Audit Question Set Section 5.3 Hierarchy of Controls

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These questions can be used as an aid to assure that your project adheres to the policy briefed in clause 5.3 of the Statute Policy mandated by Defence Regulators which states;

Operating Centres, Delivery Teams or equivalent shall adopt a recognised hierarchical approach for achieving a reduction in safety risk and environmental impact.

- Policy Clause 5.3 Hierarchy of Controls
These questions address ASEMS Part 1, Clause 5.3 and DSA 01.1, Elements E and K.
Risk Assessments and Safety Cases
  1. What are the team’s preferred approaches to mitigating risks and where are they recorded?
  2. To what extent are the types of mitigation prioritised in terms of their effectiveness (ERIC PD approach)?
Self-Assurance
  1. How has the team assured itself that its risk mitigation processes are adequate and effective in reducing risk and where are the results of risk mitigation recorded?

Covers assurance for policy clause

Hierarchy of Controls

Operating Centres, Delivery Teams or equivalent shall adopt a recognised hierarchical approach for achieving a reduction in safety risk and environmental impact.

5.3

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.

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.

SMP07

Risk and ALARP Evaluation

This procedure provides guidance through Risk and ALARP Evaluation in order to identify where the system Risk meets Tolerability criteria, and where further action is required.

SMP08

Risk Reduction

This procedure provides risk reduction guidance for hazards that have not been evaluated as being either tolerable or broadly acceptable and ALARP.