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Currency [0]/Explanatory TextG5Explanatory Text % 0Good;Good  a%1 Heading 1G Heading 1 DTj%Dr2 Heading 2G Heading 2 DTj%?3 Heading 3G Heading 3 DTj%234 Heading 49 Heading 4 DTj% 5InputuInput ̙ ??v% 6 Linked CellK Linked Cell }% 7NeutralANeutral  W%3Normal % 8Noteb Note   9OutputwOutput  ???%????????? ???:$Percent ;Title1Title DTj% <TotalMTotal %DrDr= Warning Text? Warning Text %XTableStyleMedium2PivotStyleLight16` DocHistory!Appendix A Audit Criteria>Compliance Grading=   ;I   ;I  ;5f^fH( @jb(  3 A@@   FileFromToDate Key Points1Hot List (appendix A) RevC LJ comments March.xlsx Leslie JarvisAnnette Davison1From Leslie Jarvis: audit criteria spreadsheet with each criterion reviewed against ϳԹ Health guidance and published advice. In the criterion if I could adjust the wording to reflect published guidance I did so. Additions are in red. Words and statements requiring removal have grey font and were copied into the OFI section if appropriate and will need to be picked up in the guidance review. If the whole row is greyed out this means we can either not ask for that criterion at this time and where possible I have rolled into an OFI of another criterion.Hot List (appendix A) RevD.xlsxoAD: Reviewed the findings and marked up the sheet with discussion with LJ. Sent back to LJ via email, 01/04/20.Hot List (appendix A) RevE.xlsxAD: Updated after teleconference with LJ. Sent back to LJ via email, 02/04/20. Agreed to develop a 'clean' list of criteria and keep the 'dirty' list for history. Clean list not yet developed. Will aim for beginning of next week. Also agreed to let LJ know what remaining budget is left.Hot List (appendix A) RevF.xlsxhAD: Clean list developed. Sent via email to LJ 06/04/20. 97 criteria are now in the checklist in total. ADWG ElementADWG Framework Component ADWG Framework ActionChecklist Criterion Key PriorityDefault Non-Compliance GradeRecommendations51.0-A commitment to drinking water quality management1.0-Organisational support and long-term commitment by senior executive is the foundation to implementation of an effective system for drinking water quality management. 10.1.a-Document information pertinent to all aspects of drinking water quality management. 1-A: The water utility has an endorsed (by the organisation) current drinking water management system, that has been submitted to the Public Health Unit. Note: The following should be checked for overall currency as part of the currency of the DWMS: - Drinking water quality policy statements - Critical control point information - Incident and Emergency Management procedures - Drinking Water Quality Management Improvement Plan - Procedures. Should be reviewed and up to date according to review cycle. Lack of currency for a component does not necessarily mean non-compliant grading should be given. It may be appropriate for the compliant with minor shortcomings grade to be applied provided the minor shortcomings are listed as OFIs. Non-compliant (material)!1.1-Drinking water quality policyu1.1.a-Formulate a drinking water policy, endorsed by senior executive, to be implemented throughout the organisation.1-B: A drinking water quality policy covering commitment to public health water quality objectives is included in the DWMS. Note: Consider SBP mission statement and/or levels of service as well as a standalone drinking water quality policy. ~ GReview and update the drinking water policy according to review cycle. H1.1-Drinking water quality policy 1.2-Regulatory and formal requirements1.1.b-Ensure that the policy is visible and is communicated, understood and implemented by employees. 1.2.b-Ensure responsibilities are understood and communicated to employees. ;1-C: Communication to staff of the commitment to drinking water quality is undertaken as described in the DWMS. Note: This communication may occur through staff induction, training and supervision, monthly communication of water quality results, toolbox meetings, participation in ϳԹ Health water workshops, etc.r xNon-compliant (non-material)Document the responsibility for updating and implementing the DWMS. Keep records that confirm the communication process is implemented in practice.B1.2-Regulatory and formal requirements 1.3-Engaging stakeholders I1.2.a-Identify and document all relevant regulatory formal requirements. O1-D: The DWMS describes how the commitment to drinking water quality management is included in planning and policy documents such as: - SBP - IWCM - Financial Plan - Asset Management Plans Note: Planning documents should be reviewed to ensure the inclusion of the commitment to water quality. For example the SBP should include levels of service covering a commitment to meeting public health drinking water quality objectives, such as commitment to maintaining and implementing a Drinking Water Management System consistent with the Framework for the Management of Drinking Water Quality. 3Include in additional relevant planning documents. 1.2.a-Identify and document all relevant regulatory formal requirements. 1.2.c-Review requirements periodically to reflect any changes. 1.3.c-Regularly update list of relevant agencies.D1-E: The DWMS documents regulatory and formal requirements and includes periodic review of requirements. Note: Review of requirements may occur through the review and revision of the Strategic Business Plan and the IWCM Strategy. Water supplier responsibilities in codes and standards should be captured in the SBP review. 1.3-Engaging stakeholders 1.3.a-Identify all stakeholders who could affect, or be affected by, decisions or activities of the drinking water supplier. 1.3.b-Develop appropriate mechanism and documentation for stakeholder commitment and involvement. 