APP_21 — Non-Conformance & Corrective Action Register¶
Document Information
| Field | Value |
|---|---|
| Document Reference | APP_21 |
| 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_21. Two registers operate together:
- Audit-derived CARs (from internal-audit cycles) — published below as the canonical IMS register, cross-referenced from APP_20 Internal Audits Programme.
- Operational NCRs (equipment failures, customer complaints, supplier issues) — held in Leanne Mason's live Excel; the Excel snapshot is the downloadable companion.
Related: APP_20 Internal Audits Programme · APP_22 Accident Statistics · Audit-Readiness Gap Closure tracker
Tip: use the floating button bottom-right to toggle wide-mode (Alt+W).
Purpose¶
To capture and track corrective actions and non-conformities raised across A M Water Services Limited's operations and Integrated Management System. The audit-derived CAR register below is the canonical IMS record for actions raised through internal audits; operational NCRs are held in Leanne Mason's live Excel.
Audit-derived CAR register — 2026 cycle (current) [NEW 2026]¶
11 × CARs raised by the 2026 internal audit cycle (IA202601–IA202616, completed 28/04–19/05/2026). All have named owners and target close dates. 0 Non-conformities raised; all entries are observations / corrective-action requests.
| CAR | Source IA | Element | Owner | Target close | Status |
|---|---|---|---|---|---|
| CAR-2026-001 | IA202601 | 4.1 Context Monitoring — light-touch monthly capture in weekly-call notes | Sean Ashton | 30/06/2026 | open |
| CAR-2026-002 | IA202602 | 6.1.2 APP_06 ↔ APP_05 cross-references for 12 remaining aspects | Sean Ashton | 31/08/2026 | open |
| CAR-2026-003 | IA202603 | 7.2 Three expired training certs (Fire Marshal x2, Emergency First Aid) | Leanne Mason | 31/05/2026 | open (P1) |
| CAR-2026-004 | IA202603 | 7.2 Combined operator-equipment competency matrix | Sean Ashton | 30/09/2026 | open |
| CAR-2026-005 | IA202604 | 8.1 Q2 2026 BCP desktop (cyber + extreme weather) | Sean+Aaron+Leanne | 31/05/2026 | open (P1) |
| CAR-2026-006 | IA202605 | 9.1.2 3-question PM feedback at job close-out for next 5 framework jobs | Aaron Mason | 30/09/2026 | open |
| CAR-2026-007 | IA202613 | 9.3 Worker-consultation roll-up template for September MR | Sean Ashton | 31/08/2026 | open |
| CAR-2026-008 | IA202607 | 8.2 Environmental emergency drill with documented scenarios | Sean+Jason | 30/09/2026 | open |
| CAR-2026-009 | IA202608 | 8.2 Near-miss reporting rate review (90 days) | Jason May | 31/07/2026 | open |
| CAR-2026-010 | IA202615 | 7.4 / 6.1.3 Three visual one-page compliance summaries for notice board | Sean Ashton | 30/09/2026 | open |
| CAR-2026-011 | IA202611 | 7.2 R2W annual sweep calendar entry + 2027 capture | Leanne Mason | 30/04/2027 | open |
P1 pre-audit close-outs: CAR-2026-003 + CAR-2026-005, both target 31/05/2026.
Audit-derived CAR register — 2025 cycle (closure status from 2026 follow-up)¶
23 × CARs were raised by the 2025 internal audit cycle (IA202501–IA2025016, completed 22/09–03/10/2025). The 2026 cycle revisits each item; closure status below reflects the 2026 follow-up.
| CAR | Source IA | Element | 2026 closure status |
|---|---|---|---|
| CAR-2025-001 | IA202501 | 4.1 Interim context monitoring | Partially closed — rolled forward as CAR-2026-001 |
| CAR-2025-002 | IA202502 | 6.3 Management of Change documentation | Closed — 2025–26 IMS rebuild demonstrably exercised SOP 5.2 |
| CAR-2025-003 | IA202502 | 6.1.2 APP_06 ↔ APP_05 cross-references | Partially closed (Aspects 1, 9 done) — rolled forward as CAR-2026-002 |
| CAR-2025-004 | IA202503 | 7.3 Toolbox-talk attendance recording | Closed — TBT_PROG_01 attendance template (04/05/2026) |
| CAR-2025-005 | IA202503 | 7.2 Combined operator-equipment competency matrix | Open — rolled forward as CAR-2026-004 |
| CAR-2025-006 | IA202505 | 9.1.3 Trend analysis methodology under SOP 6.1 | Partially closed — superseded by 2026 KPI simplification |
| CAR-2025-007 | IA202505 | 9.1.2 Customer satisfaction survey | Open — rolled forward as CAR-2026-006 with refreshed action |
| CAR-2025-008 | IA202506 | 10.1 Operative suggestions formal capture | Closed — TBT attendance template + Director Site-Tour record |
| CAR-2025-009 | IA202506 | 10.2 Quarterly NC trend analysis | Closed — standing weekly Director / HSQE compliance call |
| CAR-2025-010 | IA202507 | 14001 8.1 Fuel monitoring trend analysis | Partially closed — addressed via 2025 Carbon Baseline (in train) |
| CAR-2025-011 | IA202507 | 14001 8.2 Environmental drill records | Partially closed — rolled forward as CAR-2026-008 |
| CAR-2025-012 | IA202508 | 45001 8.2 Near-miss reporting rate | Open — rolled forward as CAR-2026-009 |
