E1-1 IMS Managers Audit (v15)

Information

Depot
Conducted on
Prepared by
Attendees
Location

Scoring 3 - Zero Errors 2 - Minor Errors 1 or 0 - Significant Errors or Not In Place NA - Not Applicable NV - Not Verified

Corporate Manual

A3 Organisational Chart Online—intranet - Present and up-to-date. ✅
B Policies - Current policies are displayed in Reception or Lunch Room (current issue Oct 2014)
F1 Management Review - Management Reviews taking place at least every three months.
F1 Management Review - All areas of agenda have been covered.
F1 Management Review - Confirm that the Hazard Logbook (SBMP 5.02-01) is being reviewed for site/s and any hazards identified are discussed as required.
F1 Management Review - Confirm that the Risk Register (C1-1) is reviewed as part of the MRM at least annually.
F1 Management Review - Minutes must contain - Signatures/initials of all participants, actions minuted, assigned and closed within specified time frames, minutes signed as completed by the manager.
F1 Management Review - Confirm tasks that are not completed are brought forward to the next minutes.
F1 Management Review - SBMP 3.01-06 Supplier Subcontractor Register reviewed online. ✅ Critical (or high risk) suppliers and subcontractors identified and information gathered and reviewed regularly as part of the Management Review Process.
F1 Management Review - A2 Accountability and Responsibility - The Matrix is reviewed as part of F1-2 Management Review Meetings once per annum.
G1 Document Control - Throughout the audit, check that the most current versions of documents are being used. (Verify against online version).
G1 Document Control - Documents used on site and not part of the document controlled IMS system must be recorded on G1-2 Depot Specific Document Control Register.
G1 Document Control - Review G1-2 Depot Specific Register and the listed documents and confirm they are being managed and reviewed on a regular basis. Ensure all documents have an Issue Number & Date, and that staff are using the correct versions.
G1 Document Control - Review G1-2 Depot Specific Register - check that all Site specific RA's and JSEA's developed for the operation of the depot are included on the register.
G2 Record Management - Archiving process - how are old records stored? Reference doc retention when complete.

1. SBMP - General

Section 1.06 Record Retention - SBMP 1.06-01 Filing tabs - Evidence of good record keeping.
Section 1.07 Annual Planner- SBMP 1.07-01 Annual Planner up-to-date.
Section 1.07 Annual Planner- SBMP 1.07-01 Annual Planner - Responsible person/s noted.
Section 1.07 Annual Planner- SBMP 1.07-01Annual Planner - N/A sections noted.

2. SBMP - Workplace Registration

SBMP 2.01 Workplace Registrations - do staff know where to locate the electronic copies of licences on the intranet?

4. SBMP - Consultation and Communication

SBMP 4.02-01 Team Briefing Notes - Minutes taken and attendees noted and signed out (evidence that those not in attendance have been briefed at a later date) - Sales and Admin completed minimum 6 monthly (look at sales only, admin covered in separate admin audit) - All other areas completed minimum 3 monthly (e.g workshop, driving staff, operational staff)
SBMP 4.02-01 Team Briefing Notes - Items clearly detail the issues discussed (e.g. extra notes attached where applicable)
SBMP 4.02-01 Team Briefing Notes - Actions completed within designated timeframes and signed off when completed.
SBMP 4.02-01 Team Briefing Notes - Confirm any issues/hazards raised by workers are documented, actioned and signed out when completed.
SBMP 4.02-01 Team Briefing Notes - Confirm tasks that are not completed are brought forward to the next minutes.
SBMP 4.03 Workplace Alerts - Workplace Alerts are attached to Team Briefs for discussion/training as required.

