Audit Question Set Section 5.7 Non-Compliance Reporting

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These questions can be used as an aid to assure that your project adheres to the policy briefed in clause 5.7 of the Statute Policy mandated by Defence Regulators which states;

In circumstances where the ability of the Delegation Holder to achieve compliance with the requirements of ASEMS may have been compromised, Operating Centres, Delivery Teams or equivalents shall take immediate steps to correct the situation. Actions required could include improving the clarity of the authority, instructions or responsibilities provided, increasing resources or correcting deficiencies in practices or procedures. Where resolution of the problem lies outside the control of the Delegation Holder, the issue is to be referred through the line management chain. This requirement is to be applied to any further levels of delegation as necessary.

- Policy Clause 5.7 Non-compliance Reporting
These questions address ASEMS Part 1, Clause 5.7 and DSA 01.1, Elements A, B, C, I and K.
Applicable Legislation, Defence Regulations, Policy and Guidance
  1. What policies and procedures has the team identified for its management of non-compliance reporting and where are they recorded?
Information Management
  1. How has the team informed relevant parties of its non-compliance reporting processes and where they can be found?
Organisational Leadership, Culture, Capability and Change Management
  1. What corrective actions have management taken to address identified non-compliances and where are the details recorded?
Incident Management and Learning from Experience
  1. What actions have management taken to ensure that non-compliances are reported, investigated, corrected and that lessons are learnt?
Self-Assurance
  1. How has the team assured itself that its non-compliance management processes are adequate and effective and where are the results recorded?

Covers assurance for policy clause

Non-compliance Reporting

In circumstances where the ability of the Delegation Holder to achieve compliance with the requirements of ASEMS may have been compromised, Operating Centres, Delivery Teams or equivalents shall take immediate steps to correct the situation. Actions required could include improving the clarity of the authority, instructions or responsibilities provided, increasing resources or correcting deficiencies in practices or procedures. Where resolution of the problem lies outside the control of the Delegation Holder, the issue is to be referred through the line management chain. This requirement is to be applied to any further levels of delegation as necessary.

5.7

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.

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

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.

SMP13

In-Service Safety Management System

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