BS ISO 5667-24-2016 Water quality Sampling Guidance on the auditing of water quality sampling《水质 取样 水质取样审计指南》.pdf

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1、BSI Standards PublicationBS ISO 5667-24:2016W a t e r q u a l i t y S a m p l i n gPart 24: Guidance on the auditing of waterquality samplingBS ISO 5667-24:2016 BRITISH STANDARDNational forewordThis British Standard is the UK implementation of ISO 5667-24:2016.It supersedes BS 8550:2010 which is wit

2、hdrawn.The UK participation in its preparation was entrusted to TechnicalCommittee EH/3/6, Sampling (of technical committee EH/3 - Waterquality).A list of organizations represented on this committee can beobtained on request to its secretary.This publication does not purport to include all the neces

3、saryprovisions of a contract. Users are responsible for its correctapplication. The British Standards Institution 2016.Published by BSI Standards Limited 2016ISBN 978 0 580 84388 4ICS 13.060.10; 13.060.45Compliance with a British Standard cannot confer immunity fromlegal obligations.This British Sta

4、ndard was published under the authority of theStandards Policy and Strategy Committee on 30 April 2016.Amendments/corrigenda issued since publicationDate Text affectedBS ISO 5667-24:2016 ISO 2016Water quality Sampling Part 24: Guidance on the auditing of water quality samplingQualit de leau chantill

5、onnage Partie 24: Lignes directrices pour laudit de lchantillonnage de la qualit de leauINTERNATIONAL STANDARDISO5667-24First edition2016-04-01Reference numberISO 5667-24:2016(E)BS ISO 5667-24:2016ISO 5667-24:2016(E)ii ISO 2016 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO 2016, Published in S

6、witzerlandAll rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be

7、 requested from either ISO at the address below or ISOs member body in the country of the requester.ISO copyright officeCh. de Blandonnet 8 CP 401CH-1214 Vernier, Geneva, SwitzerlandTel. +41 22 749 01 11Fax +41 22 749 09 47copyrightiso.orgwww.iso.orgBS ISO 5667-24:2016ISO 5667-24:2016(E)Foreword vIn

8、troduction vii1 Scope . 12 Normative references 13 Terms and definitions . 14 Multiple audits 45 Auditing objectives . 56 Internal audit objectives 67 External audit objectives . 68 Identification of the critical factors in the water quality sampling process. 68.1 Identification of critical operatio

9、nal steps 68.2 Audit prioritization exercise . 78.3 Unscheduled observations 78.4 Follow-up actions 89 Risk-based versus judgement-based approaches to auditing . 89.1 General . 89.2 Risk-based auditing. 89.3 Judgement-based auditing 99.4 Auditing assumptions . 910 Document auditing . 910.1 Sampling

10、programme and sampling practitioner/operative instruction documents . 910.2 Sampling manual . 910.2.1 General 910.2.2 Contents 1010.2.3 Format 1110.2.4 The laboratory interface. 1210.3 Training policy . 1310.4 Sampling record sheets 1310.5 Labels . 1310.6 Chain of custody records . 1410.7 Laboratory

11、 receipts 1510.8 Assessment of documents before the field assessment1510.9 Assessment of completed documents 1510.10 Policy on statements of uncertainty 1611 Real-time audit 1611.1 Audit forms 1611.2 Field observation . 1611.3 Real-time risk-based auditing (see also 9.2) 1711.4 Real-time judgement-b

12、ased auditing (see also 9.3) 1711.5 Evidence of internal audits 1712 Design of an audit plan1712.1 Consultation with the responsible person . 1712.2 Pre-audit questionnaire . 1712.3 Plan design 1812.4 Audit practice 1812.4.1 Staff competence assessments 1812.4.2 Supervision 1812.4.3 Equipment 1912.4

13、.4 Handling of samples .19 ISO 2016 All rights reserved iiiContents PageBS ISO 5667-24:2016ISO 5667-24:2016(E)12.4.5 Individual sample records 1912.4.6 Tracking of samples .2012.5 Quality assurance and control issues (see ISO 5667-14) 2013 Conduct of field assessments 2013.1 General 2013.2 Sample lo

