Internal Audit Report¶
Audit Identification: IA202514 Area: Corrective Actions Audit Date: Thursday 2nd October 2025 Auditor: Sean Ashton Date Completed: 2nd October 2025 Findings: 0 Non-conformities, 1 Observation Scope: Clauses 10.2 (ISO 9001:2015, ISO 14001:2015, ISO 45001:2018) Document Number: FORM_INTAR001 Rev 1 ID 01/09/2025
Executive Summary¶
The audit of corrective action processes demonstrated compliance with ISO 10.2 requirements across all three management standards. A M Water Services has established systematic procedures for managing nonconformities through S.O.P_7.1 (Customer Complaints, Control of NCR, Corrective Action). One observation was noted regarding trend analysis reporting. The corrective action system is functioning effectively with root cause analysis being conducted and documented appropriately. The process demonstrates maturity considering the recent implementation of the integrated management system.
Introduction¶
This audit examined the corrective action management processes as part of the scheduled Internal Audit Programme (APP_23). The assessment focused on how A M Water Services identifies, investigates, and addresses nonconformities across quality, environmental, and health & safety aspects. The audit covered the period from June 2025 to September 2025, reviewing both the systematic approach and practical implementation of corrective actions.
Aims & Objectives¶
- Verify compliance with ISO 10.2 requirements for nonconformity and corrective action
- Assess the effectiveness of root cause analysis methodologies
- Review the implementation and close-out of corrective actions from previous audits
- Evaluate the trend analysis and reporting of nonconformity data
- Confirm integration of corrective action processes across all three ISO standards
- Examine the effectiveness review process for implemented actions
Audit Method¶
- Document Review: S.O.P_7.1 Rev 2 (01/06/2025), Non-Conformance Log (APP_20), Internal Audit Reports IA202501-IA202513, Management Review Minutes (April 2025), Corrective Action tracking spreadsheet
- Interviews Conducted: Director (Aaron Mason), HSQE Consultant, Team Leaders
- Observations: Review of recent nonconformity records, corrective action close-out documentation, trend analysis reports
- Sampling: 15 nonconformity records from June-September 2025 timeframe
Non-conformities¶
No non-conformities identified.
Observations¶
| Obs Ref | Description | Recommendation | Ref |
|---|---|---|---|
| OBS-IA14-01 | Trend analysis is performed but not formally reported outside management review meetings, limiting proactive improvement opportunities | Produce quarterly trend analysis reports for leadership team meetings | CAR-2025-019 |
Corrective Action Summary¶
Not applicable - no corrective actions required.
Conclusions¶
The corrective action system demonstrates the following strengths:
Areas meeting requirements:
- Established procedure (S.O.P_7.1) covering all aspects of corrective action management
- Sequential numbering system ensuring traceability
- Clear escalation process through Senior Leadership Team
- Integration across quality, environmental, and safety nonconformities
- Regular review at management meetings
- Documented root cause analysis for nonconformities
- Systematic effectiveness reviews being conducted
What's working well: The family business structure enables rapid communication of issues, with directors personally involved in significant corrective actions. The Non-Conformance Log maintained by Leanne Mason provides centralised tracking, whilst the relatively small team size facilitates quick implementation of corrections. Root cause analysis is being completed and documented appropriately for all nonconformities reviewed.
Integration across standards: The unified approach through S.O.P_7.1 effectively addresses requirements across ISO 9001, 14001, and 45001, with consistent methodology applied regardless of the nonconformity source.
Recommendations¶
- Enhance root cause analysis tools: Introduce simplified tools such as 5-Why analysis templates suitable for operative-level investigations
- Develop visual management: Display nonconformity trends on office whiteboard to maintain team awareness
- Strengthen supplier corrective actions: Extend the system to formally track supplier-related nonconformities and their resolution
Feedback & Acknowledgments¶
The audit team received full cooperation from all personnel. Aaron Mason demonstrated strong commitment to continuous improvement, acknowledging that the rapid business growth presents ongoing opportunities to strengthen systems. The willingness to improve and the proactive approach to implementing corrections demonstrates the positive safety and quality culture within A M Water Services.
Audit Report Prepared By¶
| Name | Position | Signature | Date |
|---|---|---|---|
| Sean Ashton | HSQE Consultant | S.Ashton | 02/10/2025 |
| Aaron Mason | Director | A.Mason | 02/10/2025 |
Corrective Action Close Out¶
Not applicable - no corrective actions required.