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APP_10 — Legal & Compliance Requirements Register with Evaluation

Document Information

Field Value
Document Reference APP_10
Issue Number 3
Issue Date 1 June 2026
Next Review 1 June 2027
Controlled By Sean Ashton (HSQE Consultant)
Approved By Aaron Mason, Director

Master source — this page is canonical

The IMS portal is the master source for APP_10. The Excel below is a downloadable snapshot — 65 rows of legal & compliance requirements with compliance-status column, filters pre-applied, and a horizon-scan section for emerging UK regulation.

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Related: APP_05 Risk & Opportunity Log · APP_06 Aspect Identification Log

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Document control

Rev Changes Date Approved By
1 Initial Issue 01/06/2024 Aaron Mason
2 Annual Review — updated compliance status, added Modern Slavery Act requirements 01/06/2025 Aaron Mason
3 2026 annual refresh. Added nine new pieces of legislation in force since mid-2025 (Water (Special Measures) Act 2025; Worker Protection Act 2023 in force Oct 2024; Data (Use and Access) Act 2025 + NUAR; Employment Rights Act 2025; Building Safety Act 2022 commencement SI 2025/1368; Sentencing Guidelines for Organisations 2024; PFAS-related monitoring). Added REUL / Assimilated Law status section. Added ISO standards transition plan (ISO 14001:2026, ISO 9001:2026, ISO 45001:2027). Verified every citation against legislation.gov.uk / HSE / DWI as at 24 April 2026. Sources cited in Section 9. Downloadable Excel companion added. 01/06/2026 Aaron Mason

1. Purpose

This register identifies the legal and other compliance requirements applicable to A M Water Services Limited and evaluates the organisation's compliance with each. As a water-infrastructure contractor, our compliance focus is on:

  • Water-industry regulations (WIRS, water quality, water safety planning)
  • Construction safety (CDM, PUWER, LOLER, confined spaces, work at height)
  • Environmental protection (permitting, waste, pollution prevention, PFAS monitoring)
  • Quality and management-system standards (ISO 9001 / 14001 / 45001)
  • Employment law, corporate governance, financial compliance

2. Scope

This register covers all legal and compliance requirements relevant to:

  • Water main installation, service connections, and Self-Lay (SLP) scheme construction (WIRS)
  • Water infrastructure repairs, commissioning, disinfection, and maintenance
  • Grab-hire and muck-away services
  • Highway working and temporary traffic management
  • Environmental protection during excavation and dewatering
  • Health and safety for construction workers
  • Quality management for water-infrastructure delivery
  • Financial and corporate governance
  • Employment and people-management

3. Evaluation criteria

Each requirement is evaluated against a consistent scale:

  • Fully Compliant — all requirements met with documented evidence
  • Substantially Compliant — minor gaps; action plan in place with a target date
  • Partially Compliant — significant gaps requiring management attention
  • Non-Compliant — major gaps requiring urgent remedial action
  • Monitoring — emerging legislation or regulator guidance; not yet in force but on our radar
  • Not Applicable — requirement does not apply to current operations