1.3.c-Regularly update list of relevant agencies.=1-F: The DWMS documents and describes stakeholders in the activities of the drinking water supplier including the type of communication and engagement and periodic review of stakeholders. Note: acceptable stakeholder identification and engagement could be through current: - SBP - Community Engagement Strategy - IWCM 02-Assessment of the Drinking Water Supply System!2.1-Water supply system analysis ?2.1.a-Assemble a team with appropriate knowledge and expertise.2.1.b-Construct a flow diagram of the water supply system from catchment to consumer. 10.1.a-Document information pertinent to all aspects of drinking water quality management. 2-B: DWMS (either directly or through reference to a Risk Assessment Report) contains a system description from catchment to consumer, including: - Catchment map - Catchment description - Major towns and transport corridors - Major pollution sources - Potentially polluting land uses - Major rivers, weirs, dams, lakes, bores - Conditions for water harvesting from particular sources (e.g. pumping rules) - Treatment description and mode of plant operation - Description of distribution and reticulation system - Relationships to third parties for water supply or receipt - Review of previous incidents - Major changes to infrastructure - Water quality analysis.;Include water sharing agreements in the system description.2.1.c-Assemble pertinent information and document key characteristics of the water supply system to be considered. 10.1.a-Document information pertinent to all aspects of drinking water quality management. Include handover points of water quality responsibility in the flow diagram. Include monitoring points and CCPs in the flow diagram. & 2.2-Assessment of water quality data 2.2.a-Assemble historical data from source waters, treatment plants and finished water supplied to consumers (over time and following specific events).2.2.b-List and examine exceedances. 2.2.c-Assess data using tools such as control charts and trends analysis to identify trends and potential problems.d2-E: Appropriate water quality data has been reviewed and the analysis used to help inform the identification and assessment of public health risks (e.g. through the use of trend graphs and result summary tables) assessed in the risk assessment workshop. Note: The Annual Review report could be used as an example of how this criterion might be fulfilled. -2.3-Hazard identification and risk assessmentd2.3.a-Define the approach and methodology to be used for hazard identification and risk assessment. 2-F: The risk identification and assessment methodology (including the risk matrix) used considers risks to public health and is documented in the DWMS. < Demonstrate how the risk assessment methodology used is appropriate for assessing public health risks and the outcomes are at least comparable with those in the ADWG (Table 3.3).2.3.b-Identify and document hazards, sources and hazardous events for each component of the water supply system. 2.3.c-Estimate the level of risk for each identified hazard or hazardous event.~2-G: A risk assessment has been undertaken to identify hazards and potential health risks to the drinking water supply system.r2.3.b-Identify and document hazards, sources and hazardous events for each component of the water supply system. 2-H: On a sample basis, hazardous events and identified hazards in the risk register match the process components in the flow diagram/s and the system information.^q2-I: The items in the risk register and/or the Risk Assessment Report address all elements of the system and include any additional items identified in the risk assessment.[2.3-Hazard identification and risk assessment 3.1-Preventive measures and multiple barriersO2.3.c-Estmate the level of risk for each identified hazard or hazardous event. 2-J: The risk assessment assesses both maximum (the risk with no preventive measures in place) and residual (the risk with preventive measures in place) risks to the drinking water supply system. i2-K: The residual risk scores reflect the adequacy and effectiveness of the preventive measures in place.2.3.d-Evaluate the major sources of uncertainty associated with each hazard or hazardous event and consider actions to reduce uncertainty. q2-L: The risk assessment includes an assessment of uncertainties and identifies actions to reduce uncertainties. N2.3.e-Determine significant risks and document priorities for risk management.2-M: DWMS references the information used for the risk assessment and the risk assessment outcomes such as in the Risk Assessment Briefing Paper and Risk Assessment Report (or Summary Paper).;3-Preventive Measures for Drinking Water Quality Management3.2-Critical control pointsa3.2.a-Assess preventive measures from catchment to consumer to identify critical control points. 3-A: The CCPs included in the DWMS are in use and are appropriate to manage the assessed drinking water quality risks e.g. chlorine disinfection for chlorine sensitive pathogens, filtration for chlorine resistant pathogens.`Ensure the distinction between critical control points and operational control points is clear. 33.2.b-Establish mechanisms for operational control.Q3.2.c-Document the critical control points, critical limits and target criteria. 3-C: Where CCPs are documented in more than one place (e.g. in the DWMS as well as in SCADA and CCP tables on the wall at the plant), the information is consistent and current.Q3-D: For each CCP, a critical limit has been set and a target criterion recorded.1Set and document adjustment limits for each CCP. .3.1-Preventive measures and multiple barriers 3.1.a-Identify existing preventive measures from catchment to consumer for each significant hazard or hazardous event and estimate the residual risk. -4-Operational Procedures and Process Control 4.1-Operational Procedures4.1.a-Identify procedures for processes and activities from catchment to consumer. 