pop ups from this site You will not be able to gain access if pop ups are blocked To
13. t Description Qty Price GST Reasonable Enquiry Self A single reasonable enquiry Assessment assessment 1 250 00 25 00 Total AUD 275 00 Cardholder Name Thomas Randell Card Number 4444333322221111 Card Expiry Date Accepted Cards VISA amp oie as Card Verficiation Number 321 or Cancel Contact Us Terms and Conditions 11 After filling out your payment details select Submit to proceed with purchase You will be directed to the order confirmation page and a Tax Invoice Receipt of your order Tax Invoice amp Receipt iComply Pty Ltd on behalf of Australian Logistics Council ABN 77 103 568 752 PO Box 3313 suite 41E 200 Jells Road Wheelers Hill Vic 3150 www icomply com au Invoice Number 000005 Date 14 02 2011 Ken McGuire Toms Transport ACN 123456789 4 Thomas street Mount Waverley Vic 3135 Product Description Qty Price GST Reasonable Enquiry Self A single reasonable enquiry Assessment assessment 250 00 25 00 Total AUD 275 00 Payment received in full You will shortly receive an email providing a link to the self assessment ContactUs Terms and Conditions Page 11 ALC Online Compliance Tool User Guide COMPLETING A REASONABLE ENQUIRY 1 1 Navigate to the URL link provided by email following the successful creation of the reasonable enquiry see Creating a reasonable enquiry above for details You will be presented with the following pa
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