IA202604 — Operations¶

Audit Record

Field	Value
Audit reference	IA202604
Area audited	Operations — delivery of water mains repair, installation, reinstatement and grab works
Audit criteria	ISO 9001:2015 clauses 8.1, 8.4 and 8.7 · ISO 14001:2015 clauses 8.1 and 8.2 · ISO 45001:2018 clauses 8.1 and 8.2 · the AMWS IMS documents listed at section 2
Audit date	01/05/2026 (site observation at Westleigh Road, 28/04/2026)
Auditor	Sean Ashton, HSQE Consultant, Onyx Operations Ltd
Auditees	Aaron Mason (Director), Leanne Mason (Director), Jason May (Site Supervisor), two operatives, one framework subcontractor
Result	Conforms. 0 non-conformities, 1 observation
Previous audit of this area	IA202504, 23/09/2025 — 0 non-conformities, 0 observations
Form	FORM_INTAR001 Rev 1 ID 01/09/2025

1. Scope, criteria and independence¶

1.1 Scope¶

Operational delivery at both premises and on live sites: planning and control of works, management of change, control of externally provided processes and subcontracted labour, emergency preparedness, and the handling of nonconforming outputs.

Clauses examined: ISO 9001 8.1, 8.4.1–8.4.3 and 8.7; ISO 14001 8.1 and 8.2; ISO 45001 8.1.1–8.1.4 and 8.2. ISO 9001 clause 8.3 was tested as an exclusion only.

Clauses not examined in this audit: ISO 9001 8.2, 8.5 and 8.6. These are carried on the audit programme at APP_20 and are not covered by this sample. Nothing in this report should be read as a determination on them.

1.2 Independence¶

The auditor is an external HSQE consultant engaged by AMWS through Onyx Operations Ltd. He is not an employee of AMWS, holds no line responsibility for the work audited, and does not authorise, supervise or carry out operational delivery. He is the author of several of the IMS documents examined; where a document he authored is the evidence, the test applied was whether the documented arrangement is followed in practice and produces records, not whether the document reads well. Findings are reviewed and countersigned by a Director before issue.

1.3 Standards applied¶

ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018 are referenced without a dated edition where the requirement is common to all three.

2. Method and sample¶

Method	What was covered
Document review	MAN_01 IMS Manual Rev 3 (30/04/2026) · SOP 5.1 Production, Issue & Briefing of RAMS Issue 3 · SOP 5.2 Management of Change Issue 3 · SOP 5.3 Evaluation and Approval of Suppliers & Subcontractors Issue 3 · SOP 5.4 Emergency Preparedness & Response Issue 3 · SOP 7.1 Complaints, NCR & Corrective Action Issue 3 · SOP 8.6 Equipment Management & Maintenance Issue 3 · SOP 4.1 Device Calibration Issue 3 · APP_19 Approved Supplier Register Issue 4 (16/04/2026) · APP_17 Disaster Recovery & BCP Issue 2 (30/09/2025) · APP_16 · APP_18 · APP_21 Issue 2
Interview	Both Directors, the Site Supervisor, two operatives, and one framework subcontractor operative on site
Site observation	Westleigh Road repair, 28/04/2026 — RAMS briefing, point-of-work risk assessment, plant and equipment in use, waste segregation
Records sampled	RAMS and briefing records for five jobs (Westleigh Road plus four framework jobs, January–April 2026) · three supplier files across aggregates, PPE and plant hire (Boughton Loam Limited, Lapwing UK, Speedy Hire) · 33 supplier self-assessment records at FORM_PQQ_01 · three calibration certificates for CAT and Genny sets in use · the APP_17 testing log, 2024 to date · the toolbox talk register of 30/04/2026

Sampling was judgemental, weighted to the higher-risk activities the scope statement covers: excavation, work on live potable mains, and the use of subcontracted labour.

3. Result against each clause¶

Each row states the requirement, the objective evidence examined against it, and the result. Evidence is cited as it stood at the audit date.