5. SBMP - Hazard Identification

SBMP 5.01-02 GHI Combined Checklist - Admin and Industrial - Completed and signed off at least 6 monthly for Industrial and at least 12 monthly for Admin (refer to Annual Planner). Note dates of last 2 GHIs completed.
SBMP 5.01-02 GHI - Hazards from GHI's transferred to SBMP 5.02-01 Hazard Log Book.
SBMP 5.02-01 HSE Hazard Log Book - Hazards reported have been remedied within reasonable timeframes and signed out. Note dates of most recent closed out entries.
SBMP 5.2-1 Hazard Log Book - Physically check 3 hazards to ensure they are closed out.

6. SBMP - Risk Management

SBMP 6.01 Risk Management - SBMP 6.01-02 Risk Assessment Form - Completed for vehicles/plant/equipment. Check 2 risk assessments to confirm that control measures listed on the assessment are enforced/implemented at the depot.
SBMP 6.01-02 Risk Assessment - RA-GEN-001 - Site Risk Assessment completed for site operations and updated if any recent changes onsite. Check that items not applicable to the site have been removed and any additional items have been added.
SBMP 6.01-07 Job Safety Environmental Analysis (JSEA) - Completed for high risk tasks/activities undertaken by the site. Check 2 to see if control measures on JSEA are enforced at the depot. (Use risk table at back of assessments as guidance for what is high risk)
SBMP 6.01-07 Job Safety Environmental Analysis (JSEA) - Have applicable staff been trained on the JSEA's and signed off? Is there evidence of this?

7. SBMP - Induction and Training

SBMP 7.01-03 General Induction - Ensure Acknowledgement page of the Handbook has been completed, signed and placed in Training file within the last 5 years.
SBMP 7.01-03 General Induction - Training Record and questionnaire (online LMS or hard copy) has been completed and signed within last 5 years.
SBMP 7.01-01 Site Orientation and relevant Induction Checklist. All staff current (i.e. Every five years). Check 3 employee files and competency matrix. Base selection on various areas i.e. Workshop, admin, ops etc. Provide details of 3 employees - names and area of work.
SBMP 7.01-01 Site Orientation and relevant Induction Checklist - Signed by employee and Manager/Trainer.
SBMP 7.02-01 Training Record/SBMP 7.02-03 Training Attendance List - Sample on-line and paper based training records - Looking for signatures, details of training, competency, etc. provide details of 3 employees checked.
SBMP 7.02 - JJR Learning Management System (LMS) - Evidence depots are using the LMS to train staff. ✅
SBMP 7.02 LMS - Up-to-date (check new employee entries). ✅
TRN-100-02 Vehicle Familiarisation Training (must include at least one Driver Training Assessment for required body type) - Completed for new drivers or drivers changing vehicles as part of Driver Training Operational Assessments (truck/body specific). ✅
TRN-100-02 Vehicle Familiarisation Training - ensure existing drivers all have vehicle familiarisations for the vehicles they operate. ✅
SBMP 7.02-06 Authorisation to Use Equipment - Training Checklist & SBMP 7.02-05 Summary of Equipment Authorised for Use/Training - Evidence that engineering, workshop, tank farm or other plant operation personnel are authorised to use the equipment. (*not required for heavy vehicle operation) View the list of authorised trainers/competency assessors (required for engineering, workshops, tank farm or other plant operation as required.) *Required for Driver Trainers also.
SBMP 7.03 Licence Checks - Driver’s licence checks at least 6-monthly (or before licence renewal due). Ensure copies of licences are on file for ALL people who use company vehicles and updated in the LMS. ✅
SBMP 7.03 Auxiliary Licence Checks - Plant Operator tickets such as fork lift, excavators, loaders etc - Employees assigned to use specific plant are appropriately licenced/competent. Licence information (including expiry dates) is maintained, reviewed and kept up to date in the LMS. ✅

8. SBMP - Rules and Permits

SBMP 8.01-01 Safety Notices & General Rules - Safety Notices and General Rules are displayed.
SBMP 8.01-01 Smoking Signage - Is a designated area established for smoking? Is it signed and not within 4m of entrances to buildings and not near eating areas.
SBMP 8.02-01 Work Permit Assessment - Compulsory Requirement for all sites - Demonstrate an assessment has been completed to determine tasks requiring permits.
SBMP 8.02-02 Hot Work Permit - Completed on each occasion hot work occurs; or, if a designated hot work area, permit is signed, laminated and affixed adjacent to area. Valid for max 3 years, less if change to site operations.
SBMP 8.02-03 Confined Space Entry Permit - Training identified and implemented (LMS and training records in place). Assessment in use where required.
SBMP 8.02-03 Confined Space Entry Assessment - In use where required.
SBMP 8.02-05 High Risk Work Permit - In use required.