14、cation verification . 2113.3 Identification . 2213.4 The use of photographs in field assessment. 2214 Audit methodology 2214.1 General 2214.2 Conduct of the audit 2214.3 Reviewing the audit plan . 2314.4 Real-time assessment . 2414.4.1 General. 2414.4.2 Pre-audit meeting 2414.4.3 Opening meeting .24

15、14.4.4 Traceability assessments before real-time audit 2414.4.5 Observation procedures . 2414.4.6 Assessing conformity with temperature control during the audit 2514.4.7 Auditing of photographic evidence . 2514.4.8 Interpretation of audit data . 2614.4.9 Recording nonconformity . 2615 Assignment of

16、the audit report and the closure meeting .2616 The audit report and statement of findings 2716.1 The report 2716.2 Statement of findings 2816.3 Audit conclusions . 2816.4 Statement of recommended actions 2817 Outline flow diagram of audit process 30Annex A (informative) Audit forms .32Annex B (infor

17、mative) Suggested procedures for monitoring temperature control 95Annex C (informative) Measurement of uncertainty associated with sampling practices 96Bibliography .97iv ISO 2016 All rights reservedBS ISO 5667-24:2016ISO 5667-24:2016(E)ForewordISO (the International Organization for Standardization

18、) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be repr

19、esented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.The procedures used to deve

20、lop this document and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the different types of ISO documents should be noted. This document was drafted in accordance with the editorial rules of the ISO

21、/IEC Directives, Part 2 (see www.iso.org/directives).Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during t

22、he development of the document will be in the Introduction and/or on the ISO list of patent declarations received (see www.iso.org/patents).Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement.For an explanation on the meaning

23、of ISO specific terms and expressions related to conformity assessment, as well as information about ISOs adherence to the WTO principles in the Technical Barriers to Trade (TBT) see the following URL: Foreword - Supplementary informationThe committee responsible for this document is ISO/TC 147, Wat

24、er quality, Subcommittee SC 6, Sampling (general methods).ISO 5667 consists of the following parts, under the general title Water quality Sampling: Part 1: Guidance on the design of sampling programmes and sampling techniques Part 3: Preservation and handling of water samples Part 4: Guidance on sam

25、pling from lakes, natural and man-made Part 5: Guidance on sampling of drinking water from treatment works and piped distribution systems Part 6: Guidance on sampling of rivers and streams Part 7: Guidance on sampling of water and steam in boiler plants Part 8: Guidance on the sampling of wet deposi

26、tion Part 9: Guidance on sampling from marine waters Part 10: Guidance on sampling of waste waters Part 11: Guidance on sampling of groundwaters Part 12: Guidance on sampling of bottom sediments Part 13: Guidance on sampling of sludges Part 14: Guidance on quality assurance and quality control of en

27、vironmental water sampling and handling Part 15: Guidance on the preservation and handling of sludge and sediment samples Part 16: Guidance on biotesting of samples Part 17: Guidance on sampling of bulk suspended solids ISO 2016 All rights reserved vBS ISO 5667-24:2016ISO 5667-24:2016(E) Part 19: Gu

28、idance on sampling of marine sediments Part 20: Guidance on the use of sampling data for decision making Compliance with thresholds and classification systems Part 21: Guidance on sampling of drinking water distributed by tankers or means other than distribution pipes Part 22: Guidance on the design

29、 and installation of groundwater monitoring points Part 23: Guidance on passive sampling in surface water Part 24: Guidance on the auditing of water quality samplingvi ISO 2016 All rights reservedBS ISO 5667-24:2016ISO 5667-24:2016(E)IntroductionThe sampling and analysis of drinking water supplies i

30、s one of the key elements in the protection of public health. Environmental sampling from rivers and other surface waters; sampling of discharges such as treated sewage effluents and trade discharges; and sampling of water used for non-potable purposes can also have a significant impact on public he

31、alth, occupational hygiene and asset durability.One of the major sources of error in gathering water quality monitoring data can be the sampling process. Poor sampling practices create problems for those interpreting results and can lead to costly and incorrect decisions. Failure to manage factors s

32、uch as Cryptosporidium levels in drinking water, pneumonia caused by Legionella and heating system corrosion are examples of where failures of quality control/assurance in the sampling process can lead to expensive and potentially life-threatening consequences.Auditing of water quality sampling iden

