1. Audit Question Set Section 1.1 Conform to Secretary of State for Defence's Policy
Submitted by developer on Tue, 15/03/2016 - 14:18ASEMS Document Version:
3
Effective From:
Monday, 9 January, 2017 - 00:15
Summary:
The Audit Question Set used as assurance in order to adhere to the policy described in policy clause 1.1.
audit_body_Text:
1.1. These questions address ASEMS Part 1, Clause 1.1 and DSA 01.1, Elements A, C and K
1.1.1. Applicable legislation, defence regulations, policy and guidance
1.1.1.1.
- What legislative, regulatory, certification and standards requirements are applicable to your project and where are they recorded? (SMP01 & EMP01 refer)
- What processes were followed to generate the lists of requirements and where are they documented?
- What checks have been carried out to assure the adequacy and completeness of the requirement lists? (Generic assurance Q)
- How did you confirm the competence of those tasked with generating the lists? (Generic SQEP Q)
- How are changes to legislation, standards, etc, tracked and used to update your requirements lists?
- How are waivers or exemptions from requirements managed and where are their outcomes recorded?
- How are details of requirements retained and protected against loss throughout the life of the project? (Generic Document Control Q)
1.1.2. Organisational leadership, culture, capability and change management
1.1.2.1.
- How were the safety responsibilities of the Team Leader and individual team members established?
- What processes were followed?
- Where are the outputs of such processes recorded? (Generic Document Control Q)
- How are changes to individual’s safety responsibilities tracked and recorded?
- What processes are in place to identify and record the safety responsibilities of key project stakeholders, including Duty Holders? (SMP01 & EMP01 refer)
- Where are the outputs of such processes recorded? (Generic Document Control Q)
- How are significant safety related occurrences and faults reported and addressed?
- What arrangements are in place to enable decision making and the communication of safety related issues between all involved?
- Where are the outputs of such discussions documented? (Generic Document Control Q)
- What arrangements are in place to enable the upward and downward flow of safety related information within the organisation?
1.1.3. Self - assurance
1.1.3.1.
- What internal and / or external oversight has been carried out to assure the adequacy and effectiveness of the above arrangements and their outcomes?