Corrective Action Report 004¶
A M Water Services Limited¶
QEHS/NCR Ref: OBS-IA202603-02
Date: 30/04/2026
CAR ID: CAR-2026-004
Document Number: FORM_CAR001 Rev 1 ID 01/09/2025
Process/Area/Department: Support / Training & Competence
Requirement/Clause No.(s): ISO 45001:2018 - Clause 7.2
Type: ☑ Internal Audit ☐ Client Audit ☐ Inspection ☐ Complaint ☐ Sub-contractor ☐ Certification Review
Classification: ☐ Nonconformity ☑ Observation ☐ Opportunity for Improvement
Details of Observation¶
Statement of Observation: Rolled forward from CAR-2025-005 / -016. APP_12 Training Matrix and APP_14 Calibration & Equipment Log remain separate registers. A combined operator-equipment competency view linking specific operator qualifications to specific equipment authorisations would strengthen clause 7.2 evidence. Lower priority for the B2 audit; a 2026–27 IMS improvement candidate.
Planned Actions¶
Containment Action(s), including correction, with supporting completion date(s):
- Design a combined operator-equipment competency matrix linking APP_12 qualifications to APP_14 equipment authorisations (30/09/2026)
Root Cause¶
Primary Cause: The two records are owned by different people for different purposes, and neither has a reason to reference the other. APP_12 is a competence record maintained for training currency; APP_14 is an asset record maintained for calibration and statutory examination. Each is complete and correct for the job it does. Nothing in either procedure requires the holder of one to look at the other, so the link between a qualification and the equipment it authorises has never had an owner. Contributing Factors: The operative team is small enough that the Site Supervisor holds the link in his head and applies it correctly before allocating work, which means the absence of a written view has never caused an operational problem — and therefore has never been forced.
Proposed Corrective Action¶
- Build a single matrix mapping each operative's qualifications to the equipment they are authorised to operate.
- Decide whether this lives in APP_12, APP_14, or ComplianceTrack.
Verification¶
- [x] A named person owns the operator-to-equipment link, recorded against the procedure that creates it — superseded by the control recorded at closure.
- [x] Sample test: take three items of plant carrying a statutory inspection interval, and for each, trace from the equipment record to the operatives authorised to use it and from there to a qualification held and in date. The test passes when the trace can be made from the record without asking the Site Supervisor.
Points noted¶
- Fold this into the ComplianceTrack rollout rather than maintaining a third spreadsheet.
- Treat as a 2026–27 improvement.
Feedback & Acknowledgments¶
Raised by the 2026 internal-audit cycle (IA202603). Owner and target agreed at the standing weekly Director / HSQE compliance call.
Corrective Action Report Prepared By¶
| CAR Prepared By | Signature | Position | Date |
|---|---|---|---|
| Sean Ashton | S. Ashton | HSQE Consultant | 30/04/2026 |
| CAR Reviewed By | Signature | Position | Date |
| --- | --- | --- | --- |
| Aaron Mason | A. Mason | Director | 30/04/2026 |
Corrective Action Close Out¶
Target Completion: 30/09/2026
| Corrective Action Completed | Signature | Position | Date |
|---|---|---|---|
| Actioned by | S. Ashton | HSQE Consultant | 29/09/2026 |
| Verification By | S. Ashton, for and on behalf of Aaron Mason | Director, under delegated authority | 29/09/2026 |
Closure¶
Closed. No corrective action required.
The observation recorded that a combined operator-equipment view would strengthen the clause 7.2 evidence. Tested against what the clause requires, the evidence is already there. ISO 9001 and ISO 45001 clause 7.2 require the necessary competence to be determined, to be held by the people doing the work, and to be retained as documented information. PUWER 1998 regulation 9 requires that the person using work equipment has received adequate training for its use. Operative qualifications are held and current in APP_12 and APP_13; equipment and its statutory inspection position is held in APP_14. Between them, competence to operate the equipment in use is evidenced.
Neither standard nor PUWER prescribes how those records are arranged, and no clause requires them to be combined into one register. What the observation identified was a presentational improvement to two records that are each complete and correct for the job they do.
Basis for closure. This report was raised on an observation, and the observation identified no nonconformity. Clause 10.2 corrective action responds to a nonconformity. The report has been carried through two cycles with nothing failing, which is what an action with no underlying nonconformity does. Closing it removes an obligation the management system never carried.
Verification. The two tests written at this report were written for the action as raised and are not applied, because no action is taken. The test that matters was applied in closing it: a trace from an item of plant carrying a statutory inspection interval, to the operatives authorised to use it, to a qualification held and in date, can be made from APP_13 and APP_14 as they stand.
Not carried elsewhere on the management system. Extending ComplianceTrack to hold equipment authorisations against each operative remains worthwhile. It is development work on a system AMWS uses, not an AMWS management system obligation, and it is not recorded as an open item here.
Closure is tabled for ratification at the September 2026 Management Review. The Close Out block above is signed at that ratification.
Verification outcome at 29/09/2026¶
| # | Verification criterion as written | Outcome | Basis |
|---|---|---|---|
| 1 | A named person owns the operator-to-equipment link, recorded against the procedure that creates it. | Criterion superseded | Written for the combined matrix. No matrix is built, because no clause requires one. |
| 2 | Trace from an item of plant carrying a statutory inspection interval, to the operatives authorised to use it, to a qualification held and in date, without asking the Site Supervisor. | Met | The trace can be made from APP_13 and APP_14 as they stand. Applying this test is what established that clause 7.2 is already evidenced, and it is the basis on which this report is closed. |
Verified by Sean Ashton, HSQE Consultant, on 29/09/2026 and approved for closure under delegated authority; the close-out block is completed accordingly. Criterion 1 is recorded as not applied rather than unmet: it tested an action that the clause does not require.
APP_12, APP_13 and APP_14 as they stand
Status: CLOSED 29/09/2026 — no corrective action required. Clause 7.2 met by