Internal HSQE Audits

ISO 9001:2015 Clause 9.2 · ISO 14001:2015 Clause 9.2 · ISO 45001:2018 Clause 9.2 — Internal audit programme

Procedure overview

A M Water Services operates an internal audit programme that verifies every section of the IMS is implemented, effective, and conforms to ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018. The HSQE Consultant programmes audits with frequency set on importance of activity and previous audit results — minimum once per IMS section per audit cycle, more frequent for high-risk areas or sections with prior non-conformances. Each audit is performed by a qualified auditor who is independent of the area being audited (Sean Ashton for most audits as external HSQE Consultant; rotation to other competent auditors where the consultant has been involved in design of the area). Findings that don't comply with planned arrangements raise non-conformances; root causes are identified, corrective actions are agreed with the auditee, completion is tracked to closure, and effectiveness is verified before close-out. The audit programme outputs feed the Management Review (SOP 6.4) and Continual Improvement (SOP 7.2) cycles. Records are retained per SOP 4.7.

Internal HSQE Audits — Process Flow

HSQE Consultant

Sean Ashton (Onyx Operations)

Programme & Schedule

Programme internal audits across all IMS sections

Internal Audit Programme

Schedule audit frequency relative to importance of activity, sector risk and previous audit results — minimum every IMS section per audit cycle

Assign internal audit task to a qualified and independent auditor

Auditor

Independent qualified auditor
(Sean Ashton or rotation)

Conduct Audit

Perform internal audit; confirm evidence of compliance with relevant standard, specification, legal requirement and AMWS local instructions

Findings comply with planned arrangements?

Yes

Record conformance; on completion discuss findings with relevant Manager

Raise non-conformances on the NCR Log

Sign all report outputs and documentation to confirm audit actions are agreed and understood

Communicate copies of audit report and findings to Directors and relevant Manager

HSQE Consultant & Auditee

Sean Ashton
Site Supervisor / Manager (auditee)

Close Non-Conformances & Feed Back

Identify root causes and corrective actions to be implemented

Agree time scale with the responsible person for root-cause identification and corrective action completion

Arrange and complete corrective action

Corrective action complete and effective?

Agree further corrective action and revised time scale with auditee

Yes

Close out NCR; record effectiveness on the NCR Log

Review internal audit programme and findings; re-schedule frequency based on performance feedback and organisational change

Provide audit feedback as input for Management Review and Continual Improvement

SOP 6.4 Management Review

Process / Activity

Decision Point

Document / Cross-reference

Conform / Close

Non-Conformance / Re-action

Auditor independence and audit-frequency rules

Independence: An auditor must not audit work for which they are also responsible (have authored, designed, supervised or implemented). Where Sean Ashton has been involved in drafting the area being audited (e.g. authoring a policy or RAMS), the audit of that area is delegated to a different competent auditor: rotation between the Director (MD) acting as auditor for HSQE-consultant-authored content, an external peer reviewer, or a client's auditor where contractual arrangements permit. Frequency: Minimum once per IMS section per audit cycle; high-risk operational sections (RAMS implementation, COSHH, work-at-height, confined space, asbestos) audited at least twice per cycle. Sections with an open major non-conformance or two open minor non-conformances move to quarterly until cleared. The audit cycle is annual; the rolling programme is reviewed at every Management Review.

Internal HSQE Audits

Internal HSQE Audits — Process Flow

Related Documents