4.1 Health & Safety legislation

Ref Legislation Applicability Compliance measures Last assessed Status Next review
L1 Health and Safety at Work etc. Act 1974 Primary duty for all operations IMS Manual, HSQE Policy, risk assessments, toolbox talks 24/04/2026 Fully Compliant 01/06/2027
L2 Construction (Design and Management) Regulations 2015 Water-infrastructure construction work Principal-contractor duties where applicable, construction-phase plans, F10 notifications, site welfare 24/04/2026 Fully Compliant 01/06/2027
L3 Management of H&S at Work Regulations 1999 Risk assessment & management RAMS programme, risk registers, safe systems of work 24/04/2026 Fully Compliant 01/06/2027
L4 Confined Spaces Regulations 1997 Work in chambers, deep excavations Confined-space procedures, rescue plans, gas monitoring, specialist training 24/04/2026 Fully Compliant 01/06/2027
L5 Work at Height Regulations 2005 Excavation edges, access/egress Edge protection, ladder safety, excavation support, training records 24/04/2026 Fully Compliant 01/06/2027
L6 Manual Handling Operations Regulations 1992 Pipe and material handling Manual-handling assessments, mechanical aids, training, task rotation 24/04/2026 Fully Compliant 01/06/2027
L7 COSHH Regulations 2002 Chlorine, fuels, solvents, waterborne hazards 24 COSHH assessments (see APP_09), PPE, health surveillance (inc. benzene per HSE EH70) 24/04/2026 Fully Compliant 01/06/2027
L8 Personal Protective Equipment at Work (Amendment) Regulations 2022 PPE provision for workers incl. limb (b) PPE matrix, free issue, training, replacement; 2022 amendment extends to workers beyond employees 24/04/2026 Fully Compliant 01/06/2027
L9 RIDDOR 2013 Accident, disease, dangerous-occurrence reporting Incident procedures (SOP 8.1), HSE online reporting, investigation, record-keeping 24/04/2026 Fully Compliant 01/06/2027
L10 Provision & Use of Work Equipment (PUWER) 1998 Excavators, tools, equipment Equipment register, inspection schedules, operator training, maintenance records 24/04/2026 Fully Compliant 01/06/2027
L11 Lifting Operations & Lifting Equipment (LOLER) 1998 Excavator lifting, pipe handling, lorry loaders LOLER certificates, lifting plans, competent persons, 6-monthly thorough examinations 24/04/2026 Fully Compliant 01/06/2027
L12 Control of Noise at Work Regulations 2005 Construction-noise exposure Noise assessments, hearing protection, audiometry, low-noise equipment 24/04/2026 Fully Compliant 01/06/2027
L13 Control of Vibration at Work Regulations 2005 Hand-arm vibration (HAVS) from breakers, disc-cutters HAVS assessments, tool rotation, health monitoring, low-vibration tools 24/04/2026 Substantially Compliant HAVS monitoring app to be implemented — target 01/07/2026
L14 Electricity at Work Regulations 1989 Electrical safety on sites PAT testing, 110 V equipment, RCD protection, competent electricians 24/04/2026 Fully Compliant 01/06/2027
L15 Corporate Manslaughter and Corporate Homicide Act 2007 Corporate liability for H&S failures Clear responsibilities, board oversight, safety-culture programme, Management Review 24/04/2026 Fully Compliant 01/06/2027
L15a Sentencing Council Guideline: H&S offences, corporate manslaughter Sentencing framework — turnover-based fines Budget H&S spend at ≥ 1% turnover, mitigate through demonstrable culture, maintain clean RIDDOR record 24/04/2026 Monitoring Update annual — fines for large turnover bands increased 2024
L15b Dangerous Substances & Explosive Atmospheres Regs (DSEAR) 2002 Storage & use of petrol, diesel, 2-stroke, aerosols DSEAR assessment for fuel storage cabinet; ignition-source controls; labelled containers 24/04/2026 Fully Compliant 01/06/2027

4.2 Water-industry specific

Ref Legislation / Guidance Applicability Compliance measures Last assessed Status Next review
L16 Water Industry Act 1991 Water-infrastructure standards WIRS procedures, quality standards, approved materials, testing protocols 24/04/2026 Fully Compliant 01/06/2027
L17 Water Supply (Water Quality) Regulations 2016 Drinking-water protection Hygiene procedures, disinfection protocols (SOP + MS 3.6), material compliance, EUSR Water Hygiene cards 24/04/2026 Fully Compliant 01/06/2027
L18 WIRS (Water Industry Registration Scheme) — Lloyd's Register operated Self-lay accreditation (SLP work) WIRS accreditation current, annual audits, competency matrix, quality procedures 24/04/2026 Fully Compliant WIRS surveillance audit 01/09/2026
L19 Water Supply (Water Fittings) Regulations 1999 Approved materials and fittings WRAS-approved materials only, installation standards, backflow prevention, compliance certificates 24/04/2026 Fully Compliant 01/06/2027
L20 Private Water Supplies (England) Regulations 2016 Private-supply connections Risk assessments, sampling procedures, local-authority liaison, records 24/04/2026 Fully Compliant 01/06/2027
L21 Flood and Water Management Act 2010 Sustainable drainage SuDS awareness, flood-risk assessment, emergency procedures, environmental protection 24/04/2026 Fully Compliant 01/06/2027
L21a Water (Special Measures) Act 2025 — Royal Assent 24 Feb 2025 Stricter duties on water companies we contract for Expect tighter audit / documentation / spill-reporting expectations from clients. Monitor client-pass-through clauses in new contracts. 24/04/2026 Monitoring Review contracts awarded from Q2 2026
L21b DWI — Water Safety Planning Guidance, June 2025 v1.0 Water-safety plans (WSPs) — contractor obligations Ensure all commissioning/disinfection work records feed client WSPs. Evidence chlorination logs, sampling, sign-off to client's WSP format 24/04/2026 Fully Compliant 01/06/2027
L21c PFAS — UK restriction proposals (UK REACH) Per- and polyfluoroalkyl substances — future material restrictions Monitor supplier SDSs for PFAS content; no current use of known PFAS-containing fluids 24/04/2026 Monitoring Review Q4 2026 following HSE RMOA

