3.10.1 Management of documentation and records

Summary of actions

• 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.

Documentation pertinent to all aspects of drinking water quality management is required. Documents should describe activities that are undertaken and how procedures are performed. They should also include detailed information on:

• preventive measures;

• critical control points, including specific operational procedures and criteria, monitoring and corrective actions;

• incident and emergency response plans;

• training programs;

• procedures for evaluating results and reporting;

• communication protocols.

Documentation should be visible and readily available to employees. Mechanisms should be established to ensure that employees read, understand and adhere to the documents.

Operation of systems and processes leads to the generation of large amounts of data that need to be recorded. Efficient record keeping is an essential tool for indicating and forewarning of potential problems, and providing evidence that the system is operating effectively.

Activities that generate records include:

• operational and drinking water quality monitoring;

• corrective actions;

• incident and emergency responses;

• training;

• research and development;

• assessment of the water supply system (flow diagrams, potential hazards etc);

• community consultation;

• performance evaluations, audits and reviews.

Documentation and records systems should be kept as simple and focused as possible. The level of detail in the documentation of procedures should be sufficient to provide assurance of operational control when coupled with a suitably qualified and competent operator. Retention of corporate memory should also be considered in documentation of procedures.

Mechanisms should be established to review documents periodically and, where necessary, to revise them to reflect changing circumstances. Documents should be assembled in a way that will allow any necessary modifications to be made easily. A document control system should be developed to ensure that current versions are in use and obsolete documents are discarded.

Records of all activities pertaining to the performance of drinking water quality management should be stored so that they can be easily accessed and reviewed. Storage should provide protection against damage, deterioration or loss. A system should be in place to ensure that employees are properly trained to fill out records, and that records are regularly reviewed by a supervisor, signed and dated.

Documents and records can be stored in a variety of forms, such as written documents, electronic files and databases, video and audiotapes, and visual specifications (flow charts, posters etc). Computer-based documentation should be considered to allow for faster and easier access as well as to facilitate updating.