Audit Question Set Section 3.5 Core Element Documentation

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These questions can be used as an aid to assure that your project adheres to the policy briefed in clause 3.5 of the Statute Policy mandated by Defence Regulators which states;

Operating Centres, Delivery Teams or equivalents shall establish, maintain and retain suitable and sufficient information that describes the core elements of the safety and environmental management system(s), their interaction and any related documentation.

- Policy Clause 3.5 Core Element Documentation
These questions address ASEMS Part 1, Clause 3.5 and DSA 01.1, Elements B – D, H and K.
Information Management
  1. What S&EP information was assessed as essential to the establishment and ongoing maintenance of the SEMS?
  2. How was such information identified and where are the outcomes from the assessment process that generated it?
  3. How are the key documents managed to prevent their contents becoming corrupted or lost?
Organisational Leadership, Culture, Capability and Change Management
  1. What process did the documents go through to become authorised, and by who?
Personnel Competence and Training
  1. How have you ensured that those required to apply the contents of the documents are suitably competent?
Supervision and Control of Activities
  1. Under what circumstances do you expect staff to require supervision when implementing the S&EP processes?  
Self - Assurance
  1. What internal and / or external oversight has been carried out to assure the adequacy
  2. and effectiveness of the above arrangements and their outcomes?

Covers assurance for policy clause

Core Element Documentation

Operating Centres, Delivery Teams or equivalents shall establish, maintain and retain suitable and sufficient information that describes the core elements of the safety and environmental management system(s), their interaction and any related documentation.

3.5

Assures Procedures

GMP01

Contracting for Safety and Environmentally Sound Products, Systems or Services

This generic procedure serves to outline the process of managing contracting for safety and environmentally sound PSS.

EMP01

Environmental Management Plan

A fully resourced plan to facilitate proactive environmental management should be developed. It is likely that aspects will be known to the Delivery Team prior to commencement of the POEMS Process. This procedure should allow the Delivery Team to budget and resource tasks that ensure products, systems and services deliver sound environmental performance.

EMP07

Environmental Impact Management

This procedure focuses on the management and reporting of high and medium priority environmental impacts associated with the project.

SMP01

Project Safety Initiation

This procedure describes the start-up of safety management activities on a project. It identifies safety stakeholders, and legislative and other standards that should be satisfied. The procedure also creates the key elements of the safety management organisation for the project.

SMP03

Safety Planning

This procedure guides the development of a Safety Management Plan which defines the Safety strategy, ensuring acceptable Safety performance through life.

SMP12

Safety Case and Safety Case Report

This procedure provides guidance on the development of a Safety Case and Safety Case Report. The Safety Case brings together all project safety information, forming a number of arguments which are summarised in the Safety Case Report.

SMP13

In-Service Safety Management System

This procedure provides guidance for sustaining safety performance by ensuring in-service arrangements are recognised and operated.