IA202613 — Management Review¶
Audit Record
| Field | Value |
|---|---|
| Audit reference | IA202613 |
| Area audited | Management review |
| Audit criteria | ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018 clause 9.3 · SOP 6.4 · FORM_MR_001 |
| Audit date | 06/05/2026 |
| Auditor | Sean Ashton, HSQE Consultant, Onyx Operations Ltd |
| Auditees | Aaron Mason (Director), Leanne Mason (Director) |
| Result | Conforms. 0 non-conformities, 1 observation |
| Previous audit of this area | IA202513, 2025 cycle |
| Form | FORM_INTAR001 Rev 1 ID 01/09/2025 |
1. Scope, criteria and independence¶
1.1 Scope¶
Whether top management reviews the integrated management system at planned intervals, whether the review considers the inputs the standards require, and whether it records the outputs they require.
Clauses examined: 9.3.1 general, 9.3.2 management review inputs, 9.3.3 management review outputs, in all three standards. ISO 45001 9.3 carries additional inputs on worker consultation and participation; those are examined here.
1.2 Independence¶
The auditor is an external HSQE consultant engaged through Onyx Operations Ltd. He is not an employee of AMWS and holds no line responsibility for the work audited. SOP 6.2 requires that an auditor does not audit work for which they are also responsible; AMWS has no second competent auditor, and the consultant drafted much of the documented system. The mitigation applied is that no document is tested against its own wording. Each clause is tested against records, against what the people responsible describe doing, and against what can be produced on request. Findings are reviewed and countersigned by a Director, who holds the authority to accept or reject them.
2. Method and sample¶
| Method | What was covered |
|---|---|
| Document review | SOP 6.4 Management Review Issue 3 (01/05/2026) · SOP 3.4 Setting & Reviewing HSQE Objectives Issue 3 · SOP 6.1 Analysis & Evaluation Issue 3 · MAN_01 IMS Manual Rev 3 (30/04/2026) section 8.3 · FORM_MR_001 Management Review Agenda & Minutes Issue 3 (01/09/2025) |
| Record sampled | The minuted management review of 27/09/2025 in full — agenda, attendance, each input, each output, the action schedule and the approval signatures |
| Interview | Both Directors, on how the review is prepared, who attends, what is put in front of them and what they decide |
| Cross-check | The review's recorded outputs against the objectives register and the corrective action register, to test whether decisions taken at review are carried into the system |
The review record is a single annual document, so the sample is the whole population rather than a selection from it.
3. Result against each clause¶
3.1 Clause 9.3.1 — General¶
| Requirement | Objective evidence examined | Result |
|---|---|---|
| Top management shall review the management system at planned intervals to ensure its continuing suitability, adequacy, effectiveness and alignment with strategic direction | SOP 6.4 Issue 3 fixes the interval: "A M Water Services holds a formal Management Review of the Integrated Management System at least annually." The most recent review was held on 27/09/2025 and minuted on FORM_MR_001 Issue 3. MAN_01 Rev 3 section 8.3 states the same interval and lists the standing input set. The review is within the interval the procedure sets | Conforms |
| The review is carried out by top management | The 27/09/2025 minutes record attendance as "Aaron Mason, Leanne Mason, Sean Ashton (Onyx Operations - HSQE Consultant)", with "Absent with apologies: None". Both Directors — the whole of top management at AMWS — were present and each signed the record | Conforms |
| The review sits in a wider cycle rather than standing alone | SOP 6.4 Issue 3 is explicit about what the annual review is for: "The annual Management Review formalises the conclusions of a continuous compliance cycle — weekly Director / HSQE compliance calls and monthly Onyx site visits — rather than serving as the primary review mechanism." Both Directors described that cadence consistently at interview | Conforms |
3.2 Clause 9.3.2 — Inputs¶
The 27/09/2025 minutes were tested input by input against the lettered list in the standards.