4.3 Highway & street works

Ref Legislation Applicability Compliance measures Last assessed Status Next review
L22 New Roads and Street Works Act 1991 (NRSWA) Street-works operations NRSWA qualifications, permit schemes, Specification for the Reinstatement of Openings in Highways (SROH), guarantee periods 24/04/2026 Fully Compliant 01/06/2027
L23 Traffic Management Act 2004 Highway working Chapter 8 compliance, TM operatives, permit conditions, fixed penalty notices 24/04/2026 Fully Compliant 01/06/2027
L24 Highways Act 1980 Highway-authority requirements Section 50 licences, highway inspections, defect-liability period, coordination 24/04/2026 Fully Compliant 01/06/2027
L25 Traffic Signs Regulations and General Directions 2016 Temporary traffic management Approved signage per TSRGD, Chapter 8 layout, regular inspections 24/04/2026 Fully Compliant 01/06/2027
L25a Data (Use and Access) Act 2025 — Part 3 (National Underground Asset Register, NUAR) Statutory underground-asset searches replacing LSBUD Migrate from LSBUD to NUAR when mandated — DESNZ timetable TBC. Review CAT-scan procedures to include NUAR dataset. Train operatives on NUAR output formats. 24/04/2026 Monitoring Review Q3 2026

4.4 Environmental legislation

Ref Legislation Applicability Compliance measures Last assessed Status Next review
L26 Environmental Protection Act 1990 Waste management, pollution Waste procedures (SOP 9.4), duty of care, transfer notes, licensed carriers 24/04/2026 Fully Compliant 01/06/2027
L27 Environmental Permitting (England and Wales) Regulations 2016 Discharge consents, waste exemptions Permit register, compliance monitoring, discharge controls, waste-exemption renewals 24/04/2026 Fully Compliant 01/06/2027
L28 Control of Pollution Act 1974 Noise, water pollution Time restrictions, pollution-prevention plans, spill procedures, monitoring 24/04/2026 Fully Compliant 01/06/2027
L29 Wildlife and Countryside Act 1981 Protected species / habitats Ecological surveys, method statements, seasonal restrictions, training 24/04/2026 Fully Compliant 01/06/2027
L30 Water Resources Act 1991 Abstraction, discharge EA notifications, dewatering controls, settlement monitoring, water protection 24/04/2026 Fully Compliant 01/06/2027
L31 Clean Air Act 1993 Dust and emissions Dust suppression, Euro 6 vehicles, monitoring 24/04/2026 Substantially Compliant Fleet update plan — two vehicles pending 01/12/2026
L32 Waste (England and Wales) Regulations 2011 Waste hierarchy, duty of care Waste minimisation, recycling targets, audit trail, annual returns 24/04/2026 Fully Compliant 01/06/2027
L32a Environment Act 2021 — Part 3 (waste and resource efficiency) & Part 4 (air quality) Extended producer responsibility, deposit-return schemes, air-quality targets Monitor commencement orders; current operations already meet duty-of-care baseline 24/04/2026 Fully Compliant 01/06/2027

4.5 Data protection & business

Ref Legislation Applicability Compliance measures Last assessed Status Next review
L33 UK GDPR & Data Protection Act 2018 Customer/employee data Privacy policies, data procedures, staff training, ICO registration 24/04/2026 Fully Compliant Annual training refresh 01/10/2026
L33a Data (Use and Access) Act 2025 — Royal Assent 19 June 2025 Updates to UK data-protection regime; smart-data schemes; NUAR (see L25a) Review ICO registration and privacy notices against DUAA amendments; update DP policy Q3 2026 24/04/2026 Monitoring Review 01/09/2026
L34 Companies Act 2006 Company governance Annual returns, board meetings, statutory books, director duties 24/04/2026 Fully Compliant 01/06/2027
L35 Corporation Tax Act 2010 Tax compliance Tax returns, records, capital allowances 24/04/2026 Fully Compliant 01/06/2027
L36 Employment Rights Act 1996 Employment protections Contracts, policies, procedures, tribunal compliance 24/04/2026 Fully Compliant 01/06/2027
L36a Employment Rights Act 2025 — Royal Assent 18 Dec 2025 Day-one unfair-dismissal rights, zero-hours changes, sick-pay reform, new Fair Work Agency Phased commencement 2026-2027. Review contracts of employment and HR procedures by Q4 2026. Refresh grievance/discipline policies. 24/04/2026 Monitoring Review 01/10/2026 with HR
L37 Working Time Regulations 1998 Working hours / rest Time tracking, rest breaks, holiday records, opt-outs 24/04/2026 Fully Compliant 01/06/2027
L38 National Minimum Wage Act 1998 Minimum-wage compliance Pay reviews against NMW / NLW rates (uplifted 01/04/2026), records, deductions 24/04/2026 Fully Compliant 01/06/2027
L39 Equality Act 2010 Non-discrimination Equal-opportunities policy, reasonable adjustments, training, monitoring 24/04/2026 Fully Compliant 01/06/2027
L39a Worker Protection (Amendment of Equality Act 2010) Act 2023 — in force 26 Oct 2024 New employer duty to prevent sexual harassment Sexual-harassment risk assessment completed, policy updated, training records, reporting channel 24/04/2026 Substantially Compliant Refresh training and complete risk-assessment review by 01/09/2026
L40 Bribery Act 2010 Anti-bribery Anti-bribery policy (POL_HSQE_04), due diligence, training 24/04/2026 Fully Compliant 01/06/2027
L41 Modern Slavery Act 2015 Supply-chain ethics Supplier vetting (PQQ process), policy statement, due diligence, training 24/04/2026 Fully Compliant 01/06/2027
L42 Public Contracts Regulations 2015 (now superseded for most contracts) Public-sector tendering Tender compliance, transparency, equal treatment, records 24/04/2026 Fully Compliant 01/06/2027
L42a Procurement Act 2023 — in force 24 Feb 2025 New public-procurement framework replacing PCR 2015 Tender templates updated; supplier due-diligence aligned to new regime 24/04/2026 Fully Compliant 01/06/2027

