Drinking Water Quality Management Plan Review and Audit Guideline

Transcription

1 Drinking Water Quality Management Plan Review and Audit Guideline

2 This publication has been compiled by Queensland Water Supply Regulator, Department of Energy and Water Supply. State of Queensland, The Queensland Government supports and encourages the dissemination and exchange of its information. The copyright in this publication is licensed under a Creative Commons Attribution 3.0 Australia (CC BY) licence. Under this licence you are free, without having to seek our permission, to use this publication in accordance with the licence terms. You must keep intact the copyright notice and attribute the State of Queensland as the source of the publication. For more information on this licence, visit The information contained herein is subject to change without notice. The Queensland Government shall not be liable for technical or other errors or omissions contained herein. The reader/user accepts all risks and responsibility for losses, damages, costs and other consequences resulting directly or indirectly from using this information.

3 Contents 1. Introduction 1 2. Purpose of this guideline 1 3. DWQMP review process Review purpose Undertaking the review Amending the plan as a result of a review Records of reviews Annual reports and reviews 3 4. DWQMP audit Audit purpose Audit scope Verify accuracy of monitoring and performance data Compliance with the plan Relevance of the plan 5 5. Selecting the auditor Auditor qualifications Auditor statutory declaration 6 6. Reporting audit findings The audit report Submitting the report Signed statutory declarations Audit report availability Annual report and audits 7 Appendix A DWQMP review and audit regulatory requirements summary 8 DWQMP reviews 8 DWQMP regular audits 8 DWQMP and other requirements 9 Water quality and prescribed incidents 9 Annual reports 10 Spot audits of plan 10 Guidelines 10 Appendix B Suggested prompts for DWQMP reviews 12 Appendix C Sample statutory declaration templates 16 i

4 1. Introduction The Department of Energy and Water Supply (DEWS or the department) administers the drinking water provisions of Queensland s Water Supply (Safety and Reliability) Act 2008 (the Act), which commenced on 1 July The chief executive of the department is the regulator under the Act. The primary aim of the drinking water provisions is to protect public health. Drinking water service providers (providers) must have an approved drinking water quality management plan (DWQMP or plan) that demonstrates how they manage their drinking water to protect public health. The Queensland Water Supply Regulator (the regulator) is responsible for assessing each plan. Following the assessment, if the regulator approves the plan or approves the plan with conditions, the provider is notified via a notice of the decision or an information notice for the decision respectively. These two notices are referred to as the approval notice in this guideline. The regulator also has the power to not approve the plan. Providers must comply with their approved plans and any conditions the regulator places on the approval of the plan. Providers must carry out regular reviews of their plan at the periods stated in the approval notice. The regulator may also require that the provider arranges for regular audits and the submission of regular audit reports to the regulator. The requirement for, and the timing of reviews and audits, is stated in the approval notice. 2. Purpose of this guideline The purpose of this guideline is to inform providers and auditors about the department requirements for regular reviews and audits of DWQMPs. This guideline is prepared in accordance with section 571 of the Act, which states that the regulator may make guidelines to provide guidance to persons about preparing audit reports and conducting a review of a DWQMP. In addition, section 108 of the Act states that the regular audit report for a plan must be prepared in accordance with any guidelines made by the regulator about preparing regular audit reports. This guideline contains: a process that providers can use to comply with the requirement to review their plans information to assist providers to understand and prepare for the audit process information for auditors about the audit and developing the audit report supporting information, including: o Appendix A summary of the relevant legislative requirements o Appendix B suggested prompts for DWQMP reviews o Appendix C sample statutory declaration templates. Note that the terms plan and DWQMP in this guideline refer to an approved drinking water quality management plan for the provider, unless stated otherwise. 3. DWQMP review process This section supplies information to assist providers to comply with the regulatory requirements for regular reviews and subsequent amendment of their plan, if required

