IA202603 — Support¶
Audit Record
| Field | Value |
|---|---|
| Audit reference | IA202603 |
| Area audited | Support — resources, competence, awareness, communication and documented information |
| Audit criteria | ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018 clauses 7.1 to 7.5 · MAN_01 · MAN_01a |
| Audit date | 30/04/2026 |
| Auditor | Sean Ashton, HSQE Consultant, Onyx Operations Ltd |
| Auditees | Aaron Mason (Director), Leanne Mason (Director), Jason May (Site Supervisor) |
| Result | Conforms. 0 non-conformities, 2 observations |
| Previous audit of this area | IA202503, 2025 cycle |
| Form | FORM_INTAR001 Rev 1 ID 01/09/2025 |
1. Scope, criteria and independence¶
1.1 Scope¶
The resources the system needs, the competence of the people who operate it, their awareness of it, how the organisation communicates, and the control of its documented information.
Clauses examined: 7.1 resources, 7.2 competence, 7.3 awareness, 7.4 communication and 7.5 documented information. Clause 7.5 is examined here at overview level; it is audited in full at IA202609. Clause 7.2 is examined here against the certificate position; the training arrangements are audited in full at IA202611.
1.2 Independence¶
The auditor is an external HSQE consultant engaged through Onyx Operations Ltd. He is not an employee of AMWS and holds no line responsibility for the work audited. SOP 6.2 requires that an auditor does not audit work for which they are also responsible; AMWS has no second competent auditor, and the consultant drafted much of the documented system. The mitigation applied is that no document is tested against its own wording. Each clause is tested against records, against what the people responsible describe doing, and against what can be produced on request. Findings are reviewed and countersigned by a Director, who holds the authority to accept or reject them.
1.3 Note on document states¶
Documents are cited at the issue they stood at on 30/04/2026. The IMS manual and the roles document were issued at Revision 3 on the audit date and are quoted. The procedure set stood at Issue 2 and is cited by reference rather than quoted; its reissue at Issue 3 falls the day after this audit. The training and qualification registers stood at their 2025 issues.
2. Method and sample¶
| Method | What was covered |
|---|---|
| Document review | MAN_01 IMS Manual Revision 3 (30/04/2026) · MAN_01a Roles & Responsibilities Revision 3 (30/04/2026) · POL_HSQE_24 Training Policy Revision 3 · the support procedure set at Issue 2 |
| Registers examined | APP_12 Training Matrix at Issue 2 · APP_13 Tickets & Qualifications at Issue 2 · APP_14 Calibration & Equipment at its then-current issue |
| Records sampled | The training certificates held on file for the office-based and supervisory staff, each checked against its expiry date · the display screen equipment assessment of 26/11/2025 · the monthly HSQE communication bulletins for the twelve months to the audit date · the toolbox talk register of 30/04/2026 · the minuted management review of 27/09/2025, item 5 |
| Interview | Both Directors and the Site Supervisor, on how a training need is identified, who books it, and how a certificate reaches the file |
3. Result against each clause¶
| Clause | What the standard requires | Objective evidence examined | Result |
|---|---|---|---|
| 7.1 Resources — people, infrastructure, environment, monitoring and measuring resources, organisational knowledge | Determine and provide the resources needed for the establishment, implementation, maintenance and continual improvement of the system | MAN_01 Revision 3 enumerates them: "The company determines and provides resources needed including: Human Resources: Qualified operatives and supervisors ... External HSQE consultancy (Sean Ashton) as required." Resourcing is tested at management review and was minuted on 27/09/2025: "Resources appropriate for operational demands. Skilled workforce of 20 personnel with comprehensive competency matrices." Monitoring and measuring resources are separately controlled through the calibration arrangements at APP_14, with calibration certificates held against each instrument. The working environment is evidenced for office-based staff by the display screen equipment assessment of 26/11/2025 | Conforms |
| 7.2 Competence | Determine the necessary competence, ensure persons are competent on the basis of education, training or experience, take actions to acquire the necessary competence, and retain documented information as evidence | MAN_01 Revision 3 names the competence set against the work: "A M Water Services ensures personnel are competent through: EUSR Water Hygiene certification; NRSWA operative/supervisor qualifications; Equipment operation training ..." and assigns the coordination: "Training Coordination: The Supervisor coordinates training needs identification and scheduling, with administrative support for record-keeping." POL_HSQE_24 Revision 3 states the principle the arrangements serve: "A M Water Services Ltd recognises that competent, well-trained employees are fundamental to delivering safe, high-quality water infrastructure and grab services." Requirements by role are held at APP_12; individual holdings are held on the live register maintained by the Director for HR and admin, with the certificates filed against each person. Certificates were sampled against expiry dates and three statutory certificates were found expired — the subject of OBS-01 | Conforms — see OBS-01 |