3.1 ISO 9001:2015¶

Clause	What the standard requires	Objective evidence examined	Result
8.1 Operational planning and control	Plan, implement and control the processes needed to meet requirements: determine requirements, establish criteria for the processes and for acceptance, determine the resources needed, implement control in accordance with the criteria, and keep documented information sufficient to have confidence the processes were carried out as planned	MAN_01 Rev 3 §2.1 fixes the scope as "Provision of Water Utility Installation, Repair and Maintenance including Reinstatement and Grab Services". SOP 5.1 Issue 3 sets the planning control: "A M Water Services produces task-specific Risk Assessments and Method Statements (RAMS) for every operational activity", drafted by the HSQE Consultant and "the Directors review and approve before issue". RAMS for all five sampled jobs were present, approved before issue, and briefed with signatures collected. The 30/04/2026 toolbox talk register evidences briefing on a live client project	Conforms
8.3 Design and development	Where the organisation does not carry out design and development, any exclusion must be justified and must not affect the ability to meet requirements	MAN_01 Rev 3 §2.2: "A M Water Services Ltd does not undertake design or development activities as part of its operations. All services provided are delivered in accordance with customer specified requirements and applicable statutory and regulatory obligations." Confirmed at interview with both Directors — AMWS builds to client design and to the Specification for the Reinstatement of Openings in Highways	Exclusion valid
8.4.1 Control of externally provided processes — general	Determine and apply criteria for the evaluation, selection, monitoring of performance and re-evaluation of external providers, and retain documented information of those activities	APP_19 Issue 4, issued 16/04/2026 on completion of the 2026 annual supplier review, covering 32 approved suppliers and 62 labour-supply subcontractors. The review record states no complaints were logged during the review period. 33 supplier self-assessment records at FORM_PQQ_01 were examined	Conforms
8.4.2 Type and extent of control	Ensure externally provided processes remain within the control of the management system, and define the controls applied both to the provider and to the resulting output	Three supplier files walked through end to end — Boughton Loam Limited (aggregates), Lapwing UK (PPE), Speedy Hire (plant). Hire plant arrives with its own statutory examination evidence; SOP 8.6 Issue 3 is explicit that "AMWS does not extend coverage of its own examination certificates to hired plant" and that the hire company's certificate "must be on site for the duration of the hire". Checked against plant on site at Westleigh Road	Conforms
8.4.3 Information for external providers	Communicate requirements to external providers before the work, including the controls to be applied and the competence of persons	Subcontracted operatives work to the AMWS RAMS for the task, briefed and signed before the shift. Confirmed at interview with the framework subcontractor operative on site, who produced the briefed RAMS for the work in hand	Conforms
8.7 Control of nonconforming outputs	Identify and control outputs that do not conform, take appropriate action, and retain documented information describing the nonconformity, the action taken and the authority deciding it	SOP 7.1 Issue 3 routes every nonconformity through one procedure that "allocates a unique NCR number, investigates root cause, agrees corrective action with a named owner and target date, tracks completion to closure, verifies effectiveness". Close-out targets are set by severity — 7 working days safety-critical, 30 calendar days quality and process — and "Any NCR open beyond target without recorded extension is escalated to the Directors at the next weekly compliance call." SOP 4.1 Issue 3 carries the matching product control: where a measuring device fails calibration, work performed since the last successful calibration is "treat[ed] as non-conforming pending re-test or re-measurement". Operational NCRs are held on the live register maintained by Leanne Mason at the office; audit and management-review findings are held at APP_21	Conforms

3.2 ISO 14001:2015¶

Clause	What the standard requires	Objective evidence examined	Result
8.1 Operational planning and control	Establish, implement, control and maintain the processes needed to meet environmental management system requirements, including control of outsourced processes, and consistent with a lifecycle perspective	Environmental controls are carried in the RAMS for each task under SOP 5.1 and in the aspects register. Waste is the principal operational aspect: the Cawleys duty of care arrangement for the Stour Road yard, contract NK4004119, was in force across the audit period (01/01/2026 to 31/12/2026) under carrier registration CBDU143067. Waste segregation was observed on site at Westleigh Road. Material sourcing is controlled through the approved supplier arrangements at APP_19	Conforms
8.2 Emergency preparedness and response	Establish, implement and maintain the processes needed to prepare for and respond to potential emergency situations, and periodically test the planned response	SOP 5.4 Issue 3 identifies the emergency situations by name — "trench collapse, asbestos exposure, gas main strike, electric strike, water main strike causing flooding, vehicle incident, fire, medical emergency, environmental release" — and requires that plans are "tested through periodic exercises (annual desktop minimum, plus practical drills where role-specific competence is required)". APP_16 holds the response arrangements and the test log; APP_18 holds the emergency equipment with inspection dates; APP_17 Issue 2 holds the continuity plan. The testing log was examined for 2024 to date	Conforms — see OBS-01

