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Internal Audit Report

Audit Identification: IA202605
Area: Performance Evaluation
Audit Date: 4th May 2026
Auditor: Sean Ashton (HSQE Consultant, Onyx Operations)
Date Completed: 4th May 2026
Findings: 0 Non-conformities, 1 Observation
Scope: ISO 9001:2015 / 14001:2015 / 45001:2018 — Clauses 9.1–9.3
Document Number: FORM_INTAR001 Rev 1 ID 01/09/2025
Builds on prior audit: IA202505 (24/09/2025) — 0 NC, 2 OBS

Audit cycle context

This audit is part of AMWS's rolling 2026 internal audit cycle conducted across 28/04-19/05/2026 by Sean Ashton (HSQE Consultant), ahead of the Achilles UVDB Verify Category B2 surveillance audit on 3-4 June 2026. Some documents reviewed during the cycle were revised within the cycle as part of the broader 2025-26 IMS rebuild — see the Post-audit IMS evolution block at the foot of this report for details of changes completed by 13/05/2026.

Executive Summary

This audit re-examined Performance Evaluation one year on from IA202505. The 2025–26 cycle has materially strengthened evaluation evidence:

  • CAR-2025-006 (trend analysis methodology under SOP 6.1) — Closed (superseded). Monthly KPI review continues; APP_22 accident statistics and APP_21 NC Register provide the canonical trend datasets. The original 2025 ask for heavier statistical analysis is superseded by the 2026 KPI simplification (E3 carbon, B2 improvement) which prioritises honest measurability over statistical sophistication — AMWS-scale appropriate.
  • CAR-2025-007 (customer satisfaction survey) — open. The planned customer satisfaction survey has not yet been issued. Rolled forward as IA202605 OBS-01 with a refreshed action: target a simple post-job feedback sweep with the Anglian / Severn Trent project managers, rather than a generic survey instrument that may not return signal.

Performance-evaluation streams have been reinforced by the planned AMWS H&S Culture Survey (Onyx Operations) rollout (Q3 2026, post-audit) which will provide a HSG65-aligned cultural-sentiment readout to the Directors annually. The Director Site-Tour Programme that briefly operated in early 2026 has been retired in favour of this more reliable workforce-sentiment instrument.

Year-on-year follow-up — IA202505 outcomes

2025 ref 2025 finding (summary) Status in 2026 audit
OBS-01 / CAR-2025-006 Trend analysis methodology under SOP 6.1 Closed (superseded). Routine KPI review continues; superseded by 2026 KPI simplification (E3 carbon, B2 improvement) prioritising honest measurability over statistical sophistication. AMWS-scale appropriate.
OBS-02 / CAR-2025-007 Customer satisfaction survey (planned) Open — refreshed. Survey not yet issued. Rolled forward as IA202605 OBS-01 with a more pragmatic action — direct feedback from Anglian / Severn Trent PMs at job close-out.

Introduction

This audit examined Performance Evaluation processes (clauses 9.1 monitoring measurement analysis evaluation; 9.2 internal audit; 9.3 management review) one year on from IA202505 and after the 2026 KPI simplification.

Aims & Objectives

  1. Confirm closure or progress on IA202505 OBS-01 and OBS-02
  2. Assess whether the simplified KPI framing (post-04/05/2026) maintains compliance with 9.1.3 evaluation requirements
  3. Review the planned AMWS H&S Culture Survey (Onyx Operations) rollout (Q3 2026) and its KPI B3 evidence path
  4. Confirm internal-audit programme is operating (this very audit being one of 16 in the 2026 cycle)
  5. Evaluate the readiness of management-review inputs for the September 2026 MR

Audit Method

  • Document Review: APP_11 HSQE KPIs Rev 3 (with 04/05/2026 E3 + B2 simplifications), APP_21 NC Register Rev 3, APP_22 Accident Statistics Rev 3, APP_20 Internal Audits Programme 2026 Excel, SOP 6.1 Analysis & Evaluation Rev 3 HTML, SOP 6.2 Internal HSQE Audits Rev 3 HTML, SOP 6.3 Site Inspections & Tours Rev 3 HTML (recovered May 2026), SOP 6.4 Management Review Rev 3 HTML.
  • Interviews Conducted: Director (Aaron Mason — KPI owner for Q1, Q2, E3, H1, B3), HSQE Consultant (Sean Ashton — KPI owner for Q3, E1, B2 + audit methodology owner).
  • Observations: 2026 internal-audit programme as currently delivered (4 audits completed, 12 scheduled May–Sep 2026); AMWS H&S Culture Survey (Onyx Operations) Q3 2026 rollout plan reviewed.
  • Sampling: Q1 2026 KPI review notes from weekly compliance calls; APP_22 accident statistics 2024–2026; APP_21 NCRs and CARs from Jan 2026 to date.

Non-conformities

No non-conformities identified.