5 3.1 Review purpose The purpose of the review is to ensure the plan remains relevant, having regard to the current circumstances and operation of the water service. The review process should assess the implementation of the plan, and the accuracy and currency of the plan. This process should identify any improvements or changes to the drinking water service. Some aspects to consider in the review include: stakeholder engagement or involvement management and operation of the drinking water service procedures and processes identified hazards and hazardous events risk assessment for the identified hazards and hazardous events effectiveness of risk management processes including preventive measures and any changes implemented through the improvement program collating and analysing water quality data to evaluate the appropriateness of the treatment process, accuracy of reporting, and risk assessment ensuring the incident and emergency response plan is current. The review should determine if the plan is resulting in appropriate outcomes, and identify any improvements required to ensure the drinking water remains protective of public health and meets the water quality criteria. Where an audit has been conducted prior to the review, any audit recommendation related the relevance of the plan should be taken into account in the review. 3.2 Undertaking the review The review is intended to be conducted internally by the provider, with management and operational staff involved in the process. Providers may engage external experts to assist them with the review process if necessary. Providers should develop their own process for undertaking a review of their plan. Appendix B Suggested prompts for DWQMP reviews, provides a list of questions to assist with the review. The questions align with the sections of the DWQMP Guideline. This list is not exhaustive, and is not intended to be a review structure that is appropriate to all providers. 3.3 Amending the plan as a result of a review Providers must amend their plan if a review indicates the plan requires amendments to improve and/or reflect changes to the management of their drinking water service. The amendments made to the plan must be submitted to the regulator for approval. The process for preparing and submitting an amendment is to: read the explanatory notes and instructions (Drinking Water Quality Management Plan Amendment Application Explanatory notes and instructions) located on the department s website at add and highlight all proposed amendments and deletions to the existing plan complete the application form (WSR506 Drinking Water Quality Management Plan Amendment Application form) send the complete amended plan to the regulator as per the instructions on the application form

6 The regulator will assess the amendments and, once approved, the amended plan becomes the approved plan. The regulator will notify the provider via an approval notice. 3.4 Records of reviews Providers should retain records of plan reviews. These records may be used by auditors or the regulator to verify that reviews were undertaken at the intervals specified in the approval notice. 3.5 Annual reports and reviews Providers must include the outcomes of their DWQMP review, and how they addressed any matters raised in the review, in their annual report for the financial year of the review. The Guidelines for Service Provider Annual Reports July 2010 outlines the requirements for annual reports under the Act. This guideline can be found on the department s website at < 4. DWQMP audit 4.1 Audit purpose The purpose of the regular DWQMP report audit is to: (a) (b) (c) verify the accuracy of the monitoring and performance data provided to the regulator under the plan assess the service provider s compliance with the plan assess the relevance of the plan in relation to the provider s drinking water service. Further explanation about these three statements of purpose is provided in sections 4.3 to 4.5 below. 4.2 Audit scope The audit focuses on verifying the accuracy of reported data, implementation of the plan, and the relevance of the plan. It is not a requirement of the audit for the auditor to assess the compliance of the plan itself with the Act or the DWQMP guideline, as this is assessed by the regulator prior to the DWQMP being approved. The auditor should record the evidence relied upon in their determinations, such as details of the records viewed, who was spoken to and infrastructure/scheme components sighted. The auditor should use a mix of evidence that is appropriate to the provider, the aspect of the plan being audited, and the scheme circumstances. In most cases it will not be practical for the auditor to, for example, sight all records or visit all infrastructure. Audit findings will be based on a sample of available information. The period or timeframe to be audited is from the date the plan was approved, as per the approval notice, or from the last regulated audit

