• Site conducted

  • Client / Site

  • Audit commenced on

  • Audit completed on

  • Prepared by

  • Exemplar Global Lead WQMS Auditors Michael Lawrence #129230 and Sean Hinton #133942

  • Location

Regulatory Requirements

    Relevant DWQMPs
  • Relevant DWQMP

  • Documents audited not otherwise captured with photographs

  • Personnel

Element 1: Commitment to Drinking Water Quality

Drinking Water Quality Policy

  • Formulate a drinking water quality policy, endorsed by senior executive, to be implemented throughout the organisation.

  • Ensure that the policy is visible and is communicated, understood and implemented by employees.

Regulatory and Formal Requirements

  • Identify and document all relevant regulatory and formal requirements.

  • Ensure responsibilities are understood and communicated to employees.

  • Review requirements periodically to reflect any changes.

Engaging Stakeholders

  • Identify all stakeholders who could affect, or be affected by, decisions or activities of the drinking water supplier.

  • Develop appropriate mechanisms and documentation for stakeholder commitment and involvement.

  • Regularly update the list of relevant agencies.

Element 2: Assessment of the Drinking Water Supply System

Water supply system analysis

  • Assemble a team with appropriate knowledge and expertise.

  • Assemble pertinent information and document key characteristics of the water supply system to be considered.

  • Periodically review the water supply system analysis.

  • Scheme
  • Construct a flow diagram of the water supply system from catchment to consumer.

  • Does the schematic accurately reflect the scheme?

Assessment of water quality data

  • Assemble historical data from source waters, treatment plants and finished water supplied to consumers (over time and following specific events).

  • List and examine exceedances.

  • Assess data using tools such as control charts and trends analysis to identify trends and potential problems.

Hazard identification and risk assessment

  • Define the approach and methodology to be used for hazard identification and risk assessment.

  • Identify and document hazards, sources and hazardous events for each component of the water supply system.

  • Were all likely hazards identified effectively?

  • Estimate the level of risk for each identified hazard or hazardous event.

  • Evaluate the major sources of uncertainty associated with each hazard and hazardous event and consider actions to reduce uncertainty.

  • Determine significant risks and document priorities for risk management.

  • 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

  • Identify existing preventive measures from catchment to consumer for each significant hazard or hazardous event and estimate the residual risk.

  • Evaluate alternative or additional preventive measures where improvement is required.

  • Document the preventive measures and strategies into a plan addressing each significant risk.

Critical control points

  • Assess preventive measures from catchment to consumer to identify critical control points.

  • Document the critical control points, critical limits and target criteria.

  • Establish mechanisms for operational control.

  • CCPs
  • Which CCP is being audited?

  • Is the CCP implemented as stated?

Element 4: Operational Procedures and Process Control

Operational procedures

  • Identify procedures required for processes and activities from catchment to consumer.

  • Document all procedures and compile into an operations manual.

Operational monitoring

  • 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.

  • Document monitoring protocols into an operational monitoring plan.

  • Does the monitoring undertaken during the audit period match the monitoring plan?

Corrective action

  • Establish and document procedures for corrective action to control excursions in operational parameters.

  • Were corrective actions undertaken as expected?

  • Establish rapid communication systems to deal with unexpected events.

Equipment capability and maintenance

  • Ensure that equipment performs adequately and provides sufficient flexibility and process control.

  • Is there jar testing equipment available where coagulation/ flocculation/ sedimentation is used?

  • Is there appropriate duty/standby equipment for key processes?

  • Establish a program for regular inspection and maintenance of all equipment, including monitoring equipment.

  • Are there regular internal calibrations of monitoring equipment?

  • Are calibration solutions available and in date?

  • Are there regular external maintenance and calibration of monitoring equipment?

Materials and chemicals

  • Ensure that only approved materials and chemicals are used.

  • Establish documented procedures for evaluating chemicals, materials and suppliers.