9. SBMP - Plant and Equipment Management

SBMP 9.01-01 Special HS&E Management Matrix - Completed and up-to-date.
SBMP 9.01-01 Check (3) tests/checks—intervals marked on Wall Planner (e.g. electrical and fire extinguisher test/tag etc).
SBMP 9.01-02 Fire Fighting Equipment Register in place. Updated 6 monthly (contractor summary/report is acceptable as the depot register).
SBMP 9.02-01 (a) Weekly Maintenance Checklist / SBMP 9.2-1 (b) Monthly Maintenance Checklist. Conducted as per Annual Planner & signed.
SBMP 9.02-01 (a) Weekly Maintenance Checklist / SBMP 9.2-1 (b) Monthly Maintenance Checklist. Faults transferred to the hazard log book and signed off when completed/rectified
SBMP 9.02-03 Vehicle and Plant Spot Checks - conducted at least annually for all vehicles.
SBMP 9.02-03 - Check trucks and/or heavy machinery to see if compliant with spot check requirements (min 3).
SBMP 9.02-03 Check all non-compliances are transferred to EDN (equipment defect notice) or hazard log book and signed out once rectified.
WP-GEN-206 Calibrating and Testing Equipment - Annual calibration to Australian Standard or as per instruction.
FRM-GEN-206-01 List of Calibrated Equipment - List completed and up-to-date.
WP-GEN-206 Calibrating and Testing Equipment / FRM-GEN-206-01 List of Calibrated Equipment - Variances identified and rectified.

