NP13 - Establishing Pool Safety Audit Requirements

Purpose

To ensure all parties involved in a Pool Safety Audit understand and agree to the Pool Safety Audit prior to being conducted

Initial Contact

Initial contact between the owner or manager of an Aquatic Facility and the Audit Program Manager or Lead Auditor should be made by either party. The initial contact should discuss the following:

• The proposed objectives, size and scope of the Audit including exclusions
• The availability of access to relevant documents and records
• The availability to the Aquatic Facility including access, security and health and safety requirements
• The availability of personnel from the owner or manager of the aquatic facility
• The applicable legal and contractual arrangements
• The suggested process of the Audit

Pool Safety Audit Plan

The Audit Program Manager or Lead Auditor shall ensure the Pool Safety Audit Plan is based on the context of the aquatic facility provided by the owner or manager of the Aquatic Facility.

The Pool Safety Audit Plan should consider the effect of the audit activities on the owner or manager of the Aquatic Facility, processes and provide the basis for the agreement between the owner or manager of the Aquatic Facility, and the audit team regarding the conduct of the audit. The plan should facilitate the efficient scheduling and coordination of the audit activities in order to achieve the objectives effectively.

The scale and content of the Pool Safety Audit Plan may differ however should cover the following information:

• The proposed objectives, size and scope of the Audit including exclusions
• The availability of access to relevant documents and records
• The availability to the Aquatic Facility including access, security and health and safety requirements
• The audit objectives;
• The audit scope, including identification of the organisational and functional units, as well as processes to be audited;
• The audit criteria and any reference documents;
• The locations, dates, expected time and duration of audit activities to be conducted, including meetings with the auditee’s management;
• The audit methods to be used, including the extent to which audit sampling is needed to obtain sufficient audit evidence and the design of the sampling plan, if applicable;
• The roles and responsibilities of the audit team members, as well as guides and observers;
• The allocation of appropriate resources to critical areas of the audit.
• The costs associated with the Audit

The Pool Safety Audit Plan may also cover the following, as appropriate:

• Identification of the Aquatic Facilities representative for the audit;
• The working and reporting language of the audit where this is different from the language of the auditor or the Aquatic Location or both;
• The Pool Safety Audit Report topics;
• Logistics and communications arrangements, including specific arrangements for the locations to be audited;
• Any specific measures to be taken to address the effect of uncertainty on achieving the audit objectives;
• Matters related to confidentiality and information security;
• Any follow-up actions from a previous audit;
• Any follow-up activities to the planned audit;
• How conflict will be managed

Audit Confirmation

The Pool Safety Audit Plan should be reviewed and accepted (with any changes) in writing by the owner or manager of the aquatic facility and communicated accordingly to the Audit Program Manager or Lead Auditor.

Preparing for an Aquatic Safety Audit

Upon confirmation of the Pool Safety Audit Plan and the Audit Program Manager or Lead Auditor should prepare for the Audit by ensuring the following:

1. Audit team members are selected in accordance with their capabilities and qualifications and independence to the Aquatic Facility
2. Audit teams members are briefed and allocated clear responsibilities for the Audit
3. Audit documentation or records are accessed, established and prepared (Hard or Soft Copy) in accordance with the scope of the Audit
4. Sources of information are identified and verified

Reference

• AS/NZS ISO 19011:2014 Guidelines for Auditing Management Systems
• Guidelines for Safe Pool Operations

Template

• Pool Safety Audit Plan