Observations

Ref Finding Clause Priority Ref
OBS-01 Customer satisfaction survey (rolled forward from CAR-2025-007). The 2025-planned generic survey has not been issued. AMWS's customer base is concentrated (Anglian Water + Severn Trent + a small handful of others), so a structured post-job feedback question to the client PM at handback would generate higher-signal data than a broad survey instrument. 9.1.2 Medium CAR-2026-006

Corrective Action Summary

CAR-2026-006 — Owner: Aaron Mason (Director, customer-relationship lead). Target close: 30/09/2026. Implement a 3-question PM feedback at job close-out for the next 5 framework jobs; capture results into APP_11 KPI Q1; review at next standing weekly compliance call.

Conclusions

Performance Evaluation continues to demonstrate compliance, with notable maturity since IA202505:

Areas Meeting Requirements (sustained from IA202505):

  • Monthly KPI review continues operationally
  • APP_22 accident statistics maintained as continuous trend dataset
  • APP_21 NC Register continues to capture corrective-action material
  • Internal audit programme continues to operate (this audit + 3 others completed week of 28/04–01/05; 12 scheduled across May–Sept)

New strengths since IA202505:

  • AMWS H&S Culture Survey (Onyx Operations) — planned Q3 2026 rollout will be the structured input to performance evaluation; HSG65-aligned, all-staff coverage; KPI B3 reframed accordingly
  • KPI simplification 04/05/2026 — E3 (carbon) and B2 (improvement programme) reframed for honest measurability, addressing the implicit risk in IA202505 OBS-01 that over-engineered methodology hides rather than reveals real performance
  • Customer-aligned net-zero objective in APP_06 Aspect 1 + APP_11 E3 — performance evaluation now meaningfully tied to PR24 supply-chain reporting expectations rather than a unilateral 2040 target

Position as at 13/05/2026: The findings above remain the formal record. The 12-13 May 2026 IMS consistency pass (see closure block below) does not alter any audit verdict; it strengthens the supporting evidence base going into the Achilles UVDB B2 surveillance audit (3-4 June 2026).

Recommendations

  1. Close CAR-2026-006 by issuing the simple PM feedback after the next 5 framework jobs.
  2. Continue the standing weekly Director / HSQE compliance call as the active KPI-review forum.
  3. Use the September 2026 Management Review to formally adopt the simplified KPI set as the 2026–27 baseline.

Feedback & Acknowledgments

Full cooperation. Audit benefited from the IMS portal restructure — KPI source data and SOP cross-references resolved cleanly.

Post-audit IMS evolution (12-13 May 2026)

The findings above stand as a point-in-time record at audit date. Following the 2026 audit cycle, AMWS completed an IMS-wide consistency pass on 12-13 May 2026 that affects references in this report. The audit findings remain valid; the system updates strengthen rather than supersede them. Material changes the auditor should be aware of:

Appendix-level changes

  • APP_01 Context & Interested Parties Log — Issue 3 / 01/06/2026; 10 → 12 interested parties (Ofwat [NEW 2026], ICO [NEW 2026]); 2 [NEW] + 3 [UPDATED] tags inline
  • APP_02 ISO Clause Application Matrix — Issue 2; Standards Watch section added tracking ISO 14001:2026 / 9001:2026 / 45001:2027 transitions
  • APP_02.1 Process Application Log — Issue 2; 8 → 9 processes (Information Security & Cyber [NEW 2026] added)
  • APP_05 Risk & Opportunity Log — risks reorganised by category (R-01..R-21 in category order); opportunities now scored using the same A + B + (C × D) method as risks (8 opportunities O-01..O-08, O-09 dropped — Onyx Operations business, not AMWS); R-07 Supply chain controls reflect the APP_19 Issue 7 / 19-May-2026 HTML register migration (18 Active rated Excellent / 13 Inactive / 1 Merged following the IA cycle proportionality review)
  • APP_06 Aspect Identification — Issue 3 / 01/06/2026; 12 → 14 environmental aspects (Aspect 13 Climate Adaptation [NEW 2026], Aspect 14 PFAS [NEW 2026])
  • APP_07 Hazard Identification — Issue 4 / 01/06/2026; HO-18 Fatigue Management added 04/05/2026; named owners throughout (generic role labels retired); RA review dates aligned to 01/06/2027
  • APP_08 OHS Hazard Assessments — Issue 2 (corrected from phantom Issue 3); RA_HO_18 added to register; compliance matrix expanded for 2026 legislation stack
  • APP_11 HSQE Objectives & KPIs — B4 Cyber Resilience KPI added [NEW 2026] (Cyber Essentials by 31/12/2026; zero notifiable breaches per year); B2 KISS reframe; E3 Carbon baseline now live (288.7 tCO₂e Scope 1+2)
  • APP_15 Lifecycle Analysis — 14 aspects in lifecycle matrix; Strategic Actions section added with KPI / SOP cross-references
  • APP_16 Emergency Preparedness — 12-scenario Response Matrix added (ER-01..ER-12 including ER-11 Cyber [NEW 2026] and ER-12 Extreme Weather [UPDATED 2026]); 2026 YTD testing log populated; APPL_16 Excel master created
  • APP_17 Disaster Recovery & BCP — Issue 4 / 13/05/2026; KISS testing cadence (annual desktop + real-incident reviews + continuous currency); two-tier interlink with APP_16 (Tier 1 incident response, Tier 2 business continuity) with shared scenario-mapping table
  • APP_18 Emergency Equipment Log — Issue 3; 2026 YTD inspection history populated (20 rows Jan-May); APPL_18 Excel master created
  • APP_19 Approved Suppliers — Issue 6 / 13/05/2026; explicit Performance Rating Criteria added (6 criteria × 3 bands: Excellent / Good / Do Not Use)
  • APP_20 Internal Audits Programme — Issue 3; 16 × 2026 internal audits delivered (28/04-19/05/2026); CAR-2026-001..011 tracker; 2026-27 forward programme with ISO 14001:2026 transition + Cyber audit slots
  • APP_21 NC Register — Issue 4 / 13/05/2026; dual-master pattern (audit-derived CARs portal-master; operational NCRs Leanne's live Excel)

