Internal Audit Report¶

Audit Identification: IA202515
Area: Legal Compliance
Audit Date: 03/10/2025
Auditor: Sean Ashton
Date Completed: 03/10/2025
Findings: 0 Non-conformities, 2 Observations
Scope: Clause 6.1.3 (ISO 14001 & ISO 45001)
Document Number: FORM_INTAR001 Rev 1 ID 01/09/2025

Executive Summary¶

The audit of legal compliance requirements demonstrated that A M Water Services Limited maintains a robust framework for identifying, evaluating and maintaining compliance with applicable legal and other requirements. The comprehensive Legal & Compliance Requirements Register (APP_10) provides clear evidence of systematic management across all three ISO standards. The organisation demonstrates strong compliance with water industry regulations, health and safety legislation, and environmental requirements. Two observations have been identified relating to the frequency of legal updates and communication of regulatory changes to operative level, both presenting opportunities to strengthen an already effective system.

Introduction¶

This audit examined the processes for determining and maintaining compliance with legal and other requirements as specified in clause 6.1.3 of ISO 14001:2015 (Compliance Obligations) and ISO 45001:2018 (Determination of Legal and Other Requirements). The audit assessed how the organisation identifies applicable legislation, evaluates compliance status, and ensures ongoing conformity with regulatory requirements critical to water industry operations.

Aims & Objectives¶

Verify the organisation maintains current registers of applicable legal and compliance requirements
Assess the effectiveness of processes for identifying new and changed legislation
Evaluate compliance status across key regulatory areas including WIRS, CDM, and environmental requirements
Review the communication of legal requirements to relevant personnel
Confirm integration of compliance obligations into operational planning and control
Assess the evaluation methodology and review cycles for ongoing compliance

Audit Method¶

Document Review: APP_10 Legal & Compliance Requirements Register Rev 2, S.O.P_3.3 Management of Legal & Other Requirements Rev 2, APP_01 Context and Interested Parties Log Rev 2, current ISO certificates (9001, 14001, 45001), WIRS accreditation status
Interviews Conducted: Director (Aaron Mason), HSQE Consultant, Site Supervisors (2), Team Leaders
Observations: Legal register maintenance process, compliance evaluation records, recent legislative updates
Sampling: Compliance evaluations from June 2025 to September 2025, regulatory communications, training records related to legal requirements

Non-conformities¶

No non-conformities identified.

Observations¶

Ref	Observation	Risk Level	Required Action	Target Date	Ref
OBS-15.01	The current bi-annual review frequency for legal register updates, whilst meeting minimum requirements, may not capture all interim regulatory changes in the rapidly evolving water industry landscape	Low	Consider increasing legal update reviews to quarterly, particularly for high-priority areas such as environmental regulations and water quality standards	31/12/2025	CAR-2025-020
OBS-15.02	Whilst toolbox talks effectively communicate safety legislation changes, the cascade of broader regulatory updates (e.g., environmental compliance, water quality requirements) to operative level could be enhanced through visual aids or simplified summaries	Low	Develop one-page visual compliance updates for site notice boards covering key regulatory changes affecting daily operations	30/11/2025	CAR-2025-021

Corrective Action Summary¶

Not applicable - no non-conformities identified.

Conclusions¶

The audit confirms that A M Water Services Limited demonstrates strong compliance with the requirements of clause 6.1.3 across both ISO 14001 and ISO 45001 standards. The organisation maintains comprehensive systems for legal compliance management appropriate to its operations as a water industry contractor.

Areas meeting requirements include:

Comprehensive Legal & Compliance Requirements Register (APP_10) covering 56 distinct regulatory areas
Systematic evaluation methodology using clear compliance status criteria
Evidence of 48 areas at "Fully Compliant" status with action plans for remaining items
Robust process documentation through S.O.P_3.3 with defined information sources
Clear integration with risk management and interested parties processes
Maintained specialist accreditations including WIRS and ISO triple certification

The register effectively categorises requirements across eight key areas: Health & Safety, Water Industry Specific, Highway & Street Works, Environmental, Corporate & Financial, Quality & Professional Standards, Vehicle & Transport, and Sector-Specific Requirements. Each entry includes clear compliance measures, evaluation dates, and review schedules.

Particularly noteworthy is the organisation's zero RIDDOR record and maintained WIRS accreditation, demonstrating practical application of compliance requirements. The family business structure, with directors actively involved in operations, ensures strong leadership commitment to legal compliance.

Integration across the three standards is evident through the unified approach to compliance management, with environmental aspects, health and safety hazards, and quality requirements all captured within the single comprehensive register.

Recommendations¶

Implement quarterly legal scanning workshops involving the HSQE Consultant and directors to review regulatory horizon scanning, particularly focusing on Environment Act 2021 implementation and storm overflow requirements affecting the water sector
Develop a simplified "Compliance Calendar" showing key regulatory milestones, renewal dates, and inspection schedules in visual format for display at the depot, helping all staff understand compliance rhythms
Create role-specific legal requirement cards for different operative positions (e.g., excavator operators, chlorination technicians) summarising their key compliance responsibilities in pocket-sized format
Establish formal feedback mechanism from site teams regarding practical compliance challenges, potentially through monthly compliance suggestions via WhatsApp group or suggestion box

Feedback & Acknowledgments¶

The audit process received excellent cooperation from all personnel interviewed. Aaron Mason demonstrated comprehensive understanding of regulatory requirements and their practical application to daily operations. Site supervisors showed good awareness of their compliance responsibilities, particularly regarding CDM regulations and NRSWA requirements. The HSQE Consultant's systematic approach to maintaining the legal register, with clear evaluation criteria and structured review cycles, provides confidence in ongoing compliance management. The organisation's proactive approach to compliance, evidenced by action plans already in place for areas requiring attention, reflects a mature approach to regulatory management.

Audit Report Prepared By¶

Name	Position	Signature	Date
Sean Ashton	HSQE Consultant	S.Ashton	03/10/2025
Aaron Mason	Director	A.Mason	03/10/2025

Corrective Action Close Out¶

Not applicable - no corrective actions required.