7 The DWQMP guideline and sections 4.3 to 4.5 below should assist the auditor to understand the scope of the regulated audit requirements. The auditor may comment on the effectiveness or the appropriateness of elements of the plan and drinking water service. However, this is not a regulatory requirement for the audit. These elements could include the effectiveness of operation and maintenance plans or programs, set operational targets or limits, procedures for managing drinking water incidents and emergencies or the adequacy of service wide record keeping systems. Under the Act, providers must give the auditor and any person employed or authorised by the auditor free and uninterrupted access to the provider s infrastructure and any records relating to the infrastructure. The auditor should give the provider adequate notification of when such access is required. The auditor and any person employed or authorised by the auditor must not enter the premises of a customer of the provider unless the customer agrees. 4.3 Verify accuracy of monitoring and performance data The audit must verify the accuracy of monitoring and performance data supplied to the regulator by the provider under the plan. This includes data required under any provisions or conditions outlined in the approval notice, for example, data required under an additional reporting condition or a periodic reporting condition. The requirements for and content of, monitoring and performance data provided to the regulator will vary for each provider. Note: this requirement does not include any monitoring or performance data supplied to the regulator by the provider under the Act, such as non-compliance with water quality criteria data. The auditor should consider a sample of the data supplied to the regulator since the plan approval or any previous audit. 4.4 Compliance with the plan The audit must assess the provider s compliance with their plan. This should include, but is not limited to, assessing compliance with: the provisions and conditions in the approval notice implementation of all preventive measures for managing hazards and hazardous events as described in the plan implementation of operational and maintenance procedures implementation of the process for managing incidents and emergencies as described in the plan implementation of the operational and verification monitoring programs as described in the plan implementation of the risk management improvement program as described in the plan maintaining records using the information management systems as described in the plan undertaking regular reviews at the frequency specified in the approval notice. The auditor should assess enough of the plan and its implementation to reach a properly informed opinion about whether or not the provider is compliant with their plan

8 4.5 Relevance of the plan Determining the relevance of the plan involves assessing whether and to what extent the plan represents the current operations of the drinking water service. This should include: assessing whether the service description and details of infrastructure in the plan reflect the current circumstances for each scheme confirming the information in the plan used to identify hazards and hazardous events reflects the current circumstances for each scheme (including catchment characteristics, water quality information and infrastructure). 5. Selecting the auditor The provider is responsible for appointing the auditor. The auditor selected must have appropriate qualifications or experience for the system/s being audited. The auditor should be independent of the activity being audited, free from bias and conflicts of interest, and able to maintain an objective view to ensure the findings are based only on the audit evidence. The Act states that the audit report must not be prepared by: an employee of the service provider, or someone who is employed in operating the service provider s infrastructure. 5.1 Auditor qualifications In relation to the skill and experience of the auditor, the Act states the provider must ensure the auditor: 1. is certified under the Drinking Water-Quality Management System Auditor Certification Scheme to conduct an audit of the type to which the report relates, or 2. has a qualification the regulator is satisfied is at least equivalent to the qualification mentioned above. The Registrar Accreditation Board Quality Society of Australasia International (RABQSA) developed the Drinking Water-Quality Management System (DW QMS) Auditor Certification Scheme (scheme). This scheme provides international recognition for auditors who conduct audits to ensure that drinking water service providers can demonstrate they are managing risk in accordance with the risk management framework of the Australian Drinking Water Guidelines. The RABQSA website provides the names of qualified persons under this scheme as well as details of a Code of Conduct for certified auditors. Providers may arrange for auditors with either Lead DW QMS Auditor (Lead Auditor) or DW QMS Auditor (Auditor grade) certification to conduct their audits. If the proposed auditor does not hold certification through the DW QMS scheme, the provider must submit evidence to the regulator that demonstrates how the proposed auditor has a qualification that is at least equivalent to the DW QMS scheme requirements. Evidence should include: knowledge and competency of the proposed auditor in both the: o essential components and conduct of an audit o technologies and management systems used in the treatment of drinking water relevant educational qualifications such as a degree or diploma in the fields of engineering, science or medicine - 5 -

9 seven years of relevant full-time work experience that the proposed auditor is of good ethical standing and is able to conduct an audit within an established Code of Conduct including the way in which potential conflict of interest is to be addressed documented substantive experience in the conduct of audits demonstrated knowledge of the contents and application of the Australian Drinking Water Guidelines. Providers should allow sufficient time for the regulator to investigate and evaluate the evidence submitted before the auditor is appointed. 5.2 Auditor statutory declaration As part of the audit report process, the auditor must make a statutory declaration regarding his or her professional qualifications. This declaration must state the auditor s certification under the DW QMS or reference the advice received by the regulator about their suitability to conduct the audit. Before the audit is conducted, the provider must assure themselves that the auditor holds the required certification or has been endorsed by the regulator. See Section 6 for more information about the statutory declaration requirements. 6. Reporting audit findings This section outlines the minimum requirements of the audit report and submission details for the report. 6.1 The audit report The auditor must provide an audit report to the provider that clearly expresses the opinion of the auditor in respect of the findings of the audit. The audit report should include: name of the auditor, name of the provider and water service being audited, and the approval date of the plan being audited the methodology used to conduct the audit, for example key documents inspected, the audit team and information sources for each aspect of the audit the assessment of the verification of the monitoring and performance data required under the plan the assessment of relevance of the plan as it currently exists the assessment of compliance with the plan including the identification of any significant non-compliance recommendations for the provider. 6.2 Submitting the report Providers must ensure that the DWQMP audit report is submitted to the regulator within 30 business days of its completion. The audit must be undertaken and completed no later than the period stated in the approval notice