10. SBMP - Health, Safety and Environment Risks

SBMP 10.01 Chemical Management - SDS (MSDS) Register - Must be easy to locate and available for Emergency Services - Completed correctly and up-to-date (sample 3-5 chemicals on site).
SBMP 10.01 Chemical Management - Does the SDS Folder include a chemical list (manifest)?
SBMP 10.01 - Staff aware of location/s of SDS folder/s.
SBMP 10.02a-01 Preliminary Noise Assessment (Compulsory requirement for all sites). Demonstrate an assessment has been completed to identify existing and potential noise sources onsite.
SBMP 10.02b-01 Nuisance Noise Assessment - Undertaken in response to noise complaints (check 12.01-01 Customer Feedback Register for external complaints).
SBMP 10.04-01 Odour Mitigation Suggestions - have odour, dust, emissions been identified and practical measures been implemented onsite.
SBMP 10.05 Spill Management / SBMP 10.05-01 Spill Management Matrix - Vehicles have stocked spill kits (check 3 units have correct contents as per SBMP 10.05-01).
SBMP 10.05-01 Workshops, waste storage areas and refuelling bays have clearly labelled spill kits and extra stock of absorbent in stores.
SBMP 10.05-01 No build up of fresh grease/oil in parking areas/work areas.
SBMP 10.05-01 Stormwater drains and wash bay grills free from oil, sediment build up and litter.
SBMP 10.05 Spill Management - Used absorbent is disposed of correctly: Must be treated as regulated / prescribed / hazardous waste unless absorbent complies with leaching standards (i.e. confirmation from supplier or packaging that absorbent complies, or evidence of waste tracking)
SBMP 10.06-02 PPE Register - maintained (sample 3 entries from register to ensure PPE is issued in accordance with PPE Matrix (SBMP 10.06-01).
SBMP 10.06-03 PPE Instruction Booklet - Instruction Booklet available to staff (suggestion that copy be placed with register for reference as required.)
SBMP 10.07 Spray Painting - SBMP 10.07-01 Respirator Protection Log Full Face. - Belt and Booth filters are being replaced and full face log completed. - Replacement times will vary based on amount of use. JSEA must be written for the site stating time frame and reasons why if outside of standard.
SBMP 10.07 Spray Painting - SBMP 10.07-02 Respirator Protection Log Half Face. - Respirator Protection Log - half face is being updated and completed. - Replacement times will vary based on amount of use. JSEA must be written for the site stating time frame and reasons why if outside of standard.
SBMP 10.07-03 Spray Booth Monthly Checklist - The spray booth monthly check is conducted and any issues are noted on SBMP 5.02-01 Hazard Log Book.
SBMP 10.08 Environmental Monitoring - Wall planner lists any site specific monitoring intervals that must be adhered to (if req'd by licence conditions).
SBMP 10.09 Waste Tracking - Check to ensure that waste tracking training records are available for staff required to undertake regulated/prescribed/hazardous waste transport.
SBMP 10.09 Sample 5 Waste Transport Certificates (completed by JJR as part of collection services) to ensure completed correctly- note Certificate Nos. If using electronic system - refer to below.
SBMP 10.09- Review electronic waste tracking process and associated records/electronic system to ensure employees are aware/complying with the process.
SBMP 10.09-01 Change to EPA Transport Details - Check 3 vehicle registrations and waste types against those registered on the intranet. (Qld and Vic only)
SBMP 10.09-01 - Completed for vehicle additions/deletions and waste types. (Qld and Vic only)
SBMP 10.09 Dangerous Goods Transport - Manifest attached to runsheet and completed in full.
SBMP 10.09 Dangerous Goods - Vehicle/s licensed to carry Dangerous Goods.
SBMP 10.09 Dangerous Goods - Driver/s licensed to carry Dangerous Goods.
SBMP 10.09 Dangerous Goods - Vehicles carrying Dangerous Goods are fitted with appropriate Placards (check).
SBMP 10.09 Dangerous Goods - Emergency folder containing Emergency Action Plan (EAP), Emergency Procedure Guides (EPG) etc in drivers' door or sticker on door giving location in cab.
SBMP 10.09 Dangerous Goods - Fire Extinguisher in vicinity of the driver's door.
SBMP 10.09 Dangerous Goods - Eyewash and First Aid Kits in place.
SBMP 10.09 Dangerous Goods - Personal Protective Equipment (PPE) as specified in the EPG's.
SBMP 10.10-01 - Trade Waste Agreement is in place, if required.
SBMP 10.10-01 - Backflow prevention device has current testing certificate, if installed.
SBMP 10.10-01 Oil/water separator checks conducted.
SBMP 10.10-01 Triple interceptor pumped out at least quarterly (check dockets) and waste tracked (view records).
SBMP 10.11 Energy Management - Energy efficiency improvements in place or underway, where possible.
SBMP 10.12 Underground Petroleum Storage - All underground fuel storage tanks have an integrity test every 3 years - Review for currency and provide last integrity test date.
SBMP 10.14 Immunisation - Vaccinations are recorded in Competency Matrix for all relevant employees & records kept on employee personal file.
SBMP 10.14 - Check vaccination status via LMS and copies on file. Identify if employees who are NOT up-to-date with vaccinations and establish why. ✅
SBMP 10.15 Employee Hearing Test - Audiometric Testing) - Employees working in hazardous noise areas have had audiometric testing as part of pre-employment medical or within 3 months of commencing work in the area (if existing employee changing roles) and at least every 2 years. Records to be kept on employee files and within the LMS. ✅
SBMP 10.15 Employee Hearing Test - Audiometric Testing) - Review across workplace and see if any hearing loss has been identified and appropriate workplace investigation/noise management put into place.
SBMP 10.17 Manual Handling - SBMP 10.17a Manual Handling / SBMP 10.17b Workstation Ergonomics / SBMP 10.17c Truck Ergonomic Assessment - Depot can demonstrate manual Handling Training and Ergonomic Assessments (Truck and/or Work Station) have been completed. ✅
SBMP 10.21 Asbestos in the Workplace - Register to be provided by qualified person confirming presence of asbestos or not. (Qld/NSW/ACT: buildings constructed before 2004 / VIC: All buildings regardless of age).
SBMP 10.21 Asbestos Management Plan - Plan to be provided by qualified person if asbestos identified in the above register.
SBMP 10.23 Vegetation and Pest Management - Pest and Vermin inspections are undertaken quarterly during the GHI.
SBMP 10.23-01 Pest and Vermin Management Checklist - To be used at sites where significant vermin concerns have been raised or are expected (e.g. MRF's, Landfill, Transfer Stations)