4.6 Quality & professional standards

Ref Standard / Scheme Applicability Compliance measures Last assessed Status Next review
L43 ISO 9001:2015 Quality management system QMS procedures, internal audits, management reviews, certification current to 23 Nov 2027 24/04/2026 Fully Compliant Surveillance audit 01/09/2026
L43a ISO 9001:2026 (Final Draft) — publication expected Q4 2026 Upcoming revision — 3-year transition Transition plan to be drafted in Q4 2026 following FDIS publication. Align with recertification cycle Nov 2027. 24/04/2026 Monitoring Review 01/10/2026
L44 ISO 14001:2015 Environmental management EMS procedures, aspect register (APP_06), objectives, certification to 23 Nov 2027 24/04/2026 Fully Compliant Surveillance audit 01/09/2026
L44a ISO 14001:2026 — FDIS released Jan 2026, publication April 2026 Upcoming revision — 3-year transition (deadline ~May 2029) Transition plan to be drafted Q3 2026. Key changes: climate-change consideration explicit, stronger life-cycle perspective, digital records acceptable. 24/04/2026 Monitoring Review 01/09/2026
L45 ISO 45001:2018 H&S management system OHSMS procedures, worker participation, risk controls, certification to 23 Nov 2027 24/04/2026 Fully Compliant Surveillance audit 01/09/2026
L45a ISO 45001 revision — publication expected March 2027 Upcoming revision — 3-year transition Transition plan to be drafted Q2 2027 following publication 24/04/2026 Monitoring Review 01/03/2027
L46 EUSR National Water Hygiene Water-hygiene competence Training records, refresher schedule, card validity, competency matrix 24/04/2026 Fully Compliant 01/06/2027
L47 NRSWA Unit 1-10 operative / unit 001 supervisor qualifications Street-works qualifications Unit certificates, 5-year re-assessment, skills matrix 24/04/2026 Fully Compliant 01/06/2027
L48 Construction Skills Certification Scheme (CSCS) Site-access requirements CSCS cards, CITB H&S test records, NVQ tracking, renewal schedule 24/04/2026 Fully Compliant 01/06/2027

4.7 Vehicle & transport

Ref Legislation Applicability Compliance measures Last assessed Status Next review
L49 Road Traffic Act 1988 Vehicle operations MOT / VED / insurance, driver licensing, roadworthiness, defect reporting 24/04/2026 Fully Compliant 01/06/2027
L50 Goods Vehicles (Licensing of Operators) Act 1995 Grab-lorry operations O-Licence (Goods Vehicle Operator's Licence) compliance, maintenance records, drivers' hours 24/04/2026 Fully Compliant 01/06/2027
L51 Road Vehicles (Construction and Use) Regulations 1986 Vehicle specifications Weight limits, load security, safety equipment, modifications 24/04/2026 Fully Compliant 01/06/2027
L52 Carriage of Dangerous Goods Regulations (CDG) 2009 Chlorine and fuel transport ADR 2025 compliance, driver training, documentation, emergency info 24/04/2026 Fully Compliant 01/06/2027
L52a Driver and Vehicle Standards Agency — Earned Recognition Voluntary compliance scheme — grabber fleet eligibility Monitor eligibility; current fleet size and record support an application 24/04/2026 Monitoring Review Q3 2026