4.1.b-Document all procedures and compile into an operations manual. 4-A: The processes and procedures for managing CCPs included in the DWMS are appropriate, include the operation, monitoring, maintenance and calibration associated with those measures, and have been followed. Note: Where relevant for the CCP, auditors should check that parameters are monitored continuously online. If they are not, an opportunity for improvement should be provided. :Establish continuous online monitoring of CCP parameters. 4.2-Operational monitoring 4.2.a-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. 4.2.b-Document monitoring protocols into an operational monitoring plan. 4-B: The processes and procedures for operational monitoring included in the DWMS are appropriate and used. These may take the form of a operational monitoring plan. Note: The operational monitoring should take into account the catchment analysis, risk analysis, treatment process steps and on-line monitoring. Operational parameters should be monitored frequently enough to reveal any failures in a timely manner and should meet the CCP guidance from ϳԹ Health. Ideally monitoring should be online.Include operating ranges that are appropriate for each parameter being measured and response protocols in the operational monitoring plan. Keep records that confirm the operational monitoring plan was used. 4.2.a-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. 4.2.b-Document monitoring protocols into an operational monitoring plan. 13.2-Critical control points 4.3-Corrective actiono4.3.a-Establish and document procedures for corrective action to control excursions in operational parameters. @4-D: The processes and procedures for managing and reviewing any identified exceptions from normal operation or where a process or barrier is trending out of control (e.g. backwashing of filters, dumping of non-conforming water, repair of reservoir integrity) included in the DWMS are appropriate and have been followed.Use adjustment limits to indicate whether a process is in control and when actions need to be taken. Keep records that confirm the processes have been followed.H3.2-Critical control points 10.1-Management of documentation and recordsK4.3.b-Establish rapid communication systems to deal with unexpected events.'4-E:The process and procedures for recording and reporting CCP exceptions included in the DWMS are appropriate and have been followed. Note: Auditors should consider SCADA records, formal notification records, records of liaison with the local PHU, in the event that an exception has occurred. (4.4-Equipment capability and maintenance4.4.a-Ensure that equipment performs adequately and provides sufficient flexibility and process control. 4.4.b-Establish a program for regular maintenance of all equipment, including monitoring equipment. 8Keep records that confirm that the program is followed. 4.5-Materials and chemicalsY4.5.b-Establish documented procedures for evaluating chemicals, materials and suppliers. The process includes use by dates on chemicals, certificates of assurance, SDSs for chemicals in use, responses to any quality assurance exceptions (if needed).4-H: The process for managing procurement, purchase, delivery, testing and storage of equipment included in the DWMS, is appropriate and followed. Note: This process should include: - List of approved materials and products in accordance with relevant standards (AS/NZS 4020, AS 2070, ATS 5200, AS/NZS 4766, Plumbing Code of Australia, AS/NZS 3500). - Procurement policy/procedures. 2Keep records that confirm the process is followed.B4.5.a-Ensure that only approved materials and chemicals are used. 4-I: A water supply approved chemicals/materials register (or record) is maintained that includes: - Name (for chemicals, common name and scientific name). - Use. - Quantity stored. - Purchased by. - Purchase method (e.g. Supply Agreement). - Approved supplier. - Specification reference. - Delivery, verification and receipt procedure. - Storage method. - Storage life (e.g. use by date or replacement date from opening according to manufacturer's guidance)Keep records that confirms the chemical/materials register is maintained. Include in the register: use by dates on chemicals, certificates of assurance, SDSs for chemicals in use, responses to any quality assurance exceptions (if needed).4.2.a-Develop monitoring protocols for operational performance of the water supply system, including the selection of operational pa< rameters and criteria, and the routine analysis of results. 4-J: The process for review of the data collected through the operational monitoring plan included in the DWMS is appropriate and followed.Assign a person responsible for undertaking the review. Responsible person signs off on review and sign off is recorded and documented. (5-Verification of Drinking Water Quality;5.1-Drinking water quality monitoring 5.4-Corrective action15.1.a-Determine the characteristics to be monitored in the distribution system and in water as supplied to the consumer. 5.1.b-Establish and document a sampling plan for each characteristic, including the location and frequency of sampling. 5.1.c-Ensure monitoring data are representative and reliable. 