Internal Audit Report

Audit Identification: IA202502
Area: Planning
Audit Date: 22nd September 2025
Auditor: Sean Ashton
Date Completed: 22nd September 2025
Findings: 0 Non-conformities, 2 Observations
Scope: Clauses 6.1-6.3
Document Number: FORM_INTAR001 Rev 1 ID 01/09/2025

Executive Summary

The audit of planning processes covering ISO clauses 6.1-6.3 demonstrated strong compliance across all three management system standards. The company has established comprehensive risk and opportunity planning processes with a robust scoring methodology (A+B+C×D) that is well understood throughout the organisation. Twenty SMART objectives have been developed with measurable KPIs and targets, demonstrating commitment to systematic planning. Whilst no non-conformities were identified, two observations relate to enhancing the documentation of change management activities and strengthening the integration between environmental aspects and business risk planning.

Introduction

This audit examined the planning elements of the Integrated Management System, focusing on actions to address risks and opportunities (6.1), objectives and planning to achieve them (6.2), and planning of changes (6.3). The audit assessed compliance with ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018 requirements, reviewing documented processes, records and implementation evidence.

Aims & Objectives

1. Verify the effectiveness of risk and opportunity identification and management processes
2. Assess the establishment and monitoring of HSQE objectives against policy commitments
3. Evaluate the integration of environmental aspects and health & safety hazards into business planning
4. Review the management of change processes for system and operational modifications
5. Confirm legal and compliance obligations are identified and addressed
6. Determine the effectiveness of planning processes in driving continuous improvement

Audit Method

• Document Review: APP_05 Risk & Opportunity Log Rev 2, APP_11 Register of HSQE Objectives and KPIs Rev 2, APP_06 Aspect Identification Log Rev 1, APP_15 Life-cycle Analysis Rev 1, S.O.P_3.2 Business Risk & Opportunity Planning Rev 2, S.O.P_3.4 Setting and Reviewing IMS Objectives Rev 2, S.O.P_5.2 Management of Change Rev 2
• Interviews Conducted: Director (Aaron Mason), Team Leaders (2), HSQE Consultant
• Observations: Monthly objective review meeting minutes (July 2025), risk register update process, environmental aspect scoring calculations
• Sampling: Risk assessments from June-September 2025, objective performance data for Q2/Q3 2025, change management records for system updates

Non-conformities

No non-conformities identified.

Observations

Ref	Finding	Clause	Priority	Ref
OBS-01	Whilst S.O.P_5.2 Management of Change provides a robust framework for managing changes, evidence of formal change assessments for recent organisational updates (e.g., new digital systems implementation planned for Q4 2025) could be strengthened. The process is followed informally but documentation would enhance traceability.	6.3	Medium	CAR-2025-002
OBS-02	The environmental aspects register (APP_06) and risk & opportunity log (APP_05) are comprehensive but could benefit from clearer cross-referencing to demonstrate integrated planning. For example, the vehicle emissions aspect (score 17) could be explicitly linked to the corresponding business risk.	6.1.2	Low	CAR-2025-003

Corrective Action Summary

Not applicable - no non-conformities identified.

Conclusions

The planning processes demonstrate effective implementation across the integrated management system:

Areas meeting requirements:

• Risk and opportunity methodology consistently applied with clear scoring criteria
• Twenty measurable HSQE objectives aligned with policy commitments
• Environmental aspects systematically identified with life-cycle perspective
• Legal compliance register maintained with bi-annual review cycle
• Health and safety hazards integrated into risk planning processes
• Monthly monitoring of objective performance with corrective actions where required

The risk scoring methodology (A+B+C×D) is embedded across the organisation with evidence of regular review and updating. The July 2025 review showed 85% of objectives on target, with corrective actions identified for those requiring attention. Environmental planning demonstrates maturity with comprehensive life-cycle analysis identifying critical areas including vehicle emissions, waste management and emergency response impacts.

Integration across the three standards is evident in the unified risk register and combined objective setting process. The family business culture supports effective informal communication of planning activities, though formal documentation of change management could be enhanced.

Recommendations

1. Implement a simple change request form to capture management of change assessments, particularly for system updates and new technology implementations
2. Create a visual mapping tool or matrix to show linkages between environmental aspects, health & safety hazards and business risks
3. Consider quarterly planning workshops to maintain momentum on objective achievement and ensure continued engagement at operative level
4. Develop a planning dashboard for site offices to increase visibility of objectives and their relevance to daily operations

Feedback & Acknowledgments

Full cooperation was received from all personnel during the audit. Aaron Mason demonstrated strong leadership commitment through detailed knowledge of planning processes and personal involvement in risk reviews. Team Leaders showed good understanding of how objectives translate to operational activities. The HSQE Consultant has developed comprehensive planning tools that are proportionate to company size whilst meeting all ISO requirements.

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.