| 7.3 Awareness | Ensure persons are aware of the policy, their contribution to effectiveness, the implications of not conforming, and the relevant hazards and risks | MAN_01 Revision 3 sets the awareness set: "The company ensures all personnel are aware of: The HSQE policies; Their contribution to IMS effectiveness; Benefits of improved performance; Implications of non-conformance; Relevant risks and controls." Delivery is through induction, the monthly bulletin and the toolbox talk programme. The toolbox talk register of 30/04/2026 was examined as the dated record — an AMWS-branded register naming the client project and the contractor, with a signature sheet completed by name and company for each attendee. Awareness was tested at interview and held up at supervisory and operative level | Conforms |
| 7.4 Communication | Determine the internal and external communications relevant to the system, including what, when, with whom and how | MAN_01 Revision 3 records both the formal and informal routes and does not pretend the informal one does not exist: "Communication Coordination: The Supervisor ensures effective communication flows throughout the organization, utilizing WhatsApp groups for rapid communication and formal methods for documented communications." The formal route is the monthly HSQE communication bulletin, each issue carrying its own document reference and issue date; twelve consecutive months to the audit date were examined and the series runs unbroken. External communication runs through the Directors, who hold the client relationships | Conforms |
| 7.5 Documented information | Include the documented information required by the standards and that determined as necessary; control its creation, update and availability | MAN_01 Revision 3 assigns it and points to the controlling procedures: "Master document control is coordinated by the Supervisor with administrative support. Sean Ashton (HSQE Consultant) maintains master documentation structure. Document control processes are detailed in SOP_4.6 and SOP_4.7." Every document sampled during this audit carried a reference, an issue number, an issue date and an approver. Examined in full at IA202609 | Conforms |
4. Findings¶
4.1 Non-conformities¶
None.
4.2 Observations¶
| Ref | Clause | Observation | Owner | Target | Corrective action |
|---|---|---|---|---|---|
| OBS-01 | 7.2 | Three statutory training certificates have expired and are awaiting rebooking: Jason May Fire Marshal, expired 15/08/2025; Leanne Mason Fire Marshal, expired 19/09/2025; Leanne Mason Emergency First Aid, expired 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 | Leanne Mason | 31/05/2026 | CAR-2026-003 |
| OBS-02 | 7.2 | The training matrix and the calibration and equipment register are maintained separately, so there is no single view linking a named operator's qualifications to the specific equipment they are authorised to use. A combined view would strengthen the competence evidence for plant and equipment work. Lower priority; an improvement candidate rather than a gap | Sean Ashton | 30/09/2026 | CAR-2026-004 |
4.3 Status of the previous audit of this area¶
IA202503 raised an observation on the operator-to-equipment competency link, carried as CAR-2025-005. It is rolled forward into CAR-2026-004 rather than closed, because the combined view has not been produced.
5. Conclusion¶
Support conforms to clauses 7.1 to 7.5 of all three standards. Resources are determined and provided and are tested annually at management review. Competence requirements are defined by role and evidenced by certificate. Awareness is delivered through a documented route and was tested at the workface. The communication arrangements are recorded honestly, including the informal channel the business actually uses for rapid communication rather than only the formal one. Documented information carries a complete control band on every document sampled.
Two observations were raised, both under clause 7.2. The first is a currency matter with cover maintained throughout; the second is a structural improvement to how competence evidence is presented rather than a gap in the competence itself.
6. Recommendations¶
- Rebook the three expired certificates and file them on issue. Close CAR-2026-003 on the certificates themselves, recording each expiry date on the closure note, not on the booking confirmations.
- When the combined operator-to-equipment view is produced under CAR-2026-004, generate it from the two existing registers rather than maintaining it as a third record.
- Keep the monthly bulletin series unbroken. A twelve-month unbroken run is the clearest evidence of clause 7.4 available to this system.
7. Sign-off¶
| Role | Name | Position | Signature | Date |
|---|---|---|---|---|
| Auditor | Sean Ashton | HSQE Consultant, Onyx Operations Ltd | S. Ashton | 30/04/2026 |
| Reviewed and accepted | Aaron Mason | Director | A. Mason | 30/04/2026 |