Internal Audit Report¶

Audit Identification: IA202503 Area: Support Audit Date: 23rd September 2025 Auditor: Sean Ashton Date Completed: 23rd September 2025 Findings: 0 Non-conformities, 2 Observations Scope: Clauses 7.1-7.5 Document Number: FORM_INTAR001 Rev 1 ID 01/09/2025

Executive Summary¶

The audit of Support processes (ISO clauses 7.1-7.5) demonstrates strong compliance across all three management standards. A M Water Services has established comprehensive systems for managing resources, competence, awareness, communication and documented information. The audit identified no non-conformities, confirming that support processes effectively underpin operational delivery.

Two observations were noted relating to enhancing the capture of toolbox talk attendance and strengthening the link between training records and equipment competency validation. The company's approach to resource management is particularly effective given its size, with directors maintaining close oversight of both human and infrastructure resources.

Introduction¶

This audit examined the Support processes covering resources, competence, awareness, communication and documented information as defined in clauses 7.1-7.5 of ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018. The audit assessed how these fundamental processes support the delivery of water infrastructure services and maintain compliance with industry requirements including WIRS accreditation.

Aims & Objectives¶

Verify that resources (people, infrastructure, environment, monitoring) are determined, provided and maintained appropriately
Assess the effectiveness of competence management including training needs analysis, delivery and record keeping
Evaluate awareness programmes ensuring personnel understand the IMS, policies and their contribution
Review communication processes both internal and external, including participation and consultation
Examine document control processes ensuring information is current, accessible and protected
Confirm integration of support processes across quality, environmental and safety management requirements

Audit Method¶

Document Review: SOP_4.1 Measuring & Monitoring Device Calibration (Rev 2), SOP_4.2 Competencies and Training (Rev 2), SOP_4.4 Periodic Safety Bulletins & Briefings (Rev 2), SOP_4.6 Document Control (Rev 2), APP_12 Training Matrix, APP_13 Tickets and Qualifications Tracking Reference, APP_14 Calibration and Equipment Maintenance Log Reference, POL_HSQE_24 Training Policy
Interviews Conducted: Directors (Aaron Mason, Leanne Mason), Team Leaders, Administrative Support
Observations: Office document storage, cloud system access, training files, equipment calibration records
Sampling: Training records for 5 operatives (January-September 2025), 3 months of toolbox talks, calibration certificates for CAT & Genny units

Non-conformities¶

No non-conformities identified.

Observations¶

Ref	Observation	Clause	Priority	Ref
OBS-03-01	Toolbox talk records show consistent delivery of weekly briefings with evidence of topics covered. However, attendance recording could be enhanced by implementing a digital sign-in system or QR code to ensure complete capture of all attendees, particularly when operatives join mid-briefing.	7.3	Low	CAR-2025-004
OBS-03-02	Equipment competency validation is managed through separate systems - training matrix tracks operator certifications whilst equipment log tracks machine-specific authorisations. Consider creating a combined competency matrix linking operator qualifications directly to specific equipment items for clearer validation.	7.2	Low	CAR-2025-005

Corrective Action Summary¶

Not applicable - no corrective actions required.

Conclusions¶

The audit confirms that Support processes meet all requirements of the three ISO standards with effective implementation evident across the organisation.

Areas meeting requirements:

Resources are effectively determined and provided with clear infrastructure maintenance programmes
Competence management is robust with comprehensive training matrix and tracking systems maintained by Leanne Mason
Awareness is promoted through multiple channels including inductions, toolbox talks and safety bulletins
Communication processes utilise appropriate methods including WhatsApp for field teams and formal briefings
Document control through cloud-based systems ensures current information is accessible to all personnel
Calibration and maintenance programmes ensure monitoring equipment remains fit for purpose

The family business structure creates natural advantages in communication and awareness, with directors personally involved in briefing sessions. The recent implementation of cloud-based document control (June 2025) has significantly improved information accessibility for field-based teams.

Integration across the three standards is evident in unified procedures covering training, communication and document control applicable to quality, environmental and safety requirements.

Recommendations¶

Implement digital attendance capture for toolbox talks using QR codes or app-based sign-in to ensure complete records and enable trend analysis of participation rates
Develop a visual competency board in the office showing operator/equipment authorisation matrix for quick reference during resource planning
Consider establishing quarterly "IMS awareness sessions" separate from routine toolbox talks to reinforce understanding of how daily operations connect to management system objectives
Enhance the training feedback process by implementing post-training effectiveness reviews after 3 months to validate knowledge retention and practical application

Feedback & Acknowledgments¶

Full cooperation was received from all personnel during the audit. Particular recognition goes to Leanne Mason for maintaining comprehensive training and qualification records that demonstrate clear compliance with WIRS and client requirements. The systematic approach to document control implemented by Sean Ashton provides a solid foundation for information management. Team leaders demonstrated good understanding of their role in cascade communication and ensuring operative competency.

Audit Report Prepared By¶

Name	Position	Signature	Date
Sean Ashton	HSQE Consultant	S.Ashton	23/09/2025
Aaron Mason	Director	A.Mason	23/09/2025

Corrective Action Close Out¶

Not applicable - no corrective actions required.

Document Classification: Controlled Distribution: Directors, HSQE File, Management Review Records Next Review: As per Internal Audit Programme APP_23