11. SBMP - Recruitment and Selection

SBMP 11.01 - All new employees have a SBMP 11.01-15 JJR Medical (all employed after 13/05/10).
SBMP 11.01-15 Medical was completed prior to offering employment (check the date of medical against the date of employment on 3 staff - note dates).
SBMP 11.01-15 Musculoskeletal Assessment completed for all blue collar positions (i.e. positions requiring manual labour).
SBMP 11.04 Grievance Process - SBMP 11.04-01 Grievance Process Flowchart. A copy of the flow chart on the notice board or similar for staff to access/view.
SBMP 11.04 Evidence grievance process is discussed with staff annually during a team brief (i.e. to ensure staff remains aware of the process).

Health Safety Environment and Quality - Customer Satisfaction

SBMP 12.01 Customer Feedback - SBMP 12.01-01 Customer Feedback - Complaints registered (using form as record) checked regularly to ensure closed out/signed off.

SBMP 13.0 Accident/Incident Reporting

SBMP 13.0 Accident/Incident Reporting - SBMP 13.0 At Scene incident reports are being used to record incidents at the scene. Blank copy kept in vehicles.
SBMP 13.01 VITS used for recording all reportable incidents, check hard-copies for details and signatures - Kept on site.
SBMP 13.01 - Corrective/preventative actions address the contributing factors identified from the incident.
SBMP 13.02 Accident/Incident Investigation - If a major incident, is there evidence of a Major Incident Investigation having been completed?
Section 13.01D Fatigue Management - Evidence that all fatigue breaches are being monitored and addressed for both j-Track and paper runsheet processes. Site can explain the required process.
Section 13.01F Overloading. FRM-GEN-158-01 Overloading Record Sheet. Evidence that all overloads Major/Minor are being monitored and addressed for both j-Track and paper runsheet processes. Site can explain the required process.

SBMP 14. Emergency Management

SBMP 14.0 Emergency Management - SBMP 14.01-05 Emergency Action - Up-to-date and displayed at key locations/phones. First Aid Officers and Emergency Wardens identified.
RA-GEN-002-1 Generic Emergency Identification & Analysis. - Completed for site. Potential emergencies identified. Items that are not applicable have been removed.
SBMP 14.01-11 Personal Emergency Evacuation Plan - In place for persons who may need assistance in evacuating.
SBMP 14.01-13 Emergency Committee Warden Training Record/TRN 14.02-01 Emergency Committee/Warden Training - Available for all Emergency Wardens. - Check that document has been reviewed annually. - TRN 14.02-01 Completed by all Wardens. ✅
SBMP 14.01 Evacuation Diagrams posted on wall. Evacuation Diagrams displayed in common areas/paths to exits, corresponds to direction the reader is facing (when viewing), shows locations of: - fire fighting equipment, alarm activation points, routes to nearest exit and emergency assembly point.
SBMP 14.01-05 Emergency Reaction Debriefing - Evacuation Practice completed annually, check records. - All actions in debriefing form completed?
SBMP 14.01-07 Visitors Pass & SBMP 14.01-08 Visitor Logbook - Visitor passes / logbook being used to record entry/exit for all non-inducted employees and visitors.