33、tifies both positive and negative attributes of the management chain. Thus, the goal of a sampling audit is to emphasize the effectiveness of “best practice” and to build up a knowledge base to allow its dissemination within the organization.No audit is ever intended to cover every aspect of water q

34、uality sampling and it is advisable to adopt a risk-based approach to designing the audit programme to ensure that high-risk issues are covered more frequently, and in greater depth, than low-risk issues. For example, it is essential that all high-level documentation, which covers sampling policy an

35、d strategy, training policy and health and safety policy, is checked during the first audit, along with its implementation on the ground. Where implementation documents are also produced at a high-level (sampling manuals, training manuals, etc.) they might be regarded as high-level documents for the

36、 purpose of designing the audit programme. Providing there are no issues arising, this documentation would only need detailed checking on subsequent audits if any changes have been made during the interim. However, it would still be prudent to check that any issues identified during the initial audi

37、t have been addressed satisfactorily; that any other changes are appropriate; and that the circumstances of sampling have not changed in such a way that a revision of these high-level documents is needed.Larger organizations might wish to either audit fully high-level documentation at regular interi

38、ms (e.g. every four years) or to audit different parts of the documentation on a rolling programme. They might also wish to consider a regular programme of auditing the dissemination of changes to high-level documentation as these could take time to work their way down to the sampling practitioners/

39、operatives and their managers, especially where there is a large geographical spread and sampling is not the main function. This is rarely a problem in small organizations where the person responsible for writing the high-level documents is usually also responsible for managing, if not carrying out,

40、 the sampling.Risks of nonconformity at sampling locations can vary markedly, and the frequency and extent of each audit needs to reflect this. Some organizations sample only in very closely controlled environments, where purpose-built sampling taps are provided. Here the risk of nonconformity is ve

41、ry low, but, at the same time, a very high degree of conformity can be expected. Other organizations take samples in environments which vary and which are often far from ideal, making compromise necessary. The audit might identify a number of risks of nonconformity with the documented procedures, bu

42、t allowances have to be made for any guidance given to the sampling practitioner/operative and the process by which a satisfactory compromise is reached and recorded.The key point in designing an audit programme is to ensure that the effort spent on auditing is proportional to the risk and the size

43、of the organization. The programme is therefore refined in the light of experience. ISO 2016 All rights reserved viiBS ISO 5667-24:2016BS ISO 5667-24:2016Water quality Sampling Part 24: Guidance on the auditing of water quality samplingIMPORTANT It has been assumed in the preparation of this Interna

44、tional Standard that the execution of its provisions will be entrusted to appropriately qualified and experienced people, for whose use it has been produced.1 ScopeThis part of ISO 5667 provides an audit protocol to monitor conformity with declared, or assumed, practices in all areas of water qualit

45、y sampling. Specifically, this part of ISO 5667 provides guidance on the systematic assessment of sampling practices and procedures in the field, and assessing conformity with those given in the organizations sampling manual. It is applicable to the audit of sampling activities from the development

46、of a sampling manual through to the delivery of samples to the laboratory.NOTE 1 The design of the sampling manual is the prerogative of the data user and this part of ISO 5667 is not intended to deliver criticism of a manuals structure.This part of ISO 5667 is applicable to sampling practices assoc

47、iated with wastewaters, including discharges to water bodies, environmental monitoring, potable water supplies from source to tap, commercial and industrial uses of water, and power generation.This part of ISO 5667 is applicable to the auditing of sampling practices relevant to the management of wat

48、er stored in containers, such as temporary supply tanks and bottled supplies. However, it is not applicable for the auditing (or calibration and maintenance) of on-site test equipment or kits.NOTE 2 BS 1427 covers water test kits used “in the field”.The following sampling occasions are excluded from

49、 both the field- and desk-audit procedures set out in this part of ISO 5667:a) chemical and microbiological incidents, which are investigated by agencies such as the emergency services, e.g. where an immediate risk to the health of the sampling practitioner/operative is evident;b) radiochemical sampling of water quality, other than that specified as a routine requirement under the UK Water Supply (Water Quality) Regulations,9101112i.e. radiochemical incidents which are investigated by agencies such as the eme