Audit Question Set Section 5.8 Risk Management

These questions can be used as an aid to assure that your project adheres to the policy briefed in clause 5.8 of the Statute Policy mandated by Defence Regulators which states;

Where risks cannot be managed within an individual’s delegated responsibility, the risk shall be formally referred using the DE&S risk referral procedure.

- Policy Clause 5.8 Referral Requirements

These questions address ASEMS Part 1, Clause 5.8 and DSA 01.1, Elements A, C, E and K.
Applicable Legislation, Defence Regulations, Policy and Guidance
  1. How are staff made aware of the extent of their safety and environmental risk management responsibilities and where are they recorded?
  2. What policies and procedures do you follow for the escalation of risks that are outside of your team’s delegated responsibility and where is your approach documented?

 

Organisational Leadership, Culture, Capability and Change Management
  1. How has the team ensured that those having risks referred to them are aware of the referral process and their role within it?
  2. Where are details of the above arrangements/agreements documented?
Risk Assessments and Safety Cases
  1. At what point do you determine that a risk requires escalation and why?
  2. Once referred, how do you continue to monitor its progress and mitigation?
  3. Where are details of the above recorded?
Self-Assurance
  1. How has the team assured itself that its risk referral processes are adequate and effective and where are the results recorded?

Covers assurance for policy clause

Referral Requirements

Where risks cannot be managed within an individual’s delegated responsibility, the risk shall be formally referred using the DE&S risk referral procedure.

5.8