15. SBMP - Return to Work and Rehabilitation

SBMP 15.0 Return to Work and Rehabilitation - Worker's Compensation - Knowledge of Worker's Compensation process (VITS and External Notification as per SBMP 15.01-04 Injury Management Flowchart).
SBMP 15.0 Return to Work and Rehabilitation- Workers Compensation files and correspondence secure and separated from other employee files.

16. SBMP - IT Usage Policies

Sect 16.0 I.T. Polices - Evidence Policies are being reviewed and acceptance is signed every 5 years and filed in employee personnel files.✅
Sect 16.0 I.T. Polices - Evidence acknowledgment completed for all mobile phone holders. ✅
Sect 16.0 I.T. Polices - Evidence all staff have completed Sect 16.07 Social Media Policy (Compulsory) ✅

17. SBMP - Fitness for Work

SBMP 17.01 Fitness for Work Training (Compulsory for all staff) - All staff must have completed one of the listed questionnaires. TRN 17.01-01, 17.01-02 Driver NSW, 17.01-03 Driver Qld and Vic, 17.01-05 BFM.

Workshop/Fleet/Engineering

SN-GEN-251 Extension Ladders - (Notice is displayed with ladders) - Where an extension ladder is required, the following has been considered - alternatives, the position of the ladder, access and egress.
WP-GEN-216 Change to Vehicle Details - Keyed directly to Unit (Truck) Master - Have you compared unit (truck) master with all units in your department/s? Verify and note 3 unit numbers are in the correct department.
WP-GEN-216 Change to Vehicle Details - Have you reported all discrepancies to Fleet/Finance via the Truck/Unit master change details request?

Comments

Comments:
Add media
Auditor Name:
Auditee Name:

E1-1 IMS Managers Audit (v15)

Go digital today!

Convert your paper checklists into digital forms

Scoring 3 - Zero Errors 2 - Minor Errors 1 or 0 - Significant Errors or Not In Place NA - Not Applicable NV - Not Verified

Corporate Manual

1. SBMP - General

2. SBMP - Workplace Registration

4. SBMP - Consultation and Communication

5. SBMP - Hazard Identification

6. SBMP - Risk Management

7. SBMP - Induction and Training

8. SBMP - Rules and Permits

9. SBMP - Plant and Equipment Management

10. SBMP - Health, Safety and Environment Risks

11. SBMP - Recruitment and Selection

Health Safety Environment and Quality - Customer Satisfaction

SBMP 13.0 Accident/Incident Reporting

SBMP 14. Emergency Management

15. SBMP - Return to Work and Rehabilitation

16. SBMP - IT Usage Policies

17. SBMP - Fitness for Work

Workshop/Fleet/Engineering

Comments

Related checklists

E1-1 IMS Managers Audit (v15)

Free E1-1 IMS Managers Audit (v15) Checklist

Go digital today!

Convert your paper checklists into digital forms

Scoring 3 - Zero Errors 2 - Minor Errors 1 or 0 - Significant Errors or Not In Place NA - Not Applicable NV - Not Verified

Corporate Manual

1. SBMP - General

2. SBMP - Workplace Registration

4. SBMP - Consultation and Communication

5. SBMP - Hazard Identification

6. SBMP - Risk Management

7. SBMP - Induction and Training

8. SBMP - Rules and Permits

9. SBMP - Plant and Equipment Management

10. SBMP - Health, Safety and Environment Risks

11. SBMP - Recruitment and Selection

Health Safety Environment and Quality - Customer Satisfaction

SBMP 13.0 Accident/Incident Reporting

SBMP 14. Emergency Management

15. SBMP - Return to Work and Rehabilitation

16. SBMP - IT Usage Policies

17. SBMP - Fitness for Work

Workshop/Fleet/Engineering

Comments

Related checklists