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Internal Audit Report

Audit Identification: IA202603
Area: Support
Audit Date: 30th April 2026
Auditor: Sean Ashton (HSQE Consultant, Onyx Operations)
Date Completed: 30th April 2026
Findings: 0 Non-conformities, 2 Observations
Scope: ISO 9001:2015 / 14001:2015 / 45001:2018 — Clauses 7.1–7.5
Document Number: FORM_INTAR001 Rev 1 ID 01/09/2025
Builds on prior audit: IA202503 (23/09/2025) — 0 NC, 2 OBS

Executive Summary

This audit re-examined Support processes (resources, competence, awareness, communication, documented information) one year on from IA202503. The 2025–26 cycle has materially strengthened the Support evidence picture:

  • Documented information (clause 7.5) has been transformed by the 44-SOP HTML migration completed 04/05/2026, embedding hand-built standalone HTML pages with named roles, regulatory thresholds and functional swimlane diagrams in place of the legacy drawio SVGs.
  • Communication (clause 7.4) is now anchored by the new 12-month Toolbox-Talk Programme (TBT_PROG_01) issued 04/05/2026, with 3 priority pre-audit briefs ready for delivery in May 2026.
  • Competence (clause 7.2) is supported by the new Right-to-Work Procedure (PROC_R2W_01) and the recovered SOP 6.3 Site Inspections & Tours which had been missing from the 2025 nav.

The 2025 observation about TBT attendance recording is partially addressed by the new programme's embedded attendance template. The combined operator-equipment competency matrix observation remains open and is rolled forward.

A new 2026 observation captures three expired statutory training certificates that Leanne Mason is rebooking — a documented operational gap with named owner and a clear closure path.

Year-on-year follow-up — IA202503 outcomes

2025 ref 2025 finding (summary) Status in 2026 audit
OBS-03-01 / CAR-2025-004 TBT attendance recording — could be enhanced (digital sign-in / QR code) Partially closed. New TBT_PROG_01 (May 2026) embeds an attendance template per session. Pen-and-paper sign-in continues; digital sign-in not implemented. Sufficient for B2.7.6 evidence — observation closed; further digital improvement deferred to 2027.
OBS-03-02 / CAR-2025-005 Combined operator-equipment competency matrix Open — rolled forward. APP_12 Training Matrix and APP_14 Calibration Log remain separate registers. Rolled forward as IA202603 OBS-02.

Introduction

This audit examined the Support processes (clauses 7.1–7.5) one year on from IA202503 and after the substantial IMS document-control refresh of April–May 2026. The audit assessed whether the 2025 OBSes were closed, evaluated the SOP HTML migration's impact on documented-information control (clause 7.5), and reviewed the new Toolbox-Talk Programme's effect on communication and awareness.

Aims & Objectives

  1. Verify continued effectiveness of resources, competence, awareness, communication and documented-information processes
  2. Confirm the SOP HTML migration meets clause 7.5 documented-information requirements (currency, accessibility, integrity, change control)
  3. Assess the new TBT Programme against clauses 7.3 (awareness) and 7.4 (communication)
  4. Confirm closure or progress on IA202503 OBS-03-01 and OBS-03-02
  5. Review training currency including the 3 expired statutory certificates
  6. Evaluate the new PROC_R2W_01 Right-to-Work Procedure against clause 7.2 competence

Audit Method

  • Document Review: SOP 4.1 Device Calibration Rev 3 HTML, SOP 4.2 Competencies & Training Rev 3 HTML, SOP 4.4 Safety Bulletins & Briefings Rev 3 HTML, SOP 4.6 Document Control Rev 3 HTML, SOP 4.7 Control of Records Rev 3 HTML, SOP 6.3 Site Inspections & Tours Rev 3 HTML (recovered May 2026), APP_12 Training Matrix, APP_13 Tickets & Qualifications, APP_14 Calibration & Equipment Maintenance Log, POL_HSQE_24 Training Policy, PROC_R2W_01 Right-to-Work Procedure (new 04/05/2026), TBT_PROG_01 Toolbox-Talk Programme (new 04/05/2026).
  • Interviews Conducted: Directors (Aaron Mason, Leanne Mason), Site Supervisor (Jason May), 2 operatives.
  • Observations: SOP HTML pages reviewed for completeness, formatting and cross-references; APP_12 cross-checked against expired-certificate list; first 2026 Director site tour record (Westleigh Road, 28/04/2026) reviewed; new policy POL_HSQE_30 IT Security and POL_HSQE_29 Mental Health reviewed.
  • Sampling: 5 SOPs randomly sampled from the 44 migrated HTML files (3.4, 6.3, 8.10, 9.4, 9.5); 3 toolbox-talk briefs from the new programme; the 3 expired certs against the rebooking schedule held by Leanne; PROC_R2W_01 against the live worker register on APP_12 (Excel held by Leanne).