10 Providers should submit one hard copy of the audit report; an electronic copy on CD or other electronic device; and accompanied by two statutory declarations (as detailed below) to: Queensland Water Supply Regulator Department of Energy and Water Supply PO Box City East Qld Signed statutory declarations The audit report must be accompanied by two statutory declarations. These are: 1. a statutory declaration from the provider, which is signed by the provider s executive officer if the provider is a corporation, or signed by the provider if the provider is an individual and 2. a signed statutory declaration from the auditor. The provider s declaration must state that the provider: has not knowingly given any false or misleading information to the auditor has given all relevant information to the auditor. The auditor s declaration must: state the auditor s qualifications and experience relevant to the audit state that the auditor has not knowingly included any false, misleading or incomplete information in the report state that the auditor has not knowingly failed to reveal any relevant information or document to the regulator certify the report addresses the relevant matters for the evaluation and is factually correct certify the opinions expressed in it are honestly and reasonably held. Appendix C contains example templates of statutory declarations that can be used to meet these requirements. Online templates can be accessed from the Queensland Courts website < 6.4 Audit report availability The provider must keep a copy of the audit report available for inspection by the public during business hours at the office of the provider, and at other places the provider considers appropriate. The provider must also make a copy of the audit report available for purchase at a reasonable cost. 6.5 Annual report and audits Providers must include details of the findings and any recommendations stated in an audit report of their DWQMP in the annual report for the financial year of the audit. The Guidelines for Service Provider Annual Reports July 2010 outlines the requirements for annual reports under the Act. This guideline can be found on the department s website at <

11 Appendix A DWQMP review and audit regulatory requirements summary The statutory requirements for DWQMP regular reviews and regular audits are detailed in the Water Supply (Safety and Reliability) Act 2008 Chapter 2, Part 4, Subdivision 2 Drinking water quality management plans. A summarised outline of the statutory requirements related to DWQMP reviews and audits is provided in this appendix. Providers should read the sections in the Act in full to ensure they are aware of their rights and obligations under the Act. The legislation can be viewed at the Office of the Parliamentary Counsel website at < DWQMP reviews The relevant provisions in the Act for reviewing plans are: section 99(2)(b) - if the regulator approves the plan, the notice of the decision or information notice for the decision will state the intervals at which regular reviews of the approved plan must be conducted section 99(3) - the interval for regular reviews must not be less than one year section 106(4) - a provider must regularly review the provider s plan in accordance with the notice given by the regulator under section 99 of the Act section 106(5) - the purpose of the review is to ensure the plan remains relevant having regard to the operation of the water service provided by the provider section 106(6) - the provider must, in its annual report, state the outcome of the review and how the provider has addressed matters raised in the review. The relevant provisions in the Act for changing plans following review are: sections 107(6-8) state that if a review of a plan indicates that the plan needs to be changed to reflect changes to the operation of the water service, the provider must amend the plan to reflect the changes to the operation of the water service and apply to the regulator for approval of the amended plan within 30 business days after the review ends. The provider must indicate in the amended plan, the way the plan has been amended section 107(9) states that sections 95(2) and (3) and sections 96 to 99 apply to the application for approval of the amended plan, as if a reference in the sections to the plan were a reference to the amended plan. DWQMP regular audits The relevant provisions in the Act for providing audit reports are: section 99(2)(c) - if the regulator approves the plan, the notice of the decision or information notice for the decision, will state that if the regulator requires audits of the approved plan the intervals at which the audits must be conducted section 99(4) - the interval for regular audits will not be less than two years section 108(1) - the provider must arrange for regular audit reports to be prepared about the provider s plans and compliance with the plans section 108(2) - regular audit reports must be prepared in accordance with the notice given by the regulator under section 99 section 108(5) states that the purpose of the regular audit report for this plan is: - 8 -