| CAR-2025-013 | IA202508 | 45001 OH HAVS monitoring schedule | Partially closed — RA_HO_18 + TBT-2026-06 |
| CAR-2025-014 | IA202510 | 6.1.1 Differentiated risk review frequency | Partially closed — continuous-compliance model delivers it informally |
| CAR-2025-015 | IA202510 | 6.1.1 APP_05 ↔ APP_11 cross-references | Partially closed — rolled forward as CAR-2026-002 |
| CAR-2025-016 | IA202511 | 7.2 Informal training capture / sign-off sheets | Partially closed — rolled forward as CAR-2026-004 |
| CAR-2025-017 | IA202513 | 9.3 Management Review minutes structure | Closed — continuous-compliance model + MR-26 agenda being prepared |
| CAR-2025-018 | IA202513 | 9.3 Worker consultation in MR inputs | Partially closed — rolled forward as CAR-2026-007 |
| CAR-2025-019 | IA202514 | 10.2 Quarterly trend report to leadership | Closed — weekly Director / HSQE compliance call |
| CAR-2025-020 | IA202515 | 6.1.3 Quarterly legal register reviews | Partially closed — continuous-compliance model |
| CAR-2025-021 | IA202515 | 7.4 Visual one-page compliance updates | Partially closed — rolled forward as CAR-2026-010 |
| CAR-2025-022 | IA2025016 | 9.1.2 Annual customer satisfaction survey | Open — rolled forward as CAR-2026-006 |
| CAR-2025-023 | IA2025016 | 9.1.2 Quarterly customer feedback analysis | Partially closed — weekly compliance call provides routine review |
Summary of 2025 cycle closure status (reviewed by 2026 cycle):
- Closed: 6 / 23 (CAR-2025-002, 004, 008, 009, 017, 019)
- Partially closed: 13 / 23 — most superseded by the continuous-compliance model or rolled forward to a 2026 CAR
- Open / rolled forward to 2026 cycle: 4 / 23 (CAR-2025-005 → 004; CAR-2025-007 + 022 → 006; CAR-2025-012 → 009)
Operational NCR register¶
Operational NCRs (equipment failures, customer complaints, supplier issues) are held in Leanne Mason's live Excel at the AMWS office. The downloadable Excel snapshot above is a point-in-time copy.
Live Excel details:
- Name: Non-Conformance Log
- Format: Microsoft Excel (Live Document)
- Maintained by: Leanne Mason (with input from Richard Cowdell on equipment items)
- Location: AMWS Office Systems
Information tracked in the live Excel:
- NCR ID number
- Date and person reporting
- Description of problem
- Corrective action taken
- Status (Complete / Started)
- Category (Minor / Major / Observation)
Responsibilities¶
| Role | Responsibility |
|---|---|
| Sean Ashton (HSQE Consultant) | Maintains the audit-derived CAR register on the portal; reviews CAR closures at the standing weekly compliance call |
| Leanne Mason (Director, HR/Admin) | Maintains the operational NCR live Excel; captures customer / supplier / equipment NCRs |
| Richard Cowdell | Equipment-specific NCRs in the live Excel |
| All workers | Report problems immediately; provide details of issues |
Cross-references¶
- APP_20 — Internal Audits Programme (source of audit-derived CARs)
- APP_22 — Accident Statistics (related operational dataset)
- SOP 7.1 — Complaints, NCR & Corrective Action (defines the workflow)
- SOP 7.2 — Continual Improvement
- Audit-Readiness Gap Closure tracker (programme-level CAR view for the June 2026 audit)
This document forms part of A M Water Services Limited's Integrated Management System. The audit-derived CAR register on this page is canonical; the operational NCR live Excel held by Leanne Mason is the source for non-audit items.
Audit trail¶
| Date | Action | By | Details |
|---|---|---|---|
| Prior | See Document Control table above | — | Historical revisions recorded separately |
| 24/04/2026 | Rev 3 drafted | Sean Ashton, HSQE Consultant | 2026 annual refresh. Standardised doc-control header. Added downloadable companion file. Cross-referenced APP_05 (Risk Register), APP_09 (COSHH), APP_10 (Legal Register) where relevant. Audit trail regularised. |
| 04/05/2026 | Audit-derived CAR registers added | Sean Ashton, HSQE Consultant | Page rebuilt to host the audit-derived CAR register on the portal as canonical. Two tables added: 2026 cycle (11 × CAR-2026-001..011, all open with named owners and target dates) + 2025 cycle (23 × CAR-2025-001..023 with 2026 closure status — 6 closed, 13 partially closed, 4 open / rolled forward). Operational NCRs (equipment, customer, supplier) remain in Leanne Mason's live Excel. |
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.
This document forms part of A M Water Services Limited's Integrated Management System. Paper copies are uncontrolled when printed.
Local controlled copy
Word version of this controlled document (for offline / paper records):
The page above is the master source — the Word doc is a snapshot for offline use.