Audit Question Set Section 1.3 Duty Holders

These questions can be used as an aid to assure that your project adheres to the policy briefed in clause 1.3 of the Statute Policy mandated by Defence Regulators which states;

Duty Holders shall be appointed and Letters of Delegation issued in accordance with the DE&S Chief Executive Officer’s Organisation and Arrangements.

- Policy Clause 1.3 Duty Holders

These questions address ASEMS Part 1, Clause 1.3 and DSA 01.1, Elements C and K
Organisational leadership, culture, capability and change management
  1. Who within the team has responsibility for acquisition safety and where are their responsibilities recorded?
  2. Who issued the safety delegations and where did they obtain their authority to do so?
  3. On what basis were those receiving safety delegations considered SQEP?
  4. How was the scope of their safety responsibilities determined?
  5. Have those staff in receipt of delegations signed to indicate that they understand and accept them?
  6. How often are delegations reviewed and updated and where is the review periodicity stated?
  7. What records of reviews are maintained and are they up to date?
  8. How are delegations terminated / reissued following changes in personnel?
  9. How are delegations stored and linked to the equipment safety case?
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

Duty Holders

Duty Holders shall be appointed and Letters of Delegation issued in accordance with the DE&S Chief Executive Officer’s Organisation and Arrangements.

1.3

Assures Procedures

EMP02

Stakeholder Communications

This procedure will enable the project team to ensure that environmental issues are appropriately managed, with all environmental responsibilities communicated. EMP02 will assist the project team in identifying stakeholders, define and agree project environmental responsibilities, produce an effective communication plan and assemble an environmental committee.