12 o to verify the accuracy of the monitoring and performance data provided to the regulator under the plan o to assess the service provider s compliance with the plan o to assess the relevance of the plan in relation to the provider s drinking water service. section 108(6) outlines that the regular audit report for this plan must be prepared by a person, other than an employee of the service provider or someone employed in operating the service provider s infrastructure, who is certified under the Drinking Water Quality Management System Auditor Certification Scheme to conduct an audit of the type to which the report relates, or has a qualification the regulator is satisfied is at least equivalent to this qualification section 108(6) also states that the regular audit report must be: o prepared in accordance with the guidelines made by the regulator about preparing regular audit reports o given to the regulator within 30 business days after its completion o made available for inspection and purchase. section 575 states that the provider must keep a copy of the audit report available for inspection by the public during office hours on business days at the office of the service provider. Other relevant provisions for audits and audit reports include: Statutory declarations - Section 109 relates to declarations about regular audit reports and states that the regular audit report must be accompanied by two statutory declarations one from the provider and one from the auditor. If the provider is an individual, the declaration must be signed by the provider and if the service provider is a corporation, it must be signed by an executive officer of the provider. Access to provider s infrastructure and records - Section 112(1) relates to access for conducting audits and states that a provider must give the auditor, and any person employed or authorised by the auditor to participate in conducting the audit, free and uninterrupted access to the provider s infrastructure and any records relating to the infrastructure. Amendment to the plan - Section 100 applies if the provider proposes to amend the plan following the audit process. The provider is required to apply to the regulator for approval of the proposed amended plan. Section 101 states that the regulator may require a provider to amend the plan if the regulator is satisfied that amendments are required to protect public health. DWQMP and other requirements Water quality and prescribed incidents Section 102 requires that, once a provider has an approved plan and they become aware that the quality of the water supplied from the drinking water service does not comply with the water quality criteria relating to the service, the provider must, unless there is a reasonable excuse: immediately inform the regulator of non-compliance and the circumstances that gave rise to the non-compliance as soon as practicable, give the regulator notice of the following in the approved form: o the non-compliance and the circumstances that gave rise to the non-compliance o any actions taken, or to be taken, by the provider to correct the non-compliance o the measures the provider will take to prevent the non-compliance in the future

13 Section 102A requires that, once a provider has an approved plan and they become aware a prescribed incident that has happened in relation to the provider s service, the provider must, unless there is a reasonable excuse: immediately inform the regulator of the prescribed incident as soon as practicable, give the regulator notice of the following in the approved form: o the prescribed incident and the circumstances that gave rise to the incident o any actions taken, or to be taken, by the provider relating to the prescribed incident o the measures the provider will take to prevent the prescribed incident happening again in the future. Annual reports Section 141 specifies the requirements for annual reports. A provider must: prepare an annual report for each financial year after a financial year in which a DWQMP has been approved give a copy of the annual report to the regulator within 120 days after the end of the financial year to which it relates. The annual report relating to a DWQMP is not required if the provider is a local government and if the information outlined in section 142 is included in its annual report prepared under the Local Government Act 2009, and the local government gives a copy of the report to the regulator within 30 business days after the report is adopted. Section 142 states that an annual report relating to a DWQMP must: be prepared in accordance with the guidelines (if any) made by the regulator about the preparation of annual reports document the actions taken by the provider to implement the plan state the outcome of any reviews including how the provider has addressed matters raised in reviews include details of findings and recommendations from audit reports about a regular audit report that occurred in the financial year include details of the information given to the regulator about sections 102 and 102A in the financial year include details of the provider s compliance with water quality criteria for drinking water include details about customer complaints made to the provider about the drinking water service. Section 575 requires that a provider keeps a copy of each annual report prepared under section 141 available for inspection by the public during business hours at the office of the service provider. Spot audits of plan Under section 110, if the regulator is satisfied or reasonably believes that a provider is not complying with their DWQMP, or that the plan is no longer adequate for the provider s registered services, the regulator may give a provider a show cause notice to arrange for a spot audit to be prepared about their plan. Guidelines Section 571(1)(q) states that the regulator may make guidelines to provide guidance to persons about conducting a review of a drinking water quality management plan

