Information
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Site conducted
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Client / Site
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Audit commenced on
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Audit completed on
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Prepared by
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Exemplar Global Lead WQMS Auditors Michael Lawrence #129230 and Sean Hinton #133942
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Location
Regulatory Requirements
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Relevant DWQMPs
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Relevant DWQMP
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Documents audited not otherwise captured with photographs
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Personnel
Element 1: Commitment to Drinking Water Quality
Drinking Water Quality Policy
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Formulate a drinking water quality policy, endorsed by senior executive, to be implemented throughout the organisation.
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Ensure that the policy is visible and is communicated, understood and implemented by employees.
Regulatory and Formal Requirements
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Identify and document all relevant regulatory and formal requirements.
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Ensure responsibilities are understood and communicated to employees.
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Review requirements periodically to reflect any changes.
Engaging Stakeholders
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Identify all stakeholders who could affect, or be affected by, decisions or activities of the drinking water supplier.
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Develop appropriate mechanisms and documentation for stakeholder commitment and involvement.
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Regularly update the list of relevant agencies.
Element 2: Assessment of the Drinking Water Supply System
Water supply system analysis
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Assemble a team with appropriate knowledge and expertise.
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Assemble pertinent information and document key characteristics of the water supply system to be considered.
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Periodically review the water supply system analysis.
Scheme
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Construct a flow diagram of the water supply system from catchment to consumer.
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Does the schematic accurately reflect the scheme?
Assessment of water quality data
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Assemble historical data from source waters, treatment plants and finished water supplied to consumers (over time and following specific events).
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List and examine exceedances.
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Assess data using tools such as control charts and trends analysis to identify trends and potential problems.
Hazard identification and risk assessment
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Define the approach and methodology to be used for hazard identification and risk assessment.
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Identify and document hazards, sources and hazardous events for each component of the water supply system.
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Were all likely hazards identified effectively?
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Estimate the level of risk for each identified hazard or hazardous event.
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Evaluate the major sources of uncertainty associated with each hazard and hazardous event and consider actions to reduce uncertainty.
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Determine significant risks and document priorities for risk management.
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Periodically review and update the hazard identification and risk assessment to incorporate any changes.
Element 3: Preventive Measures for Drinking Water Quality Management
Preventive measures and multiple barriers
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Identify existing preventive measures from catchment to consumer for each significant hazard or hazardous event and estimate the residual risk.
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Evaluate alternative or additional preventive measures where improvement is required.
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Document the preventive measures and strategies into a plan addressing each significant risk.
Critical control points
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Assess preventive measures from catchment to consumer to identify critical control points.
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Document the critical control points, critical limits and target criteria.
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Establish mechanisms for operational control.
CCPs
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Which CCP is being audited?
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Is the CCP implemented as stated?
Element 4: Operational Procedures and Process Control
Operational procedures
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Identify procedures required for processes and activities from catchment to consumer.
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Document all procedures and compile into an operations manual.
Operational monitoring
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Develop monitoring protocols for operational performance of the water supply system, including the selection of operational parameters and criteria, and the routine analysis of results.
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Document monitoring protocols into an operational monitoring plan.
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Does the monitoring undertaken during the audit period match the monitoring plan?
Corrective action
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Establish and document procedures for corrective action to control excursions in operational parameters.
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Were corrective actions undertaken as expected?
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Establish rapid communication systems to deal with unexpected events.
Equipment capability and maintenance
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Ensure that equipment performs adequately and provides sufficient flexibility and process control.
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Is there jar testing equipment available where coagulation/ flocculation/ sedimentation is used?
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Is there appropriate duty/standby equipment for key processes?
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Establish a program for regular inspection and maintenance of all equipment, including monitoring equipment.
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Are there regular internal calibrations of monitoring equipment?
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Are calibration solutions available and in date?
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Are there regular external maintenance and calibration of monitoring equipment?
Materials and chemicals
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Ensure that only approved materials and chemicals are used.
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Establish documented procedures for evaluating chemicals, materials and suppliers.
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Is there any mechanism established for ensuring the quality of chemicals delivered?
Element 5: Verification of Drinking Water Quality
Drinking water quality monitoring
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Determine the characteristics to be monitored in the distribution system and in water as supplied to the consumer.
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Establish and document a sampling plan for each characteristic, including the location and frequency of sampling.
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Was the verification monitoring program implemented as stated?
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Ensure monitoring data are representative and reliable.
Consumer satisfaction
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Establish a consumer complaint and response program, including appropriate training of employees.
Short-term evaluation of results
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Establish procedures for the daily review of drinking water quality monitoring data and consumer satisfaction.
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Were any exceedances identified and reported immediately?
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Develop reporting mechanisms internally, and externally, where required.
Corrective action
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Establish and document procedures for corrective action in response to non-conformance or consumer feedback.
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Establish rapid communication systems to deal with unexpected events.
Element 6: Management of Incidents and Emergencies
Communication
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Define communication protocols with the involvement of relevant agencies and prepare a contact list of key people, agencies and businesses.
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Develop a public and media communications strategy.
Incident and emergency response protocols
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Define potential incidents and emergencies and document procedures and response plans with the involvement of relevant agencies.
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Train employees and regularly test emergency response plans.
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Investigate any incidents or emergencies and revise protocols as necessary.
Element 7: Employee Awareness and Training
Employee awareness and involvement
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Develop mechanisms and communication procedures to increase employees’ awareness of and participation in drinking water quality management.
Employee training
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Ensure that employees, including contractors, maintain the appropriate experience and qualifications.
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Identify training needs and ensure resources are available to support training programs.
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Document training and maintain records of all employee training.
Element 8: Community Involvement and Awareness
Community consultation
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Assess requirements for effective community involvement.
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Develop a comprehensive strategy for community consultation.
Communication
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Develop an active two-way communication program to inform consumers and promote awareness of drinking water quality issues.
Element 9: Research and Development
Investigative studies and research monitoring
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Establish programs to increase understanding of the water supply system.
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Use information to improve management of the water supply system.
Validation of processes
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Validate processes and procedures to ensure that they are effective in controlling hazards.
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Has the chlorine contact time been calculated to ensure effective disinfection?
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Are filtration processes appropriate for removal of protozoan hazards if present in raw water source?
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Revalidate processes periodically or when variations in conditions occur.
Design of equipment
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Validate the selection and design of new equipment and infrastructure to ensure continuing reliability.
Element 10: Documentation and Reporting
Management of documentation and records
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Document information pertinent to all aspects of drinking water quality management.
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Develop a document control system to ensure current versions are in use.
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Establish a records management system and ensure that employees are trained to fill out records.
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Periodically review documentation and revise as necessary.
Reporting
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Establish procedures for effective internal and external reporting.
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Produce an annual report to be made available to consumers, regulatory authorities and stakeholders.
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Was the information provided in the annual report accurate?
Element 11: Evaluation and Audit
Long-term evaluation of results
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Collect and evaluate long-term data to assess performance and identify problems.
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Document and report results.
Audit of drinking water quality management
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Establish processes for internal audits.
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Are external audits conducted as required?
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Document and communicate audit results.
Element 12: Review and Continual Improvement
Review by senior executive
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Senior executive review of the effectiveness of the management system.
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Evaluate the need for change.
Drinking water quality management improvement plan
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Develop a drinking water quality management improvement plan.
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Ensure that the plan is communicated and implemented, and that improvements are monitored for effectiveness.
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Were all high priority actions undertaken in the timeframes committed?
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Has the effectiveness of the improvement action been reassessed through the risk assessment process?