5-A: The verification monitoring plan included in the DWMS meets at a minimum the ϳԹ Health Drinking Water Monitoring Program requirements, includes recording and responding to consumer complaints, and is followed. Note: The ϳԹ Health Drinking Water Monitoring Program is the minimum and additional monitoring may be required. The Reviewer should check that at least the microbiological and chemical allocations are in place. If a utility's monitoring is less than the Drinking Water Monitoring Program requirements there should be evidence that notification has been made to ϳԹ Health. The sampling frequency report should be run in the ϳԹ Drinking Water Database; any deficiencies among the samples collected, as a % of expected samples, should be noted. The Reviewer should check that monitoring of customer complaints includes adequate parameters for picking up water quality issues including turbidity, colour, and objectionable taste and odour. Any additional monitoring that the utility should consider can be noted as an opportunity for improvement. This could include monitoring for pesticides or other characteristics not included in the ϳԹ Drinking Water Monitoring Program.5.1-Drinking water quality monitoring 5.2-Consumer satisfaction 5.3-Short-term evaluation of results 12.1-Review by senior executiveu5.3.a-Establish procedures for the daily review of drinking water quality monitoring data and consumer satisfaction. 5-B: The process for review of the results from the ϳԹ Health Drinking Water Monitoring Program (stored in the ϳԹ Drinking Water Database) and other verification monitoring included in the DWMS is appropriate, and followed. Note: Responsibility for review of verification monitoring results should be documented in the DWMS (including for ϳԹ Health Drinking Water Monitoring Program results, Fluoride Code obligations and consumer complaints). BKeep records to confirm that the process for review was followed. 2.2-Assessment of water quality data 5.3-Short-term evaluation of results 11.1-Long-term evaluation of results 12.1-Review by senior executive5.3.b-Develop reporting mechanisms internally, and externally, where required. 10.2.a-Establish procedures for effective internal and external reporting. 10.2.b-Produce an annual report to be made available consumers, regulatory authorities and stakeholders. 5-C:The process for communication of operational and verification monitoring result reviews to management (e.g. monthly reports) documented in the DWMS is appropriate and followed. Note: Management includes Council (elected representatives) where applicable. 1 Keep records to confirm the process is followed.310.2-Reporting 5.3-Short-term evaluation of results5.3.b-Develop reporting mechanisms internally, and externally, where required. 10.2.a-Establish procedures for effective internal and external reporting. 11.1.2.b-Document and report results. 11.2.b-Document and communicate Audit results. e5.1-Drinking water quality monitoring 6.1-Communication 6.2-Incident and emergency response protocols5.2.a-Establish a consumer complaint and response program, including appropriate training of employees. 5.4.a-Establish and document procedures for corrective action in response to non-conformance or consumer feedback. 5-E: The procedures for responding to verification monitoring results including consumer complaints included in the DWMS are appropriate and followed. Keep records (e.g. incident management records, CRM system and preventive/reactive maintenance records) to confirm that the process for responding to verification monitoring was followed. 6-Incidents and Emergencies<6.2-Incident and emergency response protocols 10.2-Reporting6.2.a-Define potential incidents and emergencies and document procedures and response plans with the involvement of relevant agencies. 6.2.c-Investigate any incidents or emergencies and revise protocols as necessary. WKeep records that confirm the process and/or procedures for notification are followed. ?6.1-Communication 6.2-Incident and emergency response protocols6.2.a-Define potential incidents and emergencies and document procedures and response plans with the involvement of relevant agencies. 6.2.c-Investigate any incidents or emergencies and revise protocols as necessary. 6-B: The process for managing drinking water quality incidents and emergencies included in the DWMS is appropriate and followed. The process must clearly and appropriately describe water quality incident and emergency types and how they will be managed. Note: This requirement is closely linked to 6-A, as the response protocols provide definitions of some of the high priority incident types. lKeep records that confirm the process and/or procedures for incident and emergency management are followed. 6.2.a-Define potential incidents and emergencies and document procedures and response plans with the involvement of relevant agencies.v6-C: The procedures to be followed during an incident or emergency included in the DWMS are appropriate and followed. 8Keep records that confirm the procedures were followed. V6.1-Communication 6.2-Incident and emergency response protocols 5.4-Corrective Action 5.4.b-Establish rapid communication systems to deal with unexpected events. 6.1.a-Define communication protocols with the involvement of relevant agencies and prepare a contact list of key people, agencies and businesses. E6-D: The communication procedures for managing drinking water quality incidents and emergencies included in the DWMS are followed and clearly specify: - Internal communication procedures - External communication procedures that include when and how incident notification to key agencies should take place and which personnel are authorised to communicate with these agencies. Note: This requirement is closely linked to 6-A, as the response protocols provide guidance on communication related to incidents. Communication pathways in the utility will also be described on CCP SOPs.y ~Keep records that confirm the communication procedures were followed (e.g. formal incident notification records as well as records of communication with the local PHU). 