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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

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 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) — Open — rolled forward as CAR-2026-004. 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, target 30/09/2026) carries the remaining work; per-task practical sign-off sheets remain a 2026-27 IMS roadmap item.

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 Open — rolled forward as CAR-2026-004. TBT Programme provides topic+attendance capture; combined competency matrix is the remaining action (target 30/09/2026).

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

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-2026-003 (3 expired certs) by 31/05/2026 — Leanne rebooking external courses.
  2. Validate the AMWS H&S Culture Survey (Onyx Operations) configuration in Q3 2026 — the workforce-sentiment instrument complements the training-currency picture (APP_11 KPI B3 reframed to Onyx Operations). First cycle target 31/08/2026.
  3. Close CAR-2026-011 with a calendar entry for the April 2027 R2W sweep.
  4. Deliver TBT-2026-05/06/07 in May 2026 and capture attendance — first proof point of the new programme.
  5. 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.

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 18/05/2026
Aaron Mason Director A. Mason 18/05/2026

Corrective Action Close Out

CAR-2026-011 status (as of 13/05/2026): Open. Target close 30/04/2027 (~350 days). Action — R2W annual sweep calendar entry placed in Leanne Mason's annual diary; 2027 capture mechanism to be documented as part of the 2026-27 IMS improvement cycle. Owner Leanne Mason.