4.8 Sector-specific industry standards

Ref Standard / Scheme Applicability Compliance measures Last assessed Status Next review
L53 Water UK Standards / Principles Industry best practice Adherence to standards, technical bulletins, training updates 24/04/2026 Fully Compliant 01/06/2027
L54 IGN 4-01-03 (self-lay) and IGN 4-23-04 (commissioning mains) Self-lay and commissioning procedures Design approval, installation standards, testing protocols, adoption process 24/04/2026 Fully Compliant 01/06/2027
L55 Civil Engineering Contractors Association (CECA) Industry standards Member compliance, best practice, CPD, updates 24/04/2026 Fully Compliant 01/06/2027
L56 Considerate Constructors Scheme Site standards Registration, Code compliance, monitoring visits, improvement plans 24/04/2026 Fully Compliant 01/06/2027

4.9 Building safety (watching brief)

Ref Legislation Applicability Compliance measures Last assessed Status Next review
L57 Building Safety Act 2022 — continuing commencement via SI 2025/1368 Currently low direct relevance — AMWS not working on higher-risk buildings. Watching brief in case client scope expands. BSR sits within HSE. Policy in place (POL_HSQE_28). Review any future HRB-adjacent enquiries. 24/04/2026 Fully Compliant 01/06/2027

5. Retained EU Law / assimilated-law status

The Retained EU Law (Revocation and Reform) Act 2023 (REUL Act) received Royal Assent on 29 June 2023. Since 1 January 2024, what was formerly "retained EU law" is now known as assimilated law in the UK statute book.

Ministerial revocation / amendment powers: Government ministers retain broad powers (sections 11–16 of the REUL Act) to restate, revoke, replace or update assimilated law. Most of these powers sunset on 23 June 2026 — we are tracking any late-stage SIs affecting our domain between now and that date.

Relevance for AMWS (as at 24 April 2026):

  • Core UK-origin legislation in this register (HSWA 1974, CDM 2015, RIDDOR 2013, etc.) is unaffected by the REUL Act.
  • UK REACH (assimilated from EU REACH) continues to apply — monitored under L21c (PFAS).
  • CLP Regulation (EC) 1272/2008 (assimilated) continues to apply — drives the H/P codes in our COSHH register (APP_09).
  • The Retained EU Law Dashboard shows approximately 67% of REUL unchanged; no imminent revocations affecting our scope are flagged.

6. Review and update

This register is reviewed:

  • Monthly — priority actions and any new incidents / client-contract changes
  • Quarterly — comprehensive compliance check across all 65 entries
  • Annually — full review with management, aligned to Management Review cycle
  • Ad-hoc — when new legislation or significant regulator guidance is published

Every entry in Column F ("Last assessed") was refreshed on 24 April 2026 as part of this Rev 3 update.

7. Responsibilities

Role Responsibilities
Directors (Aaron Mason, Leanne Mason) Ultimate accountability for legal compliance
Supervisor (Jason May) Day-to-day operational compliance
HSQE Consultant (Sean Ashton, Onyx Operations) Maintain this register, coordinate reviews, horizon-scan for new legislation
Site supervisors Ensure site-level compliance with applicable requirements
All operatives Follow procedures; report non-compliances or concerns

9. Sources consulted for this review

Sources checked during the April 2026 refresh to verify currency of every citation:

10. Audit trail

Date Action By Details
01/06/2024 Rev 1 issued Aaron Mason Initial register
01/06/2025 Rev 2 issued Aaron Mason Annual review; Modern Slavery Act added
24/04/2026 Rev 3 drafted Sean Ashton, HSQE Consultant 9 new legislative entries added; REUL/assimilated-law section added; ISO standards transition plans added; NUAR (DUAA 2025) added; every citation verified against legislation.gov.uk and regulator sources; Excel companion produced

This document forms part of A M Water Services Limited's Integrated Management System. Paper copies are uncontrolled — always check the current version on the IMS site.


How this document is approved

This document is maintained under AMWS's continuous-compliance model. Substantive revisions are reviewed and signed off by the Directors at the standing weekly Director / HSQE compliance call (Sean Ashton, Onyx + Leanne Mason). Currency, cross-references and minor edits are checked at the monthly Onyx site visit. The annual Management Review (September) provides the strategic-level confirmation. Compliance is therefore continuous, not gated on a single annual meeting.

Local controlled copy

Word version of this controlled document (for offline / paper records):

Download APP_10 (.docx)

The page above is the master source — the Word doc is a snapshot for offline use.