14 Section 108(6) states that the audit report must be prepared in accordance with the guidelines made by the regulator about preparing regular audit reports

15 Appendix B Suggested prompts for DWQMP reviews Service description Have any of the provider contact details changed? Do the scheme details still apply? Have there been changes in the communities serviced, population size, or the connections that apply to each scheme? Has the projected water demand (volume) changed? Has there been any change in operators upstream or downstream? Is the design capacity sufficient for population projections? 3.6 Details of infrastructure for providing the service Do the schematics of each scheme accurately reflect all the current components of each scheme, from catchment to consumer? Have any of the linkages between the major infrastructure elements changed and/or are they reflecting the current service? Has infrastructure ownership or operational responsibility changed for any component of the scheme? Have new water sources been used? (If so, does the hazard identification (3.7.2) and risk assessment (3.8) adequately address risks associated with the new source?) Do any of the source details including names, characteristics, performance and infrastructure require updating? Has analysis of the operational and verification monitoring data identified changes in the source characteristics and performance? Have new treatment processes commenced, or original treatment processes been excluded? Have checks been undertaken on capacity to vary operations, such as variable depth of water intake and/or trigger of different treatment steps based on intake water quality? Have chemical records been reviewed to check planned treatment processes? Has operational monitoring data identified any poorly functioning treatment processes? Has the current loading or proportion of flow from each source changed? Have monitoring and telemetry systems been checked and/or changed? Has source water quality changed sufficiently to require alterations in treatment processes? Has the disinfection process changed, such as a change in disinfectant, additional disinfection points or target residuals? Have the records of chemical usage for disinfection processes indicated operational adjustments? Has the distribution system been extended or altered? Have low pressure areas in the distribution and reticulation system changed? Has a reservoir undergone refurbishment? Have there been changes in the key stakeholders involved in the management of drinking water quality? Have there been any problems with the treatment or disinfection processes that require changes to processes, operational procedures, and/or responsibility?

16 3.7.1 Information gathering water quality and catchment characteristics Have there been changes to the source water quality and catchment characteristics? Has operational and verification monitoring and trend analysis identified changes in water quality both source and output quality? Are there new industries or development that present additional water quality hazards? Have the arrangements for monitoring, transport arrangement for off-site analysis, or testing laboratory changed? Has the nature or frequency of any water quality complaints changed? Has there been any occurrence of suspected illness following a customer complaint about water quality? Hazard identification Have incident and excursion records identified changes in risks and hazards? Is there a need to develop new risk assessment and preventive measures, and add to the plan? Are disinfection residuals maintained throughout the distribution network? Have the personnel (position) responsible for hazard identification and risk assessment changed? Are staff with knowledge of day to day operations included in the process of identifying emerging risks and hazards? Is there a need to amend the information about the key stakeholders? If multiple providers, have changes in upstream and downstream water quality been identified and/or notified? 3.8 Assessment of risks Has the system been upgraded or have there been changes in source water quality that require a review of the risk assessment? Is the risk assessment methodology still considered appropriate? Does water quality data indicate that the level of risk has changed for certain hazards? Have all identified hazards been added to the risk assessment tables? Have new risk management strategies been implemented, and require new assessment of residual risk? Have new risks from other providers systems or changes in the catchment activities been identified? Are the risks related to incidents, excursions, and events included in the previously identified risks? Risk management measures Have the existing risk management strategies achieved desired water quality outcomes? What improvement actions outlined in the plan have been implemented? For example, have staff undertaken identified training and skill development? Have new procedures such as alarm settings or event-based chemical dosing been implemented? Has the effectiveness of any new risk management strategies or infrastructure upgrades been evaluated? Have procedural documents been reviewed and updated? Have there been any changes in regulations or legislation? Have there been organisational structure changes that may impact on risk management?

