Audit Question Set Section 1.1 Conform to Secretary of State for Defence's Policy

These questions can be used as an aid to assure that your project adheres to the policy briefed in clause 1.1 of the Statute Policy mandated by Defence Regulators which states;

Those holding safety and environmental protection delegations shall ensure that in the procuring or supporting Products, Systems or Services, they conform to the Secretary of State’s Health, Safety and Environmental Protection Policy Statement.

- Policy Clause 1.1 Conform to Secretary of State for Defence’s Policy

These questions address ASEMS Part 1, Clause 1.1 and DSA 01.1, Elements A, C and K
Applicable legislation, defence regulations, policy and guidance
  1. What legislative, regulatory, certification and standards requirements are applicable to your project and where are they recorded? (SMP01 & EMP01 refer)
  2. What processes were followed to generate the lists of requirements and where are they documented?
  3. What checks have been carried out to assure the adequacy and completeness of the  requirement lists? (Generic assurance Q)
  4. How did you confirm the competence of those tasked with generating the lists? (Generic SQEP Q)
  5. How are changes to legislation, standards, etc, tracked and used to update your requirements lists?
  6. How are waivers or exemptions from requirements managed and where are their outcomes recorded?
  7. How are details of requirements retained and protected against loss throughout the life of the project? (Generic Document Control Q)
Organisational leadership, culture, capability and change management
  1. How were the safety responsibilities of the Team Leader and individual team members established?
  2. What processes were followed?
  3. Where are the outputs of such processes recorded? (Generic Document Control Q)
  4. How are changes to individual’s safety responsibilities tracked and recorded?
  5. What processes are in place to identify and record the safety responsibilities of key project stakeholders, including Duty Holders? (SMP01 & EMP01 refer)
  6. Where are the outputs of such processes recorded? (Generic Document Control Q)
  7. How are significant safety related occurrences and faults reported and addressed?
  8. What arrangements are in place to enable decision making and the communication of safety related issues between all involved?
  9. Where are the outputs of such discussions documented? (Generic Document Control Q)
  10. What arrangements are in place to enable the upward and downward flow of safety related information within the organisation?
Self - assurance
  1. What internal and / or external oversight has been carried out to assure the adequacy and effectiveness of the above arrangements and their outcomes?

Covers assurance for policy clause

Conform to Secretary of State for Defence’s Policy

Those holding safety and environmental protection delegations shall ensure that in the procuring or supporting Products, Systems or Services, they conform to the Secretary of State’s Health, Safety and Environmental Protection Policy Statement.

1.1

Assures Procedures

EMP01

Environmental Management Plan

A fully resourced plan to manage potential impacts to the environment should be developed. It is likely that aspects will be known to the project team prior to commencement of the POEMS Process. This procedure should allow the project team to budget, resource tasks that may be required to assess the significance of the impacts from the project and to demonstrate that any significant impacts are minimised or reduced, as far as reasonably practicable.