The technical audit process

Technical audits are carried out by the Inspectorate to check that water companies are complying with their statutory obligations. The audit process also allows the Inspectorate to observe whether current good practice is being followed. The process consists of three main elements:

Although the key elements of the technical audit process remain the same as those introduced in 1990, the detailed application of the process is kept under continuous review. During 2003 the major part of the technical audit process was carried out by the Inspectors. Consultants, acting as Temporary Technical Assessors and working under the general direction of an Inspector, carried out a number of the audit inspection tasks.

All audit inspections are tailored to the individual water company, with a number of core tasks being carried out for all companies. Topics for the inspections carried out during 2003 are listed in the table below.

Table 1. Inspection tasks covered during 2003

Actions taken on recommendations made during the 2002 inspections or in connection with water quality incidents that occurred during 2002

(a) Task allocated to consultants

In 2003, all 26 companies were inspected by a combination of visits and assessment of information and documents provided by them. The inspection programme generally ran smoothly and the Inspectorate continues to be grateful to the companies for providing full facilities to its staff and consultants. The Inspectorate is continuing to move towards using detailed checklists for each inspection task, which can be completed in draft and presented to the company soon after the inspection visit. This approach is both effective and efficient in terms of communicating the outcome of the inspection to the company. Each inspection report summarises the findings of the inspection, along with the main conclusions and any recommendations made.

Four laboratories, which provide an analytical service for a number of water companies, were inspected during 2003. Two of these laboratories are accredited by the United Kingdom Accreditation Service (UKAS) to the higher Drinking Water Testing Specification (DWTS) and would not normally warrant inspection. However the analytical findings from audit trails carried out during 2002, and the results of UKAS assessments carried out during 2002, raised sufficient concerns for the Inspectorate to send in a team of Inspectors. As a result of their findings, all laboratories will now be subject to a rolling programme of inspection regardless of their accreditation status.

Where relevant, inspection report summaries are available in the ‘Business and Technical’ section of the Inspectorate’s website under ‘Audit and inspection’. A summary report may also be produced in relation to a specific inspection topic. This provides an overview of all the findings and gives generic guidance on best practice. Such reports are issued to the industry and are also available on the Inspectorates website.

Benchmarking

A system of benchmarking was first introduced in 2002, when an Inspector from Department of Environment, Northern Ireland, accompanied a team of Inspectors from the Inspectorate on a visit to two water treatment works. This process continued in 2003, with members of the Water Quality Division, Scottish Executive accompanying Inspectors from the Inspectorate on audit visits to laboratories, water treatment works and service reservoirs and Inspectors from the Inspectorate accompanying their Scottish counterparts on similar audit visits in Scotland.

The main objective of the exercise was to compare the approaches of the respective organisations to the technical audit process and to ensure consistency of regulation. The overall process was found to be very similar between the two organisations but a number of ideas need to be considered to further the quality service provided by the Inspectorate and ensure that the best practice approach is adopted.

Recommendations and suggestions

A clear distinction is made in the inspection reports between recommendations which require a formal written response from the company, and suggestions. Recommendations are made only where, in the Inspector’s opinion, action is required in order to avoid a foreseeable risk of a breach of a regulatory duty. If such a breach has occurred then enforcement action may be considered. Suggestions are made in relation to matters which do not present such a risk, but which concern general good practice.

Deficiencies identified in the individual company sections related to one or more recommendations arising from the inspections carried out.