| Ref | Raised | Source | Clause | Finding | Owner | Target | Status | Closed |
|---|
To capture and track corrective actions and non-conformities raised across A M Water Services Limited's operations and Integrated Management System. Audit-derived CARs are held on individual corrective action reports; those reports are the master record and this register is generated from them. Operational NCRs (equipment, customer and supplier issues) are held in Leanne Mason's live Excel at the AMWS office.
This register holds management-system findings only — corrective actions raised
by the internal audit cycles and by the Management Review against the IMS itself. Each row
is generated from its own corrective action report under docs/audits/cars/;
those reports are the master record and this register is a view of them.
Operational and equipment nonconformities are not held here. They sit on the live NCR register kept on site by Leanne Mason, which is the master record for that work: plant and equipment failures, customer complaints and supplier issues. It is a working register maintained as the events happen, and it is the source to consult for the current operational position. Nothing on it is reproduced or summarised in this document.
The two are kept apart deliberately. A finding about how the management system operates is evidenced and closed differently from a broken pump or a late delivery, and merging them would make both harder to audit.
Every entry is classified on one test: is there objective evidence that a specified requirement has not been fulfilled? A requirement here means a clause of ISO 9001, ISO 14001 or ISO 45001, an AMWS procedure or work instruction, a legal or regulatory duty, or a client or contractual requirement.
Nonconformity — a requirement has not been fulfilled. Clause 10.2 applies in full: react and correct, establish the cause, act to prevent recurrence, and review the effectiveness of what was done.
Observation — the requirement is fulfilled and the control is working, but the arrangement could be made more effective, more robust or easier to sustain. The standard requires no corrective action for an observation.
Of the 41 entries on this register, 3 are classified as nonconformities and 38 as observations. Each report carries its classification in its own header alongside the source of the finding.
AMWS applies the full Clause 10.2 discipline to observations as well — cause, action, owner, target and verification — as a matter of policy rather than obligation. That is why every report on this register has the same shape whatever its classification.
Observations raised against the IMS are tracked here rather than on a separate improvement log, so that the management-system improvement record sits in one place.
| Role | Responsibility |
|---|---|
| Sean Ashton HSQE Consultant | Maintains the audit-derived CAR register; reviews CAR closures at the standing weekly compliance call |
| Leanne Mason Director, HR & Admin | Owns the live on-site NCR register, which is the master record for operational and equipment nonconformities |
| Laura Walden Finance & Compliance Assistant | Captures operational and equipment NCRs onto the live on-site register |
| All workers | Report problems immediately and provide details of issues |
A finding rolled forward without its underlying position changing is being deferred rather than corrected. Clause 10.2 asks whether the action taken was effective, not whether it was recorded. Every remaining roll-forward is to be closed with evidence, escalated, or formally accepted as a decision not to act. CAR-2026-009 is the worked example: near-miss reporting was carried for two full cycles with the figure unchanged at zero, so it became objective H4 in APP_11 rather than being re-dated a third time.
Maintained under the continuous-compliance model. Substantive revisions are reviewed and signed off by the Directors at the standing weekly Director / HSQE compliance call. Currency, cross-references and minor edits are checked at the monthly Onyx site visit. The annual Management Review in September provides the strategic-level confirmation.
| Issue | Date | Approved by | Change |
|---|---|---|---|
| 1 | 01/06/2024 | Aaron Mason, Director | Initial issue. |
| 2 | 01/06/2025 | Aaron Mason, Director | Annual review. |
| 3 | 04/05/2026 | Aaron Mason, Director | Register brought onto the portal as the controlled record, and the two-source pattern formalised. The audit-derived CAR register became portal-held and canonical, covering the 2026 cycle (CAR-2026-001 to -011) and the 2025 cycle (CAR-2025-001 to -023) reviewed against the current state of the IMS. Operational and equipment NCRs remain on Leanne Mason's live on-site register, which is their master record. Both controllers named on the document-control band. |
| 4 | 13/05/2026 | Aaron Mason, Director | Closure status reframed to a binary, and the 2025 cycle reconciled. Every 2025 CAR previously marked "partially closed" was re-stated as either closed with substantive resolution or open and rolled forward to a named 2026 CAR, removing the ambiguity of a middle state. Tally: 12 closed, 11 rolled forward. The same treatment was applied across the sixteen 2026 internal audit reports. No new CARs raised and no data changed. |
| 5 | 26/05/2026 | Aaron Mason, Director | First 2026-cycle closures. CAR-2026-005 closed on the Q2 business continuity desktop exercise held 26/05/2026, with the Site Supervisor absence scenario walked through and the deputising arrangement confirmed effective. CAR-2026-003 closed on both Fire Marshal certificates being renewed and evidenced, with the outstanding Emergency First Aid booking flagged as a residual item on close. |
| 6 | 01/06/2026 | Aaron Mason, Director | Three CARs raised from the interim Management Review. CAR-2026-012 QR coding for plant equipment, CAR-2026-013 training module scope, and CAR-2026-014 SMSTS training for the Managing Director. Each with a named owner and target date. |
| 7 | 09/09/2026 | Aaron Mason, Director | September reconciliation: four closures, one measure re-scoped, and a control change on closure evidence. CAR-2026-001, -002, -007 and -010 closed with evidence, which between them also closed the substance of five 2025 transfers. CAR-2026-009 was re-scoped rather than re-dated: near-miss reporting became objective H4 in APP_11, measured through the weekly review, so the measure now sits where it is reviewed each week. CAR-2026-015 raised on the Fire Marshal and first-aid certificate renewals, and a control change follows from it — closure evidenced by a certificate now requires the expiry date on the closure note, and a certificate with under six months to run does not close a CAR on its own. A system-wide cross-reference pass added a Related documents section to every controlled document. |
| 8 | 15/09/2026 | Aaron Mason, Director | Two reports added from the document-control sweep. |
| 9 | 27/09/2026 | Aaron Mason, Director | Register generated from the corrective action reports, and the records completed to Clause 10.2.2(b). The register is generated from the forty corrective action reports, so the reports are the single source and the register is a view of them. The ratified dispositions are recorded on the twenty-three 2025 records, and a verification outcome is recorded against every criterion on twenty-seven records. Criteria are judged against whether the finding was addressed, and where a different control was adopted it is named. Close-out blocks completed for twenty-one closures. Six findings transferred to a later CAR carry a terminal state on the record they came from. The register now carries its own document control and the appendix page is a pointer to it. Revision history consolidated at this issue — thirteen rows merged into nine by the work they record, each group keeping the earliest date of its members, and the issue numbering re-based from 14 to 9 to match. The pre-consolidation history is retained alongside this register. |
| 10 | 05/10/2026 | Leanne Mason, Director | Classification reviewed. CAR-2026-016 and CAR-2026-017 withdrawn. Each was raised against a matter identified and corrected within the same review cycle, where no requirement was left unfulfilled, so neither met the definition of a nonconformity. The register carries one nonconformity, CAR-2026-015. |
docs/audits/cars/ on the AMWS IMS portal. Status is derived at build time:
a record is Overdue where it is open and its effective target has passed at 27/09/2026.
Issue 9, 27 September 2026. Uncontrolled when printed.