6.1-Communication6.1.a-Define communication protocols with the involvement of relevant agencies and prepare a contact list of key people, agencies and businesses. Z6.2-Incident and emergency response protocols 10.1-Management of documentation and records10.1.b-Develop a document control system to ensure current versions are in use. 10.1.d-Periodically review documentation and revise as necessary.l6-F: The procedures for the control of document versions relating to the management of drinking water quality incidents and emergencies included in DWMS are appropriate and followed. Note: Specifically, contact details documentation should be controlled, current, have a review date and responsibility for review clearly documented either on the document or file.n6-G: The current incident and emergency contact details are available at the location documented in the DWMS. U5.4-Corrective action 6.2-Incident and emergency response protocols 6.1-Communication96.1.b-Develop a public and media communications strategy.n6-H: The process for communication of drinking water quality incidents and emergencies to the commun< ity included in the DWMS is appropriate and followed. Note: This process can include: - A formal media communication policy - Links to ϳԹ Health's boil water alert templates or a water utility specific boil water alert template based on the ϳԹ Health versions. CKeep records that confirm this communication process was followed. !7-Employee Awareness and Training<7.1-Employee awareness and involvement 7.2-Employee training57.1.a-Develop mechanisms and communication procedures to increase employees' awareness of and participation in drinking water quality management. 7.2.b-Identify training need and ensure resources are available to support training programs. 6.2.b-Train employees and regularly test emergency response plans. 7-A: The process for communicating preventive measures and CCPs (including any changes) to staff included in the DWMS is appropriate and followed. Note: This process should include training in the importance of the preventive measures and CCPs used to manage the drinking water supply system, including standard operating procedures and incident response protocols. Customer service staff should be included in incident management protocol training. The process may also include toolbox talks and water quality incident scenario training. SKeep records that confirm the process has been followed and training has occurred. 3.2-Critical control points 6.1-Communication 6.2-Incident and emergency response protocols 7.1-Employee awareness and involvement 7.2-Employee training7.1.a-Develop mechanisms and communication procedures to increase employees' awareness of and participation in drinking water quality management. y7-B: SOPs for managing CCPs are easily accessible to operational staff and displayed at the CCP location or control room.7.1.a-Develop mechanisms and communication procedures to increase employees' awareness of and participation in drinking water quality management. 7.2.a-Ensure that employees, including contractors, maintain the appropriate experience and qualifications. 7-C: The training for employees about drinking water quality issues (including awareness training) included in the DWMS is appropriate and is provided. Note: Senior managers should be included in awareness training. ^7.2.b-Identify training need and ensure resources are available to support training programs. v7-D: The process for managing and reviewing the training and skills currency of employees is appropriate and followed.7.2.a-Ensure that employees, including contractors, maintain the appropriate experience and qualifications. 7.2.c-Document training and maintain records of all employee training. 7.1.a-Develop mechanisms and communication procedures to increase employees' awareness of and participation in drinking water quality management. 7.2.b-Identify training need and ensure resources are available to support training programs. 7-F:The process for how awareness of employees and contractors about water quality issues is improved and maintained included in the DWMS is appropriate and followed.%8-Community Involvement and AwarenessF1.3-Engaging stakeholders 8.1-Community consultation 8.2-Communication8.1.a-Assess requirements for effective community involvement. 1.3.b-Develop appropriate mechanisms and documentation for stakeholder commitment and involvement. 2>C8.1.b-Develop a comprehensive strategy for community consultation. 8.2.a-Develop an active two-way communication program to inform consumers and promote awareness of drinking water quality issues. 1.3.a-Identify all stakeholders who could affect, or be affected by, decisions or activities of the drinking water supplier. 8-B: The processes for engaging and raising awareness in the local community included in the DWMS are appropriate and followed. Note: This process should include: - Identification of community stakeholders - Methods of consulting with the community including via social media and education awareness campaigns, through development of the Strategic Business Plan, the IWCM Strategy and the items in Table 3-10 (ϳԹ Guidelines, section 3.8). 9-Research and Development19.1-Investigative studies and research monitoringH9.1.b-Use information to improve management of the water supply system. 9-A: The risk assessment outcomes have been used in developing actions to investigate water quality or improve knowledge of the system.nUtilities can request special project allocations of analyses from ϳԹ Health laboratories for investigations.i9.1-Investigative studies and research monitoring 12.2-Drinking water quality management improvement planO9.1.a-Establish programs to increase understanding of the water supply system. 