Audit Question Set Section 3.9 Internal Audit

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These questions can be used as an aid to assure that your project adheres to the policy briefed in clause 3.9 of the Statute Policy mandated by Defence Regulators which states;

At planned intervals commensurate with the risk: i) Operating Centres shall audit their Delivery Teams, or equivalents, safety and environmental management systems. ii) Delivery Teams or equivalents shall audit the safety and environmental management systems of their projects. iii) The DE&S Quality, Safety and Environmental Protection Team or their representative, shall audit the safety and environmental management systems of Operating Centres and Delivery Teams.

- Policy Clause 3.9 Internal Audit
These questions address ASEMS Part 1, Clause 3.9 and DSA 01.1, Elements B and K.
Information Management
  1. Which SEMS audits have been undertaken at OC and Team levels and where are their outcomes recorded?
  2. How are corrective actions closed out and where are they recorded?
Self - Assurance
  1. What assurance has been undertaken to assure the adequacy and effectiveness of your audits and where are the details recorded?

Covers assurance for policy clause

Internal Audit

At planned intervals commensurate with the risk: i) Operating Centres shall audit their Delivery Teams, or equivalents, safety and environmental management systems. ii) Delivery Teams or equivalents shall audit the safety and environmental management systems of their projects. iii) The DE&S Quality, Safety and Environmental Protection Team or their representative, shall audit the safety and environmental management systems of Operating Centres and Delivery Teams.

3.9

Assures Procedures

EMP02

Stakeholder Communications

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

EMP09

Continuous Review

Continuous review should ensure that outputs from all EMPs are kept up to date with overall project and other developments. A review should be part of a planned process of the revision of outputs as the project progresses in order to incorporate improved or amended information, or as the result of audit findings. This procedure assists the Delivery Team in continuous review and improvements to their projects

SMP02

Safety Committee

This procedure describes the implementation of a Safety Committee, in order to ensure effective co-ordination between persons holding safety responsibilities.

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.