17 3.9.2 Operation and maintenance procedures Is there a need to create new operation and maintenance procedures? Do the procedural documents outline management of the current risks? Are staff using current versions of procedures? Have maintenance records been kept to confirm frequency specified in the plan? Are monitoring systems managed appropriately, such as alarm settings, improved telemetry, and calibration? Have chemical dosing and disinfection processes, including storage supply and application rates, been reviewed? Have all procedures and practices been reviewed to reflect current operations? Have training records been maintained? Is training appropriate to the system as it currently exists? Management of incidents and emergencies Is the process for managing drinking water incidents and emergencies still appropriate? Do internal and external communication process and protocols work effectively? Does the list of people to be contacted during emergencies require amending? Have the emergency response procedures been implemented, and were there any issues with the response? Is staff training for incidents and emergencies up to date? Is the process for managing drinking water incidents and emergencies understood by staff? Risk management improvement program Did the Risk Management Improvement Program outlined in the plan achieve the intended outcomes? Does the program require updating to manage risks effectively, including measures for newly identified risks? Were measures in the program completed in the timeframe outlined? Service-wide support information management Are the information management, record keeping and reporting processes being used appropriately? Are current versions of documents being used? Are communication protocols working effectively? Operational monitoring Are the range and frequency of parameters being tested appropriate? Are alarm settings still as defined in the plan? Are the established alert/critical limits, alarm settings and feedback controls actively applied and still appropriate? Have changes to the infrastructure resulted in a need to revise the monitoring program? Do critical personnel have sufficient knowledge of the responses required for excursions? Have records been maintained according to referenced procedures?

18 Verification monitoring Has the monitoring program been reviewed for compliance and appropriateness (sample parameters, analytical procedure, frequency)? Have ADWG health guideline values changed for any parameters? Have changes to the infrastructure resulted in a need to revise the monitoring program? Has an analysis of the incident records indicated a review of the monitoring program? Have sampling methods, or the process for sampling, routine analysis and transportation changed? Have sampling locations been reviewed? Has progressive analysis of monitoring trends been undertaken? Do the record keeping and data analysis procedures require updating? Have all incidents been reported as required and indicated actions implemented?

19 Appendix C Sample statutory declaration templates Statutory declaration by the auditor QUEENSLAND TO WIT Oaths Act 1867 Statutory Declaration I, <<insert name of the auditor making the declaration>> of <<insert address>>, in the State of Queensland do solemnly and sincerely declare that: I am certified under the Drinking Water-Quality Management System Auditor Certification Scheme. OR I have been assessed as suitably qualified to conduct this audit by the regulator. (delete above sentence or this one, as applicable) To the best of my knowledge, information and belief, I have not knowingly included any false, misleading or incomplete information in the report, nor knowingly failed to reveal any relevant information or document to the regulator. I certify that the report addresses the relevant matters for evaluation and is factually correct and that the opinions expressed in the report are honestly and reasonably held. And I make this solemn declaration conscientiously believing the same to be true, and by virtue of the Oaths Act <<signature>> Taken and declared at <<insert town or city and suburb where declaration signed>> this <<insert date>> of <<insert month>> 20<<insert year>>, before me <<signature of person before whom the declaration is made to be signed by a person who is able to witness a Statutory Declaration under the Statutory Declarations Act 1959 e.g. Justice of the Peace, Commissioner of Declarations>> Justice of the Peace/Commissioner for Declarations

20 Statutory declaration by the provider QUEENSLAND TO WIT Oaths Act 1867 Statutory Declaration I, <<insert name of the person making the declaration on behalf of the provider>> of <<insert address>>, in the State of Queensland do solemnly and sincerely declare that: I am the <<insert position title of person authorised to sign this declaration on behalf of the provider>> of <<insert provider s registered legal name and ACN/ABN number (if applicable)>>. Through the course of the regular audit of the drinking water quality management plan by <<insert name of auditor>> for the audit period ending <<insert year of audit>>, which has resulted in this regular audit report dated <<insert date>>, that officers and employees of <<insert provider name>> have not knowingly given any false or misleading information, and have given all relevant information to the auditor who conducted the regular audit of the plan mentioned above. And I make this solemn declaration conscientiously believing the same to be true, and by virtue of the Oaths Act <<signature>> Taken and declared at <<insert town or city and suburb where declaration signed>> this <<insert date>> of <<insert month>> 20<<insert year>>, before me <<signature of person before whom the declaration is made to be signed by a person who is able to witness a Statutory Declaration under the Statutory Declarations Act 1959 e.g. Justice of the Peace, Commissioner of Declarations>> Justice of the Peace/Commissioner for Declarations

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