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
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) — partially closed. Monthly KPI review continues; APP_22 accident statistics and APP_21 NC Register provide the canonical trend datasets. Statistical analysis remains light-touch and management-judgment-led — appropriate for AMWS's scale, but the 2025 observation is not formally closed-out as written. Effectively superseded by the broader KPI simplification (April–May 2026) which aligned several KPIs to be honestly measurable rather than over-engineered.
- 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.
The new Director Site-Tour Programme (FORM_DST_01) provides a structured route for performance evaluation through visible-leadership engagement; the first 2026 record (28/04/2026 Westleigh Road) captured both positive observations and one corrective action.
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 | Partially closed. Routine KPI review continues. Effectively superseded by the wider 2026 KPI simplification (E3 carbon, B2 improvement) which prioritises honest measurability over statistical sophistication.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¶
- Confirm closure or progress on IA202505 OBS-01 and OBS-02
- Assess whether the simplified KPI framing (post-04/05/2026) maintains compliance with 9.1.3 evaluation requirements
- Review the Director Site-Tour Programme's contribution to performance evaluation
- Confirm internal-audit programme is operating (this very audit being one of 16 in the 2026 cycle)
- 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, FORM_DST_01 Director Site-Tour template + first 2026 record.
- 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); first 2026 Director Site-Tour record 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:
- Director Site-Tour Programme — provides a structured input to performance evaluation; first record captured 28/04/2026 with two actions raised and routed to APP_21
- 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
Recommendations¶
- Close CAR-2026-006 by issuing the simple PM feedback after the next 5 framework jobs.
- Continue the standing weekly Director / HSQE compliance call as the active KPI-review forum.
- 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.
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 — open. Target close 30/09/2026.