3.3 ISO 45001:2018¶

Clause	What the standard requires	Objective evidence examined	Result
8.1.1 Operational planning and control	Establish criteria for the processes, implement control in accordance with those criteria, and adapt work to workers	SOP 5.1 Issue 3 requires a dynamic point of work risk assessment in addition to the RAMS: "Every operative crew must complete a Point of Work Risk Assessment on first arrival at site, before any work commences, to verify the planned controls remain valid for the actual conditions." Where the PowRA finds a material change, "work does not start until: (1) the issue is reported to the Site Supervisor; (2) revised controls are agreed; (3) the revised RAMS or supplementary briefing is delivered and acknowledged." The PowRA was observed being completed at Westleigh Road on 28/04/2026	Conforms
8.1.2 Eliminating hazards and reducing OH&S risks	Apply the hierarchy of controls	The hierarchy is applied through the RA_HO series and the task risk assessments, which were examined for the five sampled jobs. Controls observed on site were consistent with those assessed — excavation support, exclusion zones, and the 600 mm hand-dig zone on approach to buried services	Conforms
8.1.3 Management of change	Establish processes for the implementation and control of planned changes that affect OH&S performance	SOP 5.2 Issue 3 operates a stop-and-assess gate and defines significance by objective test: a change is significant where "(a) it introduces a new hazard not covered by an existing risk assessment; (b) it materially alters the residual risk score in an existing assessment...; (c) it changes the competencies required to perform the work; (d) it changes a design, specification, sequence of work or material...; (e) it changes the responsibilities or authorities for any HSQE-critical decision." Significant changes stop the affected activity until controls are agreed, RAMS amended, and the change briefed. Cosmetic and like-for-like changes are excluded by name. Tested against a mid-job specification change on one of the four framework jobs sampled	Conforms
8.1.4.1 / 8.1.4.2 / 8.1.4.3 Procurement, contractors and outsourcing	Establish controls to ensure procurement conforms; coordinate with contractors to identify hazards and control risks; ensure outsourced functions are controlled	APP_19 Issue 4 (16/04/2026) and the 33 FORM_PQQ_01 self-assessment records carry the supplier and subcontractor arrangements. Contractor coordination is evidenced by the briefed RAMS and the signed briefing record, confirmed on site with the framework subcontractor. Hired plant is controlled under SOP 8.6 as recorded at 8.4.2 above	Conforms
8.2 Emergency preparedness and response	As ISO 14001 8.2, with the response tested and workers made aware of their duties	As recorded at ISO 14001 8.2. Worker awareness was tested by interview: both operatives described the water main strike and trench collapse responses without prompting, including the call-out route to the Site Supervisor	Conforms — see OBS-01

4. Findings¶

4.1 Non-conformities¶

None.

4.2 Observations¶

Ref	Clause	Observation	Owner	Target	Corrective action
OBS-01	ISO 14001 8.2 · ISO 45001 8.2	SOP 5.4 Issue 3 sets an annual desktop exercise as the minimum test of the planned emergency response. The Q2 2026 desktop exercise — APP_17 scenario BC-01, loss of a key person, the Site Supervisor unavailable for five or more working days — was scheduled but had not been held at the time of the audit, so the current testing cycle was not yet evidenced. The requirement is met in arrangement and in the historic record; what was outstanding was the current period's test	Sean Ashton, Aaron Mason, Leanne Mason	31/05/2026	CAR-2026-005

An observation is a matter that does not breach a requirement but would, if left, put continued conformity at risk. It does not meet the threshold for a non-conformity and none was raised.

4.3 Status of the previous audit of this area¶

IA202504 (23/09/2025) closed with no non-conformities and no observations. No prior actions were open against Operations at the start of this audit.

5. Conclusion¶

The operational processes within the scope of this audit conform to ISO 9001:2015 clauses 8.1, 8.4 and 8.7, to ISO 14001:2015 clauses 8.1 and 8.2, and to ISO 45001:2018 clauses 8.1 and 8.2. The exclusion of ISO 9001 clause 8.3 is justified and correctly stated.

The controls are documented, they are followed, and they produce records. RAMS are produced for every task, approved before issue and briefed with signatures collected; the point of work risk assessment is completed on arrival and was observed in use. Supplier and subcontractor control rests on a register reviewed annually with per-supplier records behind it. Nonconforming output has one route with numbered records, severity-based close-out targets and an escalation step that is used.

One observation was raised, against the currency of emergency response testing rather than against the arrangement itself.

6. Recommendations¶

Hold and record the outstanding desktop exercise, and close CAR-2026-005 on the exercise record rather than on the booking.
Carry ISO 9001 clauses 8.2, 8.5 and 8.6 — the determination and review of requirements before work is accepted, traceability and release of completed work — as a distinct audit in the forward programme at APP_20. They were outside this sample and are not covered elsewhere in the 2026 cycle.
Retain the point of work risk assessment records with the RAMS for the sampled jobs as the standing evidence of clause 8.1.1 in practice.

7. Sign-off¶

Role	Name	Position	Signature	Date
Auditor	Sean Ashton	HSQE Consultant, Onyx Operations Ltd	S. Ashton	01/05/2026
Reviewed and accepted	Aaron Mason	Director	A. Mason	01/05/2026

Reported to the Directors at the weekly compliance call following the audit, and carried into the September 2026 Management Review as a clause 9.3.2 input.