Non-conformities

No non-conformities identified.

Observations

Ref Observation Clause Priority Ref
OBS-01 Three statutory training certificates have expired and are awaiting rebooking by Leanne Mason: Jason May Fire Marshal (EXP 15/08/2025), Leanne Mason Fire Marshal (EXP 19/09/2025), Leanne Mason Emergency First Aid (EXP 30/10/2025). AMWS retains cover on each role through other named individuals so there is no immediate operational gap, but the certificates need to land before the surveillance audit. 7.2 Medium CAR-2026-003
OBS-02 Operator-equipment competency matrix (rolled forward from CAR-2025-005). APP_12 Training Matrix and APP_14 Calibration & Equipment Log remain separate. A combined view linking specific operator qualifications to specific equipment authorisations would strengthen 7.2 evidence. Lower priority for B2 audit; 2026–27 IMS improvement candidate. 7.2 Low CAR-2026-004

Corrective Action Summary

CAR-2026-003 — Owner: Leanne Mason. Target close: 31/05/2026 (before audit). All three certs to be rebooked with external providers.

CAR-2026-004 — Owner: Sean Ashton (HSQE Consultant). Target close: 30/09/2026. Combined competency matrix as 2026–27 IMS improvement.

Conclusions

Support processes have matured strongly in the 2025–26 cycle:

Areas Meeting Requirements (sustained from IA202503):

  • Resources continue to be effectively determined and provided
  • Competence management continues to operate through APP_12 and APP_13 as the canonical registers
  • Communication continues to flow through morning toolbox talks, weekly compliance calls and the WhatsApp Works group
  • Document control continues to operate with the IMS portal as master and Word/Excel snapshots as offline working copies

New strengths since IA202503:

  • 44-SOP HTML migration (04/05/2026) — every SOP now hand-built to the SOP 3.4 standard with functional swimlanes, named roles (no more "HSQE Manager / SLT / Department Manager" generics), and concrete regulatory thresholds embedded in warning admonitions. Document-information control (clause 7.5) is materially stronger than at IA202503.
  • Toolbox-Talk Programme (TBT_PROG_01) — 12-month rolling schedule of monthly TBTs covering AMWS's highest-priority operational risks. Three priority pre-audit briefs (excavation safety + buried services / HAVS / COSHH fuels) ready to deliver weeks of 12/05, 19/05, 26/05 2026.
  • Right-to-Work Procedure (PROC_R2W_01) — operational steps for manual passport check + online share-code check + retention DofE+2yr + annual sweep documented (April 2026 — Leanne — no exceptions).
  • SOP 6.3 Site Inspections & Tours — recovered into the nav and mapped to the new Director Site-Tour Programme.
  • APP_07 hazards register expanded with HO-18 Fatigue (linked to RA_HO_18 issued 04/05/2026) — improved competence-relevant hazard coverage.

Recommendations

  1. Close CAR-2026-003 (3 expired certs) by 31/05/2026 — Leanne to confirm bookings.
  2. Deliver the 3 May 2026 priority TBTs and capture attendance using the new template — first proof point that TBT_PROG_01 operates as documented.
  3. Implement the PROC_R2W_01 annual sweep date in the standing weekly compliance-call calendar — first sweep already completed April 2026.
  4. Plan CAR-2026-004 (combined competency matrix) for autumn 2026 IMS improvement window.

Feedback & Acknowledgments

Full cooperation. The SOP HTML migration was a substantial piece of document-control work and has materially improved the audit experience — pages load fast, content is consistent, named roles eliminate the previous ambiguity around "HSQE Manager" vs "SLT".

Audit Report Prepared By

Name Position Signature Date
Sean Ashton HSQE Consultant S. Ashton 30/04/2026
Aaron Mason Director A. Mason 30/04/2026

Corrective Action Close Out

CAR-2026-003 — open. Target close 31/05/2026.
CAR-2026-004 — open. Target close 30/09/2026.