Audit Question Set Section 4.4 Legislation Compliance and Other Requirements

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These questions can be used as an aid to assure that your project adheres to the policy briefed in clause 4.4 of the Statute Policy mandated by Defence Regulators which states;

Delivery Teams or equivalents shall establish, and demonstrate compliance with, relevant legislation and other requirements.

- Policy Clause 4.4 Compliance with Legislation and other Requirements
These questions address ASEMS Part 1, Clause 4.4 and DSA 01.1, Elements E and K.
Risk Assessments and Safety Cases
  1. Which applicable legislative requirements are you unable to meet and where are details of these recorded?
  2. How have you assessed the risks associated with legislative non-compliance and where are the results recorded?
  3. What action has been taken to seek exemptions from legislation, etc, from appropriate authorities and where are these recorded
Self-Assurance
  1. How have you assured that all relevant legislative requirements have been met and where are records of this located?

Covers assurance for policy clause

Compliance with Legislation and other Requirements

Delivery Teams or equivalents shall establish, and demonstrate compliance with, relevant legislation and other requirements.

4.4

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.

GMP04

Document and Record Control

This generic procedure offers guidance on document and record control at a project level.

EMP03

Identifying Compliance Obligations and Demonstration of Compliance

It is important to identify environmental compliance obligations that apply to projects in order to demonstrate compliance. This procedure better enables Delivery Teams to identify relevant environmental compliance obligations, understanding how compliance is achieved and how compliance arguments should be built and recorded.

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.

SMP10

Safety Requirements and Contracts

This procedure provides guidance for defining the requirements of the Safety Management System (SMS), and how it will be demonstrated that safety targets have been met. The procedure also provides guidance for the development of contractual terms with external contractors where they are required.

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.