  • Is there any mechanism established for ensuring the quality of chemicals delivered?

Element 5: Verification of Drinking Water Quality

Drinking water quality monitoring

  • Determine the characteristics to be monitored in the distribution system and in water as supplied to the consumer.

  • Establish and document a sampling plan for each characteristic, including the location and frequency of sampling.

  • Was the verification monitoring program implemented as stated?

  • Ensure monitoring data are representative and reliable.

Consumer satisfaction

  • Establish a consumer complaint and response program, including appropriate training of employees.

Short-term evaluation of results

  • Establish procedures for the daily review of drinking water quality monitoring data and consumer satisfaction.

  • Were any exceedances identified and reported immediately?

  • Develop reporting mechanisms internally, and externally, where required.

Corrective action

  • Establish and document procedures for corrective action in response to non-conformance or consumer feedback.

  • Establish rapid communication systems to deal with unexpected events.

Element 6: Management of Incidents and Emergencies


  • Define communication protocols with the involvement of relevant agencies and prepare a contact list of key people, agencies and businesses.

  • Develop a public and media communications strategy.

Incident and emergency response protocols

  • Define potential incidents and emergencies and document procedures and response plans with the involvement of relevant agencies.

  • Train employees and regularly test emergency response plans.

  • Investigate any incidents or emergencies and revise protocols as necessary.

Element 7: Employee Awareness and Training

Employee awareness and involvement

  • Develop mechanisms and communication procedures to increase employees’ awareness of and participation in drinking water quality management.

Employee training

  • Ensure that employees, including contractors, maintain the appropriate experience and qualifications.

  • Identify training needs and ensure resources are available to support training programs.

  • Document training and maintain records of all employee training.

Element 8: Community Involvement and Awareness

Community consultation

  • Assess requirements for effective community involvement.

  • Develop a comprehensive strategy for community consultation.


  • 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

  • Establish programs to increase understanding of the water supply system.

  • Use information to improve management of the water supply system.

Validation of processes

  • Validate processes and procedures to ensure that they are effective in controlling hazards.

  • Has the chlorine contact time been calculated to ensure effective disinfection?

  • Are filtration processes appropriate for removal of protozoan hazards if present in raw water source?

  • Revalidate processes periodically or when variations in conditions occur.

Design of equipment

  • Validate the selection and design of new equipment and infrastructure to ensure continuing reliability.

Element 10: Documentation and Reporting

Management of documentation and records

  • Document information pertinent to all aspects of drinking water quality management.

  • Develop a document control system to ensure current versions are in use.

  • Establish a records management system and ensure that employees are trained to fill out records.

  • Periodically review documentation and revise as necessary.


  • Establish procedures for effective internal and external reporting.

  • Produce an annual report to be made available to consumers, regulatory authorities and stakeholders.

  • Was the information provided in the annual report accurate?

Element 11: Evaluation and Audit

Long-term evaluation of results

  • Collect and evaluate long-term data to assess performance and identify problems.

  • Document and report results.

Audit of drinking water quality management

  • Establish processes for internal audits.

  • Are external audits conducted as required?

  • Document and communicate audit results.

Element 12: Review and Continual Improvement

Review by senior executive

  • Senior executive review of the effectiveness of the management system.

  • Evaluate the need for change.

Drinking water quality management improvement plan

  • Develop a drinking water quality management improvement plan.

  • Ensure that the plan is communicated and implemented, and that improvements are monitored for effectiveness.

  • Were all high priority actions undertaken in the timeframes committed?

  • Has the effectiveness of the improvement action been reassessed through the risk assessment process?

The templates available in our Public Library have been created by our customers and employees to help get you started using SafetyCulture's solutions. The templates are intended to be used as hypothetical examples only and should not be used as a substitute for professional advice. You should seek your own professional advice to determine if the use of a template is permissible in your workplace or jurisdiction. You should independently determine whether the template is suitable for your circumstances.