69-B: All water quality studies are listed in the DWMS.DInclude references to where water quality study information is kept.\4.4-Equipment capability and maintenance 9.2-Validation of processes 9.3-Design of equipment9.2.a-Validate processes and procedures to ensure that they are effective in controlling hazards. 9.3.a-Validate the selection and design of new equipment and infrastructure to ensure continuing reliability. n9.3.a-Validate the selection and design of new equipment and infrastructure to ensure continuing reliability. O9.2.b-Revalidate processes periodically or when variation in conditions occur. 'Keep records that confirm consultation.z3.2-Critical control points 9.1-Investigative studies and research monitoring 10.1-Management of documentation and recordsb9.2.a-Validate processes and procedures to ensure that they are effective in controlling hazards. 9-G: Calculation of primary disinfection (e.g. C.t. calculation report) has been documented, is accurate and is included in the DWMS.10-Documentation and Reporting ,10.1-Management of documentation and recordsg10.1.c-Establish a records management system to ensure that employees are trained to fill out records. 10-A: The record keeping systems or procedures included in the DWMS are appropriate and followed. Note: The systems or procedures cover requirements of: - State Records Act 1998 (ϳԹ) - ϳԹ Code of Practice for Fluoridation of Public Water Supplies - ϳԹ Performance Monitoring System - Organisation's governance policy. Records should: - Be accessible. - Include those required in Table 3-12 of the ϳԹ Guidelines. - Indicate who recorded the information e.g. operator initials for daily bench tests.d jP10.1.b-Develop a document control system to ensure current versions are in use. e10-B: The procedures for document version control included in the DWMS are appropriate and followed. 11-Evaluation and Audit$11.1-Long-term evaluation of results11.1.a-Collect and evaluate long-term data to assess performance and identify problems. 2.1d-Periodically review the water supply system analysis /11.2-Audit of drinking water quality management=11.2.a-Establish processes for internal and external audits. 11-B: The internal and external review (audit) schedule included in the DWMS is appropriate and met. Note: The schedule (at a minimum), include: - An annual review of the DWMS (reported to ϳԹ Health). - A complete review of the DWMS every 4 years in line with the review of the SBP or if system changes or a risk assessment indicate a comprehensive review is required. - A frequency for external audit of the DWMS determined in consultation with the PHU. f kt11.1-Long term evaluation of results 11.2-Audit of drinking water quality management 12.1-Review by senior executiveb11-C: The processes for internal and external reviews (audits) included in the DWMS are appropriate and followed. Note: These processes should include: - Application of the ϳԹ Guideline for Review and Audit of Drinking Water Management Systems. - Maintaining records of review (e.g. annual review reports, audit reports, improvement plan actions). u z#12-Review and Continual Improvement10.1-Management of documentation and records 11.1-Long-term evaluation of results 11.2-Audit of drinking water quality management 2.3-Hazard identification and risk assessment 12< .1-Review by senior executive12.1.a-Senior executive review of the effectiveness of the management system. 12.1.b-Evaluate the need for change. 2.3.f-Periodically review and update the hazard identification and risk assessment to incorporate any changes. ?12-A: The process for updating the DWMS included in the DWMS is appropriate and followed. Note: This process should occur when: - Significant changes to the water supply system are proposed - Internal or external review (audit) findings are addressed - After a complete DWMS review conducted in line with the SBP review The process should include: - Review and update of the relevant area of the DWMS (e.g. a proposed operating rule change would require a risk assessment and CCP review and changes reflected in the DWMS). - Submission of the reviewed DWMS to the PHU. 712.2-Drinking water quality management improvement planE12.2.a-Develop a drinking water quality management improvement plan. t12.2.b-Ensure that the plan is communicated and implemented, and that improvements are monitored for effectiveness. 12-C: For each action in the drinking water quality improvement plan, the following are recorded: - Who is responsible - Date for completion - Priority - Progress reporting.Consider including the following as an OFI, if not already part of the improvement plan: - Date of addition - Origin of addition (e.g. risk assessment).412-D: Progress against the Improvement Plan is reviewed on a monthly basis. Note: The Reviewer should check the Improvement Plan for any outstanding high priority items and record the outstanding items. Reviewers should also note when no new actions have been added to the Improvement Plan for over a year.N T; Keep records to confirm that progress is reviewed monthly.S12-E: Actions are reviewed as part of the budgeting and strategic planning process.kKeep records to confirm that actions are reviewed as part of the budgeting and strategic planning process. 9-D: The procedures for validating equipment and treatment processes included in the DWMS are appropriate and were followed. Note: This may include historic s60 (of the Local Government Act) approval and confirmation of C.t. calculation. 