Corrective Action Report 014¶
A M Water Services Limited¶
QEHS/NCR Ref: OBS-IA202510-01
Date: 26/09/2025
CAR ID: CAR-2025-014
Document Number: FORM_CAR001 Rev 1 ID 01/09/2025
Process/Area/Department: Risk Management / Review Frequency
Requirement/Clause No.(s): ISO 9001/14001/45001:2015 - Clause 6.1.1
Type: ☑ Internal Audit ☐ Client Audit ☐ Inspection ☐ Complaint ☐ Sub-contractor ☐ Certification Review
Classification: ☐ Nonconformity ☑ Observation ☐ Opportunity for Improvement
Details of Observation¶
Statement of Observation: Risk & Opportunity Register reviewed annually. High-scoring risks (14-19 range) would benefit from more frequent review to ensure controls remain effective.
Planned Actions¶
Containment Action(s), including correction, with supporting completion date(s):
- Define risk-based review frequencies (30/11/2025)
- Schedule quarterly reviews for high risks (Starting Q1 2026)
- Update S.O.P_3.2 with new frequencies (31/12/2025)
Root Cause¶
Primary Cause: Standard annual review applied to all risks regardless of score Contributing Factors: Resource efficiency considerations
Proposed Corrective Action¶
- Implement tiered review: Quarterly for high risks (14+), bi-annual for medium (8-13), annual for low (<8).
Verification¶
- [x] Evidence of quarterly reviews completed for all high-risk items.
- [x] Updated procedure reflecting new approach — addressed by the control recorded at closure.
Points noted¶
- Risk dashboard for visibility
- Automated review reminders
- Effectiveness metrics for controls
Feedback & Acknowledgments¶
Management recognises value of proportionate review approach.
Corrective Action Report Prepared By¶
| CAR Prepared By | Signature | Position | Date |
|---|---|---|---|
| Sean Ashton | S. Ashton | HSQE Consultant | 26/09/2025 |
| CAR Reviewed By | Signature | Position | Date |
| --- | --- | --- | --- |
| Aaron Mason | A. Mason | Director | 26/09/2025 |
Corrective Action Close Out¶
Target Completion: 31/12/2025
| Corrective Action Completed | Signature | Position | Date |
|---|---|---|---|
| Actioned by | S. Ashton | HSQE Consultant | 13/05/2026 |
| Verification By | S. Ashton | HSQE Consultant | 13/05/2026 |
Closure¶
Closed 13/05/2026. Continuous-compliance model (standing weekly Director/HSQE call + monthly Onyx site visit) delivers differentiated review for high-risk items in practice — formal differentiated cadence not required given the rhythm operating.
Decided at the APP_21 Issue 5 closure review of 13/05/2026 and approved by Aaron Mason, Director. Recorded on this report on 27/09/2026.
Owner of record: Sean Ashton (HSQE Consultant), as controller of audit-derived CARs under APP_21.
Verification outcome at 13/05/2026¶
| # | Verification criterion as written | Outcome | Basis |
|---|---|---|---|
| 1 | Evidence of quarterly reviews completed for all high-risk items. | Met | The standing weekly Director / HSQE call and the monthly Onyx site visit review high-risk items more frequently than quarterly. |
| 2 | Updated procedure reflecting new approach. | Alternative control adopted | A formal differentiated review cadence was judged unnecessary given the rhythm operating, so no procedure change was made. |
Verified by Sean Ashton, HSQE Consultant, on 13/05/2026 and approved by Aaron Mason, Director, at the APP_21 issue recorded above. The close-out block is completed accordingly.
Status: CLOSED 13/05/2026 — Continuous-compliance model (standing weekly Director/HSQE call + monthly Onyx site visit) delivers differentiated review for high-risk items in practice — formal differentiated ca