Service provider auditing
If you are an external service provider participating in one of Department of Transport and Planning programs, you will be audited by the Regulatory Assurance and Compliance - Third Party Services Team.
External service providers participating in the following Department of Transport and Planning programs will be audited by the Regulatory Assurance and Compliance - Third Party Services Team:
- Dealer Certification Scheme
- Used Car Trader Agreement
- Licensed Vehicle Testers
- Vehicle Identity Validation
- Vehicle Assessment Signatory Scheme
- Accredited Heavy Vehicle & Motorcycle Training Providers
- Alcohol Interlock Program
- Drink and Drug Driver Behaviour Change Program
- Alternative Fuel Systems Assessment and Certification Scheme (AFSACS)
The Regulatory Assurance and Compliance - Third Party Services Team will work to ensure that the Department of Transport and Planning external service providers are meeting their respective legislative, contractual and operating requirements.
Audit overview
An audit is an examination of an organisation’s business operations to ensure that it is performing to an agreed set of requirements. Compliance officers from the group gather evidence to support an assessment of your performance against the requirements of your approval/agreement with Department of Transport and Planning.
The audits will normally be carried out on your business premises and involve a review of your work procedures and service outputs.
Frequency and timing of audits
Both the frequency and timing of Department of Transport and Planning audits are based on risk profiling. Factors used in determining this risk profile will vary depending on the type of program you participate in.
In many instances, Department of Transport and Planning will notify you in advance of an upcoming audit. However, we will also undertake some unscheduled auditing where our Compliance Officers will arrive unannounced.
What happens during an audit
Department of Transport and Planning Compliance Officers will generally conduct an audit in the following manner.
Entry interview
During this interview, the compliance officer will discuss and explain the audit’s objectives, scope, likely duration and process.
Audit fieldwork
Throughout the audit, the compliance officer will collect evidence using sampling, computer-assisted audit techniques, interviews, observations, questionnaires, checklists and risk control testing.
The compliance officer will require access to relevant personnel, records and properties to conduct the audit efficiently and effectively.
Exit discussion
After the fieldwork is completed, there may be an exit discussion to inform you of interim findings of the audit, including any corrective actions that may require urgent attention.
Audit report
A final audit report will be issued to you several weeks after the fieldwork is completed. This report will document the findings, recommendations and associated corrective actions resulting from the audit. You will be asked to correct any areas of non-compliance identified.
Dispute finding or corrective action requests
If you dispute any of the findings or corrective action requests, you will be able to discuss these issues with our staff.
How to prepare for an audit
Here are the things you need to do during the audit process:
- ensure that you and your staff understand the requirements of your approval/agreement with Department of Transport and Planning
- ensure your business activities are in keeping with the requirements of your approval/agreement with Department of Transport and Planning
- establish and maintain appropriate records management procedures
- make all relevant information and personnel available to our compliance staff.
Regulatory Assurance and Compliance - Third Party Services Team contact details
Email: r&[email protected]
Address:
Regulatory Assurance and Compliance - Third Party Services Team
Department of Transport and Planning
110 Maroondah Highway
Ringwood VIC 3134