Audit Question Set Section 4.9 Assessment Approval

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These questions can be used as an aid to assure that your project adheres to the policy briefed in clause 4.9 of the Statute Policy mandated by Defence Regulators which states;

Safety and/or environmental case reports shall be personally approved by the individual with formally delegated authority to confirm their acceptance with the progress of the safety and/or environmental case/assessment and of the risks and impacts associated with the project.

- Policy Clause 4.9 Assessment Approval
These questions address ASEMS Part 1, Clause 4.9 and DSA 01.1, Elements B, C, H and K.
Information Management
  1. What has been done to ensure that staff can only access the most up to date final signed off version of safety and environmental cases?
Organisational Leadership, Culture, Capability and Change Management
  1. What is your process for senior management endorsement of your safety and environmental cases and can you confirm that it culminates in Team Leader sign off.
Supervision and Control of Activities
  1. How did your Team Leader satisfy themselves that safety and environmental cases were adequate and complete before approving and signing them?
Self-Assurance
  1. How have you assured that your process for obtaining Team Leader sign off is adequate and effective?

Covers assurance for policy clause

Assessment Approval

Safety and/or environmental case reports shall be personally approved by the individual with formally delegated authority to confirm their acceptance with the progress of the safety and/or environmental case/assessment and of the risks and impacts associated with the project.

4.9

Assures Procedures

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.

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.

SMP09

Risk Acceptance

This procedure provides guidance for the acceptance of risks based upon the evidence presented in support of the ALARP statements.

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.