3.11.2 Audit of drinking water quality management

Summary of actions

• Establish processes for internal and external audits.

• Document and communicate audit results.

Auditing is the systematic evaluation of activities and processes to confirm that objectives are being met. It includes assessment of the implementation and capability of management systems. Auditing provides valuable information on those aspects of the system that are effective, as well as identifying opportunities to improve poor operational practices.

Periodic auditing of all aspects of the drinking water quality management system is needed to confirm that activities are being carried out in accordance with defined requirements and are producing the required outcomes.

Internal audits are important for maintaining a functional drinking water quality management system and for identifying areas for improvement. Internal audits will involve trained staff and should include a review of the management system and associated operational procedures, monitoring programs, and the records generated. The aim is to ensure that the system is being implemented correctly and is effective.

The frequency and schedule of audits should be defined, as should the responsibilities, requirements, procedures and reporting mechanisms. The audit process can take place over time but it should be comprehensive.

Drinking water agencies should consider mechanisms for establishing external auditing. Such auditing can be useful in establishing credibility and maintaining consumer confidence. External auditing could be achieved by peer review or be undertaken by an independent third party. External audits should focus on confirming implementation and results of internal audits.

External audits could be conducted on:

• the management system;

• operational activities;

• drinking water quality performance;

• the effectiveness of incident and emergency response or other specific aspects of drinking water quality management.

Audit results should be documented and communicated to management and personnel responsible for the department or function being audited. Results of audits should also be considered as part of the review by senior executive (see next section).

Section 10.3 provides additional information on review and continual improvement.