Internal Audit Report¶
Audit Identification: IA202513
Area: Management Review
Audit Date: 1st October 2025
Auditor: Sean Ashton
Date Completed: 1st October 2025
Findings: 0 Non-conformities, 2 Observations
Scope: Clauses 9.3 (ISO 9001/14001/45001)
Document Number: FORM_INTAR001 Rev 1 ID 01/09/2025
Executive Summary¶
The audit of Management Review processes at A M Water Services Limited demonstrates general conformity with the requirements of clause 9.3 across all three ISO standards. The company has established a structured approach to management review as documented in S.O.P_6.4, with clear inputs and outputs defined. Evidence indicates that whilst the formal annual review is pending (scheduled for December 2025), the directors maintain effective oversight through regular monthly management meetings and systematic performance monitoring. Two observations were identified relating to the documentation of interim reviews and the enhancement of worker consultation evidence in the review process.
Introduction¶
This audit examined the Management Review process as a critical element of the Integrated Management System, assessing how senior leadership evaluates the continuing suitability, adequacy and effectiveness of the IMS. The audit focused on the established procedures, evidence of review activities since IMS implementation in June 2025, and preparations for the first formal annual review scheduled for December 2025.
Aims & Objectives¶
- Verify that Management Review procedures meet the requirements of ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018 clause 9.3
- Assess the effectiveness of interim management oversight activities pending the formal annual review
- Evaluate the comprehensiveness of inputs being gathered for management review
- Review evidence of management decisions and actions taken to improve the IMS
- Confirm that outputs from management activities address strategic direction and continuous improvement
- Verify integration of management review across the three management systems
Audit Method¶
- Document Review: S.O.P_6.4 Management Review (Issue 2), APP_11 Register of HSQE Objectives and KPIs (Rev 2), APP_23 Internal Audits Program (Issue 2), Management Review flowcharts and process documentation
- Interviews Conducted: Director - Operations/H&S (Aaron Mason), Director - Finance/Admin (Leanne Mason), discussion with HSQE Consultant role
- Observations: Monthly KPI tracking documentation, July 2025 objectives review evidence, preparation materials for December 2025 formal review
- Sampling: Management meeting records from June-September 2025, corrective action tracking, performance data analysis
Non-conformities¶
No non-conformities identified.
Observations¶
| Ref | Observation | Clause | Recommended Action | Target Date | Ref |
|---|---|---|---|---|---|
| OBS-13-01 | Whilst monthly management meetings effectively review performance data and make operational decisions, the minutes lack formal structure to clearly demonstrate coverage of all management review inputs specified in clause 9.3 | 9.3 | Consider adapting the Management Review Agenda template for monthly meetings to ensure systematic coverage and documentation of review inputs | 30/11/2025 | CAR-2025-017 |
| OBS-13-02 | Evidence of worker consultation and participation exists through toolbox talks and site visits, but this input is not systematically captured and presented as part of management review inputs | ISO 45001:2018 9.3 | Implement a simple mechanism to capture and summarise worker feedback for inclusion in management review discussions | 31/12/2025 | CAR-2025-018 |
Corrective Action Summary¶
Not applicable - no non-conformities identified.
Conclusions¶
The Management Review process demonstrates compliance with ISO requirements through a practical approach appropriate for the company's size and structure. The following areas are functioning effectively:
Areas meeting requirements:
- Comprehensive procedure (S.O.P_6.4) defining inputs, process and outputs
- Regular monthly management oversight maintaining system effectiveness
- Systematic tracking of 20 HSQE objectives with monthly KPI monitoring
- Clear evidence of management commitment through director involvement
- Bi-annual objectives review cycle established with July 2025 review completed
- Preparation underway for first formal annual review in December 2025
- Risk and opportunity register actively maintained and reviewed
What's working well: The directors' hands-on involvement ensures continuous management oversight despite the formal annual review cycle. The July 2025 objectives review demonstrated effective mid-year evaluation with identification of areas requiring attention including carbon monitoring and employee satisfaction surveys. Monthly KPI tracking through APP_11 provides real-time performance visibility, whilst the zero RIDDOR record and maintained WIRS compliance evidence the effectiveness of current management processes.
Integration across three standards: The S.O.P_6.4 procedure successfully integrates requirements from all three standards into a single review process. The APP_11 objectives register comprehensively addresses quality, environmental and safety performance indicators. Management discussions naturally consider all three aspects without artificial separation, demonstrating genuine integration.
Recommendations¶
- Develop a simplified monthly management review checklist based on the full Management Review Agenda template to ensure systematic coverage of key inputs during regular meetings
- Create a simple feedback log to capture worker suggestions and concerns raised during toolbox talks and site visits for periodic review at management meetings
- Consider scheduling quarterly mini-reviews using the formal agenda structure to practice for the annual review and ensure nothing is missed
- Document a brief "management review dashboard" summarising key metrics and trends to support decision-making at both monthly and annual reviews
Feedback & Acknowledgments¶
Both directors demonstrated strong understanding of management review requirements and were fully cooperative throughout the audit. Aaron Mason provided comprehensive evidence of performance monitoring activities, whilst Leanne Mason demonstrated excellent control of administrative records and corrective action tracking. The systematic approach to monthly performance review, whilst informal in structure, shows genuine management commitment to IMS effectiveness. The company's proactive preparation for the December 2025 formal review, including updating the objectives register in July, indicates mature system management for a recently implemented IMS.
Audit Report Prepared By¶
| Name | Position | Signature | Date |
|---|---|---|---|
| Sean Ashton | HSQE Consultant | S.Ashton | 01/10/2025 |
| Aaron Mason | Director | A.Mason | 01/10/2025 |
Corrective Action Close Out¶
Not applicable - no corrective actions required.