Internal Audit Report

Audit Identification: IA202511 Area: Training & Competence Audit Date: 29/09/2025 Auditor: Sean Ashton Date Completed: 29/09/2025 Findings: 0 Non-conformities, 1 Observation Scope: Clauses 7.2 (ISO 9001, 14001, 45001) Document Number: FORM_INTAR001 Rev 1 ID 01/09/2025

Executive Summary

The audit of training and competence management processes at A M Water Services Limited demonstrated strong compliance with ISO requirements across all three management standards. The company maintains comprehensive training procedures through S.O.P_4.2 (Competencies and Training) and S.O.P_4.3 (Planning of Training Events), with effective implementation evident through the training matrix (APP_12) and live qualification tracking system. All water industry critical qualifications including EUSR National Water Hygiene cards and NRSWA street works certifications were current for operational personnel.

The family business culture supports effective knowledge transfer and informal competency development, though one observation was identified regarding enhanced documentation of on-the-job training. The Directors' hands-on involvement ensures practical competence assessment beyond certification requirements, demonstrating the "#TEAM - Together Everyone Achieves More" philosophy in practice.

Introduction

This internal audit examined the training and competence management processes covering employee qualification requirements, competency assessment procedures, training planning and delivery, and record maintenance. The audit assessed compliance with clause 7.2 of ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018, verifying that personnel undertaking work are competent on the basis of appropriate education, training and experience.

Aims & Objectives

1. Verify that competency requirements are defined for all roles affecting quality, environmental and health & safety performance
2. Assess the effectiveness of training needs identification and gap analysis processes
3. Confirm that appropriate training records are maintained demonstrating competence
4. Evaluate the implementation of water industry specific qualification requirements including WIRS compliance
5. Review the effectiveness of training delivery methods including induction, formal training and toolbox talks
6. Assess processes for evaluating training effectiveness and maintaining ongoing competence

Audit Method

• Document Review: Training Policy (POL_HSQE_24 Rev 1), S.O.P_4.2 Competencies and Training (Issue 2), S.O.P_4.3 Planning of Training Events (Issue 2), APP_12 Training Matrix (Issue 2), APP_13 Tickets and Qualifications Tracking Reference (Issue 1), APP_10 Legal & Compliance Requirements Log sections L46-L48
• Interviews Conducted: Leanne Mason (Director - Finance/Admin), Aaron Mason (Director - Operations/H&S), Site Supervisor, Senior Operative
• Observations: Review of live qualification tracking spreadsheet, examination of 5 personnel files, toolbox talk register review, new starter induction pack
• Sampling: Training records for 6 employees covering period June-September 2025, EUSR and NRSWA certification status, recent induction documentation

Non-conformities

No non-conformities identified.

Observations

Ref	Description	Clause	Priority	Ref
OBS-11-01	While informal on-the-job training and mentoring occurs regularly between experienced operatives and newer team members, documentation of this practical skills transfer could be enhanced. Consider implementing a simple competency sign-off sheet for key operational tasks to complement formal certification.	7.2	Medium	CAR-2025-016

Corrective Action Summary

Not applicable - no non-conformities identified.

Conclusions

The training and competence management system demonstrates strong compliance with ISO requirements and effectively supports operational delivery:

Areas meeting requirements:

• Comprehensive training matrix (APP_12) clearly defines role-specific qualification requirements
• Live tracking spreadsheet maintains real-time visibility of qualification status with colour-coded expiry warnings
• All sampled EUSR National Water Hygiene cards and NRSWA street works qualifications were current
• Induction process consistently applied with new starter packs covering IMS awareness
• Training Policy aligns with legal requirements and WIRS accreditation needs
• Monthly reporting cycle ensures proactive renewal of expiring qualifications
• Directors' personal involvement ensures practical competence assessment

What's working well: The integration of training management across quality, environmental and safety requirements through the unified S.O.P_4.2 and S.O.P_4.3 procedures provides clear accountability. Leanne Mason's centralised control of the qualification tracking spreadsheet ensures nothing falls through the cracks, with the colour-coding system (red for expired, yellow for expiring within 3 months) driving timely renewals. The combination of formal certification requirements with practical competency assessment by Aaron Mason during site visits ensures both theoretical knowledge and practical application are verified.

Integration across three standards: Training requirements successfully address quality (technical competence for water infrastructure work), environmental (waste management, spill response) and safety (equipment operation, confined spaces) aspects through the single training matrix. The emphasis on water industry specific qualifications like EUSR registration demonstrates sector-specific competence whilst general training such as manual handling and GDPR awareness ensures broader compliance.

Recommendations

1. Develop a simple on-the-job training record card that supervisors can use to document practical skills development between formal training events, particularly for critical operations like chlorination and PE fusion welding
2. Create a visual skills matrix board for the office showing who holds which specialised qualifications, helping with resource planning and identifying where additional cross-training would be beneficial
3. Consider implementing quarterly training effectiveness reviews at toolbox talks, gathering operative feedback on whether training received has been useful in practice
4. Establish a formal process for capturing lessons learned from near-misses and incidents to feed into training needs analysis, strengthening the link between operational experience and competency development

Feedback & Acknowledgments

Full cooperation was received from all personnel during the audit. Leanne Mason provided excellent access to the live tracking system and demonstrated thorough knowledge of qualification requirements and renewal processes. Aaron Mason's insights into practical competency assessment methods showed strong leadership commitment to ensuring genuine competence beyond paper qualifications. The organised maintenance of training records and proactive management of the qualification renewal cycle demonstrates effective system implementation.

Audit Report Prepared By

Name	Position	Signature	Date
Sean Ashton	HSQE Consultant	S.Ashton	29/09/2025
Aaron Mason	Director (Operations/H&S)	A.Mason	29/09/2025

Corrective Action Close Out

Not applicable - no corrective actions required.