Internal Audit Report

Audit Identification: IA202611
Area: Training & Competence
Audit Date: 18/05/2026
Auditor: Sean Ashton (HSQE Consultant, Onyx Operations)
Date Completed: 18/05/2026
Findings: 0 Non-conformities, 1 Observation
Scope: Clauses 7.2 (ISO 9001, 14001, 45001)
Document Number: FORM_INTAR001 Rev 1 ID 01/09/2025
Builds on prior audit: IA202511 (29/09/2025) — 0 NC, 1 OBS

Executive Summary

This audit re-examined Training & Competence one year on from IA202511. The 2025 observation is partially progressed:

• CAR-2025-016 (informal on-the-job training capture / competency sign-off sheets) — partially closed. The 12-month TBT Programme (TBT_PROG_01) issued 04/05/2026 provides the structured topic + attendance capture mechanism. The combined operator-equipment competency matrix (CAR-2026-004 from IA202603) addresses the document-side of this; per-task practical sign-off sheets remain a 2026–27 IMS improvement candidate.

The big 2025–26 training-competence picture: 3 statutory certificates expired in 2025 and remain pending replacement (CAR-2026-003 from IA202603, target close 31/05/2026 — Leanne rebooking external courses). Otherwise APP_12 Training Matrix shows full currency.

The new 2026 documents cumulatively raise the competence bar:

• PROC_R2W_01 Right-to-Work Procedure — pre-employment competence check
• POL_HSQE_29 Mental Health Policy — MHFA cover (Jason + Leanne both certs current)
• RA_HO_18 Fatigue — refresher training scheduled in TBT-2026-09
• 12 monthly TBTs covering AMWS's highest-priority operational risks

One new observation: PROC_R2W_01 introduces an annual sweep concept (last sweep April 2026 — Leanne — no exceptions). This sweep needs a calendar entry for April 2027 and the result needs to be captured into APP_12 each year so the cadence is auditable.

Year-on-year follow-up — IA202511 outcomes

2025 ref	2025 finding (summary)	Status in 2026 audit
OBS-11-01 / CAR-2025-016	Informal on-the-job training capture / competency sign-off sheets	Partially closed. TBT Programme provides topic+attendance capture; per-task practical sign-off remains a 2026–27 IMS improvement (linked to CAR-2026-004).

Introduction

This audit examined Training & Competence under clause 7.2 one year on from IA202511 and after substantive 2025–26 additions: TBT Programme, Right-to-Work Procedure, Mental Health Policy MHFA cover, Fatigue RA, recovered SOP 6.3.

Aims & Objectives

1. Confirm closure or progress on IA202511 OBS-11-01
2. Verify APP_12 Training Matrix currency including the 3 expired certs status
3. Confirm new 2026 training references (RA_HO_18, TBT_PROG_01, PROC_R2W_01)
4. Sample 5 worker training files for currency
5. Verify SOP 4.2 / 4.3 continue to define the methodology

Audit Method

• Document Review: SOP 4.2 Competencies & Training Rev 3 HTML, SOP 4.3 Training Events Rev 3 HTML, APP_12 Training Matrix (live Excel held by Leanne — referenced from portal), APP_13 Tickets & Qualifications Rev 3, POL_HSQE_24 Training Policy Rev 3, TBT_PROG_01 Toolbox-Talk Programme (new 04/05/2026), PROC_R2W_01 Right-to-Work Procedure (new 04/05/2026), RA_HO_18 (referenced training in TBT-2026-09 + 06 + 11), MHFA certificates (Jason May EXP 07/11/2026; Leanne Mason EXP 13/11/2026), 4 awareness certificates spanning Jason / Leanne / Richard Cowdell / Brandon Amos.
• Interviews Conducted: Director (Leanne Mason — APP_12 owner / training coordinator), Site Supervisor (Jason May), HSQE Consultant.
• Observations: APP_12 sample of 10 random workers' training currency; the 3 expired certs traced through to Leanne's rebooking schedule; TBT-2026-05 brief reviewed for legal-reference accuracy.
• Sampling: 5 staff records (F Rudd, J May, L Goode, S Tahiru, Richard Cowdell); 4 awareness certificates from 8 Occ Health folder; the 3 expired certificates from CAR-2026-003.

Non-conformities

No non-conformities identified.

Observations

Ref	Finding	Clause	Priority	Ref
OBS-01	The new PROC_R2W_01 Right-to-Work Procedure introduces an annual sweep concept (last sweep April 2026 — Leanne — no exceptions). To make this cadence audit-defensible going forward, the sweep needs a recurring calendar entry for April 2027 (and beyond) and the sweep result needs to be captured into APP_12 each year as a dated record.	7.2	Low	CAR-2026-011

Corrective Action Summary

CAR-2026-011 — Owner: Leanne Mason (HR/Admin). Target close: 30/04/2027 — calendar entry created now; first repeat sweep due April 2027 with result added to APP_12.

Conclusions

Training & Competence is materially stronger than at IA202511:

Areas Meeting Requirements (sustained from IA202511):

• APP_12 Training Matrix continues to operate as canonical source (live Excel held by Leanne)
• APP_13 Tickets & Qualifications continues to capture role-specific tickets
• POL_HSQE_24 Training Policy continues to apply
• 100% mandatory-training-current target sustained (APP_11 KPI H3) except for the 3 expired certs being rebooked

New strengths since IA202511:

• TBT Programme — 12-month rolling schedule with 3 priority pre-audit briefs ready (excavation / HAVS / COSHH-fuels)
• Right-to-Work Procedure with documented annual sweep (April 2026 complete)
• MHFA cover — both certs (Jason + Leanne) current to November 2026
• POL_HSQE_29 Mental Health — explicitly defines MHFA roles and signposting routes
• RA_HO_18 Fatigue — fatigue training scheduled in TBT-2026-09 with concrete EAV/ELV thresholds in TBT-2026-06

Recommendations

1. Close CAR-2026-003 (3 expired certs) by 31/05/2026 — Leanne rebooking external courses.
2. Close CAR-2026-011 with a calendar entry for the April 2027 R2W sweep.
3. Deliver TBT-2026-05/06/07 in May 2026 and capture attendance — first proof point of the new programme.
4. Consider the per-task practical sign-off sheet as a 2026–27 IMS improvement (cross-ref CAR-2026-004 from IA202603).

Feedback & Acknowledgments

Full cooperation. Leanne's training-matrix discipline + the new 2026 procedures cumulatively give the audit a much stronger competence picture than IA202511.

Audit Report Prepared By

Name	Position	Signature	Date
Sean Ashton	HSQE Consultant	S. Ashton	18/05/2026
Aaron Mason	Director	A. Mason	18/05/2026

Corrective Action Close Out

CAR-2026-011 — open. Target close 30/04/2027.