Internal Audit Report

Audit Identification: IA202501
Area: Context & Leadership
Audit Date: 22nd September 2025
Auditor: Sean Ashton
Date Completed: 22nd September 2025
Findings: 0 Non-conformities, 1 Observation
Scope: Clauses 4.1-4.4, 5.1-5.3
Document Number: FORM_INTAR001 Rev 1 ID 01/09/2025

Executive Summary

This audit assessed A M Water Services Limited's compliance with Context and Leadership requirements across ISO 9001:2015, ISO 14001:2015, and ISO 45001:2018. The organisation demonstrates strong compliance with all mandatory requirements. Documentation is comprehensive and leadership commitment is evident through director involvement in daily operations.

One observation was identified regarding the opportunity to enhance interim monitoring between formal reviews. The Context and Interested Parties Log (APP_01) effectively captures stakeholder requirements with appropriate prioritisation methodology.

Introduction

This audit examined the organisation's understanding of its context, identification of interested parties, scope definition, and leadership commitment to the Integrated Management System. The audit forms part of the internal audit programme preparing for surveillance assessment.

Aims & Objectives

1. Verify the organisation identifies and monitors internal and external issues
2. Confirm interested parties and their requirements are documented
3. Assess leadership demonstration of commitment to the IMS
4. Review policy establishment and communication
5. Confirm organisational roles and responsibilities are defined
6. Identify opportunities for continuous improvement

Audit Method

• Document Review: APP_01 Rev 2 (19/09/2025), APP_03 Rev 2 (01/06/2025), APP_04 Rev 3 (19/09/2025), MAN_01 Rev 2 (01/06/2025), MAN_01a Rev 2 (01/06/2025), POL_HSQE_00 Rev 3 (01/07/2025)
• Interviews Conducted: Directors (Aaron Mason, Leanne Mason), 2 Team Leaders, 3 Operatives
• Observations: Morning toolbox talk, management meeting participation, site documentation review
• Sampling: Management meeting minutes (June-September 2025)

Non-conformities

No non-conformities identified.

Observations

No.	Element	Summary	Action Suggested	Ref
OBS-01	4.1 Context Monitoring	APP_01 schedules 6-monthly reviews for critical stakeholders (next March 2026). Whilst compliant, interim monitoring between formal reviews would strengthen awareness of market changes, particularly regarding AMP8 preparations	Document brief context updates at monthly management meetings	CAR-2025-001

Corrective Action Summary

Not applicable - no non-conformities identified.

Conclusions

A M Water Services Limited demonstrates compliance with Context and Leadership requirements across all three ISO standards. The audit confirmed:

Areas Meeting Requirements:

• Comprehensive context analysis through SWOT (APP_03) and PESTLE (APP_04) methodologies
• Context and Interested Parties Log (APP_01) identifies 10 stakeholder groups with clear requirements
• Priority scoring (Relevance × Power) provides objective stakeholder assessment
• Leadership responsibilities clearly defined in MAN_01a
• Integrated HSQE Policy (POL_HSQE_00) signed, dated and communicated
• IMS scope covers all operational activities including water mains, self-lay, and grab services

What's Working Well:

• Directors personally engaged in operations with regular site presence
• "#TEAM - Together Everyone Achieves More" philosophy embedded throughout documentation
• Review frequencies aligned to stakeholder priority levels
• Clear integration achieved across quality, environmental and health & safety standards

Recommendations

1. Implement a simple monthly context dashboard reviewing key market indicators
2. Add standing agenda item "Market & Stakeholder Updates" to management meetings
3. Create a basic site visit log to capture Aaron Mason's leadership engagement activities
4. Consider quarterly team briefings to reinforce IMS objectives at operative level

Feedback & Acknowledgments

Full cooperation was received throughout the audit process. Documentation was readily available and well-organised. Personnel at all levels demonstrated understanding of the IMS requirements relevant to their roles. The family business culture clearly supports the management system implementation with strong engagement observed during the toolbox talk.

Audit Report Prepared By

Name	Position	Signature	Date
Sean Ashton	HSQE Consultant	S. Ashton	22/09/2025
Aaron Mason	Director	A. Mason	22/09/2025

Corrective Action Close Out

Not applicable - no corrective actions required.