12-B: Any actions required to improve drinking water quality are included in the DWMS in a drinking water quality improvement plan. Note: Actions should be identified from a range of sources such as: - Areas for improvement identified when developing or reviewing the DWMS - Risk Assessment - Continuous Improvement System - s61 (of the Local Government Act) directions - Internal and external reviews (audits) - Annual Action Plan to Council Following review of TBL Performance Report and Asset Management Plan. 11-Commitment to Drinking Water Quality Management#Opportunities For Improvement (OFI)4.2-Operational monitoring 5.1-Drinking water quality monitoring 5.3-Short-term evaluation of results 11.1-Long-term evaluation of results 12.1-Review by senior executive4-C: If dosed, fluoride monitoring meets the requirements of the ϳԹ Code of Practice for Fluoridation of Public Water Supplies. Daily records are kept of the following: - Volume of water treated. - Quantity of fluoridating agent added over the same time period. - Corresponding average calculated fluoride dose. - Fluoride analysis result from the treated water sample taken during this time period. - Stock of fluoridating agent on hand.O4-G: The process and procedure for managing procurement, purchase, delivery, testing, storage and use of chemicals included in the DWMS is appropriate and followed. Note: The procedure should be documented and state that: - Chemical deliveries are attended by trained water treatment plant operators. - Requirement for a certificate of analysis to be provided by the supplier at the time of delivery for each batch of chemical supplied and that the chemical satisfies the criteria specified in Chapter 8 of the ADWG, prior to the commencement of unloading. - How to ensure that the correct chemical is being delivered into the appropriate storage. - How the water supplier ensures that the correct concentration has been supplied (e.g. density calculation). - Assurance that chemicals used by the utility are approved acceptable for addition to use in drinking water and quality assured as per ADWG Chapter 8. Chemical changes are subject to this requirement as well. - Assurance that chemicals are used appropriately. - Fluoride specification, SOP and fluoride measurement as per Code of Practice.  N ^3-E: The preventive measures included in the DWMS are in use and are appropriate for each of the identified hazards and hazardous events. Note: Review whole of system preventive measures from catchment to tap including where relevant the presence of formalised procedures to support appropriate implementation. Reviewing the adequacy of the preventive measures for Cryptosporidium given the catchment and risk rating, reviewers should take note of the 2022 ϳԹ Health Cryptosporidium risk letters distributed to all local water utilities in ϳԹ and the risk rating for the particular system under review. < n } s6-A: The process for notifying ϳԹ Health of drinking water quality incidents and emergencies included in the DWMS is appropriate and followed. Note: This process should include: - Reference to the current versions of the ϳԹ Health Response Protocols - Documentation of how the ϳԹ Health Response Protocols have been tailored for the water utility and will be used.Detailed Findings Compliance GradeFinding Description Example CompliantNo requirementN/A+Opportunity for improvement/ RecommendationPSufficient evidence is available to confirm that the requirements have been met.The DWMS includes reference to levels of service covering a commitment to meeting public health drinking water quality objectives in strategic planning documents. The Reviewer does not need to provide an OFI but may decide to in the spirit of continual improvement. No recommendations are required.Compliant (minor shortcomings)Sufficient evidence is available to confirm that the requirements have been met apart from minor shortcomings which do not compromise the ability of the utility to adequately manage public health risk.Communication of the commitment to meeting public health drinking water quality objectives to staff occurs but the approach has not yet been formalised. An OFI to formalise the approach has been recorded.`The Reviewers should detail the shortcomings and provide an OFI that addresses the shortcomings.Non compliant (non-material)Sufficient evidence is not available to confirm that the requirements have been met and the deficiency does not adversely impact the ability of the utility to adequately manage public health risk.The DWMS does not describe how the commitment to drinking water quality management is linked to and included in planning and policy documents (SBP, IWCM, Financial Plan, Asset Management Plans). A recommendation to address this gap has been recorded.lThe Reviewer should provide recommendations to address the full DWMS requirement. OFIs may also be provided.Non compliant (material)Sufficient evidence is not available to confirm the requirements have been met and the deficiency may adversely impact the ability of the utility to adequately manage public health risk.Based on the utility s context, hazardous events and hazards are missing from the risk register. A recommendation to address this gap has been recorded.The Reviewer should immediately notify the PHU if there is a risk to public health and provide recommendations to address the full DWMS requirement. OFIs may also be provided.oThere is no requirement for the utility to meet this criterion, or it is not relevant, within the audit period.It may not be possible to test all parts of a c<riterion  for instance, if no customer complaints have been received in an audit period, it may not be possible to sight records to confirm that the customer complaint process was followed in practice.2-A: An appropriate team of people undertook the identification and assessment of potential health risks, including representation of the following roles: - Coordination role - Leadership role - Operators - Environmental Health Officer (the person responsible for local health issues, water sampling and/or reviewing results) - ϳԹ Health representative - Water quality and treatment process expert - DCCEEW inspector for the region was invited.?