Audit Question Set Section 4.8 Accident and Incident Records

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These questions can be used as an aid to assure that your project adheres to the policy briefed in clause 4.8 of the Statute Policy mandated by Defence Regulators which states;

Operating Centres, Delivery Teams or equivalent shall monitor and record accidents, incidents and near misses where the performance of their Product, Systems or Services results in harm to individuals or damage to the environment and use this information to keep their risk assessments valid.

- Policy Clause 4.8 Accident and Incident Records
These questions address ASEMS Part 1, Clause 4.8 and DSA 01.1, Elements C and K.
Organisational Leadership, Culture, Capability and Change Management
  1. What processes and resources are in place to capture, record and address the outcomes of accidents and incidents and where are details of these recorded?
  2. How are such details maintained and protected against loss?
  3. How are details of accidents and incidents used to influence or support safety claims and arguments?
Self-Assurance
  1. How have you assured that your accident and incident management system is adequate and effective and where are the details recorded?

Covers assurance for policy clause

Accident and Incident Records

Operating Centres, Delivery Teams or equivalent shall monitor and record accidents, incidents and near misses where the performance of their Product, Systems or Services results in harm to individuals or damage to the environment and use this information to keep their risk assessments valid.

4.8

Assures Procedures

EMP04

Environmental Impact Screening and Scoping

This procedure describes how to carry out a screening and scoping exercise to identify the project’s actual and potential environmental impacts and prioritise impacts according to environmental significance, business risk and ability to influence operational controls, allowing Delivery Teams to decide where to focus their efforts.

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.

SMP03

Safety Planning

This procedure guides the development of a Safety Management Plan which defines the Safety strategy, ensuring acceptable Safety performance through life.

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.

SMP09

Risk Acceptance

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

SMP11

Hazard Log

This procedure provides guidance for the continual recording of hazards, accidents and accident sequences, including risk management information, in the Hazard Log.

SMP13

In-Service Safety Management System

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