| Input | What the standards require | Objective evidence in the 27/09/2025 record | Result |
|---|---|---|---|
| a) Status of actions from previous management reviews | The review considers what happened to the last review's decisions | Minuted: "All actions from the previous management review have been successfully completed and closed out." | Considered |
| b) Changes in external and internal issues relevant to the system, including interested parties and risks and opportunities | Context change is put to the review | Minuted under context and strategy, recording the AMP8 position and the WIRS pathway: "AMP8 position strong. WIRS pathway supports expansion." Risk treatment was taken as an input: "Risk mitigation effective. Apprenticeship programme addresses skills shortage. Supply chain risks mitigated through diversification." | Considered |
| c) Information on performance and effectiveness — nonconformity and corrective action, monitoring and measurement, audit results, compliance obligations, objectives, process performance, external provider performance, customer satisfaction | Performance data is put to the review | Each is separately minuted. Objectives: "All 12 SMARTER objectives are either achieved or on track, demonstrating effective implementation of the enhanced KPI framework." Audit results: "All 16 internal audits completed successfully, demonstrating more thorough programme than previous year... Only two minor observations identified. All corrective actions implemented." External providers: "PQQs and Annual Supplier Evaluations completed for 32 suppliers by HSQE Consultant." Compliance: "Full compliance maintained with all applicable legal requirements... Legal compliance remains exemplary with zero enforcement actions or breaches." Customer satisfaction: "Customer satisfaction levels remain exceptionally high with positive feedback received consistently from water company clients." | Considered |
| d) Adequacy of resources | Resourcing is put to the review | Minuted: "Resources appropriate for operational demands. Skilled workforce of 20 personnel with comprehensive competency matrices." | Considered |
| e) Effectiveness of actions taken to address risks and opportunities | The treatment of risk is reviewed for effect, not just for existence | Minuted at item 6 as recorded at b) above, addressing the skills-shortage and supply-chain risks by name and stating the effect of the treatment | Considered |
| f) Opportunities for continual improvement | Improvement is a standing input | Carried into the outputs, which approve a named improvement set. See 9.3.3 b) below | Considered |
| ISO 45001 additional — consultation and participation of workers | The review considers what workers have raised | Worker-facing channels were before the review through the toolbox talk programme and the near-miss position, which produced the minuted decision "Near miss reporting to be incentivized." The roll-up of consultation evidence into a single input for the review is the subject of OBS-01 | Considered — see OBS-01 |
3.3 Clause 9.3.3 — Outputs¶
| Requirement | Objective evidence examined | Result |
|---|---|---|
| The outputs of the review shall include decisions and actions on continual improvement opportunities, any need for changes to the system, and resource needs | The 27/09/2025 minutes record outputs under six headings, each answered rather than left blank. Continuing suitability: "IMS confirmed suitable, adequate, and effective. Digital transformation provides clear advantage." Continual improvement: "Approved: QR codes, training modules via Onyx, virtual site/van enhancement." Changes to the system: "No structural changes. Continue digital enhancement." Where objectives are not met: "Near miss reporting to be incentivized." Integration: "Digital platform enables seamless HSQE/operational integration." Strategic implications: "AMP8 position strong. WIRS pathway supports expansion." | Conforms |
| Documented information is retained as evidence of the results of the review | The review is recorded on the controlled form FORM_MR_001 Issue 3, held in the management review archive, signed by the author and approved by both Directors on the day of the meeting | Conforms |
| Decisions are carried into the system with owners and dates | Every approved action in the minutes carries a named owner and a target date. Traced forward into the objectives register and the corrective action register | Conforms |
4. Findings¶
4.1 Non-conformities¶
None.
4.2 Observations¶
| Ref | Clause | Observation | Owner | Target | Corrective action |
|---|---|---|---|---|---|
| OBS-01 | ISO 45001 9.3 | Worker consultation evidence is generated continuously — toolbox talk attendance, questions raised to the Directors on site, and the culture survey planned for Q3 2026 — but there is no defined roll-up format for presenting it to the review as a single input. Clause 9.3.2 requires this input category to be explicitly captured. Define a one-page worker consultation summary, populate it from the toolbox talk and site visit records, and include it in the September 2026 review pack | Sean Ashton | 31/08/2026 | CAR-2026-007 |
4.3 Status of the previous audit of this area¶
IA202513 in the 2025 cycle raised one observation, carried as CAR-2025-018, on the same worker consultation roll-up. It is rolled forward to CAR-2026-007 rather than closed, because the roll-up format has not yet been defined.
5. Conclusion¶
The management review process conforms to clause 9.3 of all three standards. The review is held at the interval the procedure sets, by top management, on a controlled form. Every input the standards require was considered and is visible in the record, and every output category is answered with a decision rather than left open. Decisions carry named owners and dates and are traceable into the objectives and corrective action registers.
The review's own framing is worth recording as a strength: it formalises a continuous compliance cycle rather than being the only point at which the system is looked at, and the weekly and monthly cadence behind it was described consistently by both Directors.
One observation was raised, on the presentation of worker consultation evidence as a distinct input rather than on whether that consultation happens.
6. Recommendations¶
- Define the one-page worker consultation summary and use it at the September 2026 review, closing CAR-2026-007 on the populated summary rather than on the template.
- Keep the lettered clause 9.3.2 input list as the agenda structure on FORM_MR_001, so the record maps to the standard without interpretation.
- Record the review's outputs against the same lettered structure, which the 27/09/2025 minutes already do.
7. Sign-off¶
| Role | Name | Position | Signature | Date |
|---|---|---|---|---|
| Auditor | Sean Ashton | HSQE Consultant, Onyx Operations Ltd | S. Ashton | 06/05/2026 |
| Reviewed and accepted | Aaron Mason | Director | A. Mason | 06/05/2026 |
Reported to the Directors at the weekly compliance call following the audit.