Risk Assessments

  • All 18 RAs (RA_HO_01..18) standardised to consistent layout: Document Information callout → Download this risk assessment callout with .docx download → page body → How this document is approved callout
  • 4 × 4 matrix consistency applied across all 18 RAs (RA_HO_18 rescaled from 5×5 to match the rest)
  • 18 × .docx companions generated and linked from each RA page
  • APP_07 and APP_08 RA Coverage tables now have correct 04/07/2026 / 04/05/2027 review dates (was wrongly showing 01/06/2027) and clickable RA hyperlinks

Policies and procedures

  • POL_HSQE_29 Mental Health Policy (issued 04/05/2026 — Issue 1) — in operation
  • POL_HSQE_30 IT Security Policy (issued 04/05/2026 — Issue 1) — in operation
  • POL_HSQE_29 and POL_HSQE_30 cross-referenced from new APP_11 B4 KPI, APP_16 ER-11 Cyber scenario, APP_17 §3.1 Technology Disruption

Carbon Baseline 2025

  • Published 12/05/2026: 288.7 tCO₂e Scope 1+2 (diesel = 97% of footprint)
  • Referenced from APP_06 Aspect 1 + Aspect 9; APP_11 E3 KPI; APP_15 Strategic Actions; APP_07 HO-14

Excel companion consistency

  • APPL_16 and APPL_18 masters created in IMS Excel Conversions/ (previously absent — docs/appendices copies were stale "Table 1, 2, 3" generic-sheet versions)
  • All previously-stale docs Excel copies resynced from masters
  • Cross-reference fixes in APPL_02, APPL_03, APPL_04, APPL_06, APPL_15 to reflect APP_05 R-XX renumbering

Pattern consistency

  • All 23 appendices now follow a consistent template: Document Information callout → "Download the register" callout (single companion file) → page body → audit trail mirroring Excel cover → "How this document is approved" callout
  • 22 orphan .docx files removed from assets/local-docs/appendices/
  • Wide-mode tip dropped from callouts (FABs visible site-wide)

Looking ahead

  • e-forms proposal under development as the next IMS digitalisation workstream (will impact 7.5 documented information evidence and 9.1 monitoring streams)
  • AMWS H&S Culture Survey (Onyx Operations) — Q3 2026 post-audit rollout; replaces the short-lived Director Site-Tour Programme; HSG65-aligned workforce-wide cultural-sentiment readout. Aaron Mason's hands-on operational site presence continues as a feature of running the business (not a measurable KPI)
  • ISO 14001:2026 transition plan to be drafted Q3 2026; recertification cycle Nov 2027
  • 28/05/2026 BCP desktop exercise scheduled (key-person absence — Site Supervisor unavailable for 5+ working days, APP_17 §4 Scenario #3; P1 gap-closure ahead of Achilles UVDB B2 audit 3-4 June 2026)

The 16 × 2026 internal audit reports were drafted across 28/04-19/05/2026 with knowledge of the substantive 2025-26 IMS rebuild. The 12-13 May consistency pass captured above completes that rebuild; the audit findings continue to apply.

Audit Report Prepared By

Name Position Signature Date
Sean Ashton HSQE Consultant S. Ashton 04/05/2026
Aaron Mason Director A. Mason 04/05/2026

Corrective Action Close Out

CAR-2026-006 status (as of 13/05/2026): Open. Target close 30/09/2026 (~140 days). Action — 3-question PM feedback at job close-out for the next 5 framework jobs; capture results into APP_11 KPI Q1; review at next standing weekly compliance call. Owner Aaron Mason.