Internal Audit Report

Audit Identification: IA202606
Area: Improvement
Audit Date: 5th May 2026
Auditor: Sean Ashton (HSQE Consultant, Onyx Operations)
Date Completed: 5th May 2026
Findings: 0 Non-conformities, 0 Observations
Scope: ISO 9001:2015 / 14001:2015 / 45001:2018 — Clauses 10.1–10.3
Document Number: FORM_INTAR001 Rev 1 ID 01/09/2025
Builds on prior audit: IA202506 (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 Improvement processes one year on from IA202506. Both 2025 observations are now closed:

• CAR-2025-008 (operative suggestions captured into improvement system) — closed. The new TBT Programme (TBT_PROG_01) issued 04/05/2026 embeds an attendance template per session that includes a "Issues raised / actions" capture column. Aaron Mason's informal site attendance continues to surface operative feedback in real time — the 28/04/2026 Westleigh Road site walk routed a glove-spec question via Aaron to Leanne for Lapwing-glove specification review (CAR-2026-IAF-003). The AMWS H&S Culture Survey (Onyx Operations) scheduled for Q3 2026 rollout will provide the formal workforce-wide structured channel.
• CAR-2025-009 (quarterly NC trend analysis) — closed. The standing weekly Director / HSQE compliance call provides routine real-time review of new NCRs / CARs; the 5 P1 gap-closure items + 5 new 2026-IA CARs are visible at programme level. Quarterly trend roll-up is now embedded in the cadence.

The 2026 IA cycle itself is generating CARs on a planned basis (CAR-2026-001 through CAR-2026-005 from IA202601–04, with CAR-2026-006 from IA202605 and likely more from this and remaining audits) — demonstrating that the improvement system is operating as designed.

No new observations.

Year-on-year follow-up — IA202506 outcomes

2025 ref	2025 finding (summary)	Status in 2026 audit
OBS-06-01 / CAR-2025-008	Operative suggestions not always formally captured	Closed. TBT Programme attendance template captures operative engagement explicitly; Aaron's informal site presence supplements this in real time. AMWS H&S Culture Survey (Onyx Operations) rollout (Q3 2026) will be the formal workforce-wide instrument.
OBS-06-02 / CAR-2025-009	Quarterly trend analysis of NC data	Closed. Standing weekly Director / HSQE compliance call provides routine review; programme-level visibility through gap-closure tracker.

Introduction

This audit examined the Improvement processes (clauses 10.1 general; 10.2 nonconformity & corrective action; 10.3 continual improvement) one year on from IA202506.

Aims & Objectives

1. Confirm closure of IA202506 OBS-06-01 and OBS-06-02
2. Verify the corrective-action workflow operates from observation → owner → close-out (testing on the 2026-IA CARs raised so far)
3. Confirm worker participation channels exist and are used (TBT Programme + Director Site Tours + weekly compliance call)
4. Review continual improvement evidence including the 2026 IMS rebuild as a substantive improvement programme

Audit Method

• Document Review: APP_21 NC Register Rev 3, gap-closure tracker, SOP 7.1 Complaints / NCR / Corrective Action Rev 3 HTML, SOP 7.2 Continual Improvement Rev 3 HTML, TBT_PROG_01 Toolbox-Talk Programme + 3 priority briefs.
• Interviews Conducted: Directors (Aaron + Leanne Mason), Site Supervisor (Jason May), HSQE Consultant.
• Observations: 2026-IA CAR pipeline traced from raise → owner → target date; the substantive improvement portfolio of 2025–26 (44-SOP HTML migration, 2 new policies, 1 new RA, KPI simplifications, BCP testing-log backfill, supplier SAR refresh) reviewed.
• Sampling: All 6 CAR-2026-xxx open at audit date; the 5 most recent IAF improvement entries; Aaron's 28/04/2026 Westleigh Road informal site walk.

Non-conformities

No non-conformities identified.

Observations

No observations identified.

Conclusions

Improvement is the area where the 2025–26 cycle has matured most visibly:

Areas Meeting Requirements (sustained from IA202506):

• APP_21 continues to operate as the canonical NC / CAR register
• SOP 7.1 / 7.2 continue to define the corrective-action and continual-improvement frameworks (now in the rebuilt HTML SOP format)
• Improvement suggestions continue to flow through toolbox talks and team meetings

New strengths since IA202506:

• Substantive 2025–26 improvement portfolio. The IMS itself has been a multi-month improvement project: 44 SOPs rebuilt, 2 new policies, 1 new RA, 7 retired generic role labels, 4 KPI/Aspect simplifications, 32 supplier SARs, BCP testing-log backfill, IT-Security policy, Mental-Health policy, Right-to-Work procedure, PTW template, TBT programme, planned AMWS H&S Culture Survey (Onyx Operations) rollout, Recycling note, Sustainability note. Each captured in change-log entries — the auditor can trace continual improvement at clause-10.3 level by reading those entries alone.
• Worker participation evidence — TBT_PROG_01 attendance template explicitly captures operative input; Aaron's informal site presence provides real-time supplement (proof point 28/04/2026 Westleigh Road — glove-spec question routed to Leanne). AMWS H&S Culture Survey (Onyx Operations) rollout Q3 2026 will provide the formal workforce-wide instrument.
• 2026-IA CAR pipeline. Within one week of audit start (IA202601 on 28/04), 5 CARs raised, 5 owners named, 5 target dates set, all visible in the gap-closure tracker.

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. Continue to capture operative input via the TBT attendance template; validate and roll out the AMWS H&S Culture Survey (Onyx Operations) in Q3 2026 as the formal workforce-wide instrument.
2. At the September 2026 Management Review, report the 2025–26 improvement portfolio as the substantive evidence for clause 10.3.
3. Track 2026-IA CAR close-out cadence — target ≥80% closed within target date.

Feedback & Acknowledgments

Full cooperation. The volume of substantive improvement delivered in the 2025–26 cycle made this audit's evidence-gathering straightforward.

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	05/05/2026
Aaron Mason	Director	A. Mason	05/05/2026

Corrective Action Close Out

Status as of 13/05/2026: No CAR raised directly by this audit. The improvement system is operating as designed — the 2026 audit cycle itself is generating CARs on a planned basis (CAR-2026-001..011, all with named owners and target close dates), demonstrating the corrective-action workflow at clause-10.2 / 10.3 level. Year-on-year continuity from IA202506 demonstrated.