@N2-D: Appropriate sources of information were used for water quality analysis for the risk assessment workshop. These could include: - ϳԹ Health Drinking Water Monitoring Program - ϳԹ Health Project Monitoring - SCADA data - Operator physical testing - Laboratory physical testing - State of Environment reporting - Algal Monitoring - Bureau of Meteorology - DCCEEW (including Local Water Utility performance monitoring data and reports).2-C: The DWMS includes a flow diagram(s) which accurately represents the system and includes water source(s), any raw water storage, treatment and distribution systems. The flow diagram for the treatment system/s shows: - All treatment components - Chemical dosing points and chemical type (fluoride, coagulant etc) - Any bypasses - Any flows returned to any part of the treatment system (i.e. recycling supernatant) - Outline all steps and processes, whether or not they are under control of the drinking water supplier. Note: The flow diagram accuracy has been verified by someone with the authority to do this for the part of the system the flow diagram represents (such as the lead operator or water quality manager). The auditor should walk through the flow diagram at the plant (at least) to check that the diagram is accurate. The audit scope will clarify which water treatment plants and other system components, are within the audit sample.  3-B: For each CCP, the critical limits and monitoring characteristics and locations align with the recommendations of the ADWG and as agreed by ϳԹ Health and DCCEEW (/environment/water/Pages/critical-control-points.aspx) and are used to operate the plant. Note: Auditors should check that the critical limit for disinfection reflects the achievement of adequate C.t. and is consistent with the C.t. calculation report.  $4-F: The inspection and maintenance program for the water supply system/scheme included in the DWMS is appropriate and followed. Note: This plan should include: - Operational procedures and records for the maintenance of equipment, including the calibration of monitoring equipment; - Schedules and timelines; - Who is responsible; and - Equipment and personnel required. Equipment (including operational monitoring equipment) associated with critical control points should be included as a priority. 55-D: The process for reporting monitoring (operational and verification) results and reviews to external parties is appropriate, documented in the DWMS and followed. This includes immediate notification to PHU of any incident affecting drinking water safety, including CCP exceptions, reservoir contamination, fluoride exceptions and results indicating possible contamination. Note: The process should include reporting of at least the following information: - Drinking WQ management aspects - Drinking WQ compliance - ϳԹ Best-Practice Framework: IWCM implementation - Categorisation of water supply public health incidents - Water quality results and statistical summaries - Fluoride reporting and communication - Implementation of recommendations by DCCEEW - Annual reviews and External Audit outcomes to ϳԹ Health.{ 6-E: The contact details included in the DWMS for drinking water quality incidents and emergencies, include at least: - Emergency services (police, fire and rescue, ambulance, RFS/local brigade, SES) - ϳԹ Health PHU - Other organisations (ϳԹ Health laboratories and other laboratories, DCCEEW (including Trade and Investment-Agriculture), EPA, electricity utility control centre, Safe Work ϳԹ, Local Land Services) - Media (local newspaper, TV and radio stations) - Telecommunication service provider control room - Relevant internal staff (media, executive, managers, etc) - Details that consider the communication needs of vulnerable people and those with special needs. 7-E: Records confirm that all water treatment plant operators are suitably qualified. Note: The Reviewer should check the qualification for appropriateness if an alternative qualification is obtained (i.e. other than the DCCEEW course).W \8-A: The processes for engaging with the community and taking the community's and consumers' objectives into account when managing the drinking water supply system included in the DWMS is appropriate and followed. Note: The process for setting consumer objectives should consider levels of service, costs, existing water quality problems and the options for protection and improvement of drinking water quality. 9-C: There is evidence of ϳԹ Health and DCCEEW consultation in the planning of the water quality studies listed. Note: Evidence may include minutes of meetings, attendance at risk assessment workshop, correspondence records.t y9-E: If water treatment works are to be constructed or modified, s60 (of the Local Government Act) approval has been sought and received from DCCEEW.9-F: Any s61 (of the Local Government Act) corrective actions issued by DCCEEW have been carried out after consultation with the PHU and DCCEEW. 11-A: The processes for long term evaluation of drinking water quality data included and recorded in the DWMS are appropriate and followed. 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The application is responsible for updating this value after each revision. metaAttributes"/> Oh+'0 PX|  Appendix A FINAL March 2023Annette DavisonLeslie JarvisMicrosoft Excel@@r5 ՜.+,D՜.+,HP X`hp x L  DocHistoryAppendix A Audit CriteriaCompliance Grading,'Appendix A Audit Criteria'!_FilterDatabase''Appendix A Audit Criteria'!Print_Area)'Appendix A Audit Criteria'!Print_Titles  Worksheets Named Ranges0_PID_LINKBASEPublishingExpirationDatePublishingStartDateA F Microsoft Excel 2003 WorksheetBiff8Excel.Sheet.89q