Report to: General Committee Report
Date:
SUBJECT: Quality Management System Documentation Update
PREPARED BY: Eddy Wu, P.Eng. Ext. 2737
Waterworks, Quality Management System Controller
RECOMMENDATION:
That the report titled “Quality Management System Documentation Update” be received;
And that Council, as the Owner and Operating Authority of Town of Markham’s Drinking Water System, endorse the following System Level Documents (SLDs) for the Town’s Quality Management System in order to be in compliance to the Drinking Water Quality Management Standard:
- SLD 5a Control of Documents
- SLD 5b Control of Records
- SLD 7 Risk Assessment
- SLD 8 Risk Assessment Outcomes
- SLD 9 Organizational Structure, Roles, Responsibilities & Authorities
- SLD 10 Competencies
- SLD 11 Personnel Coverage
- SLD 13 Essential Supplies and Services
- SLD 14 Review and Provision of Infrastructure
- SLD 16a Sampling
- SLD 16b Testing
- SLD 16c Monitoring
- SLD 17 Calibration & Maintenance of Measurement and Recording Equipment
- SLD 18 Emergency Management
- SLD 19 Internal Audits
And that Council, as the Owner and Operating Authority of Town of Markham’s Drinking Water System, are informed about the document control process, and aware of how the control documents are being controlled;
And further that staff be authorized and directed to do all things necessary to give effect to this resolution.
EXECUTIVE SUMMARY:
Document control is one of the core Quality Management System (QMS) elements being introduced as part of the QMS implementation. The purpose to implement the document control process is to ensure all the QMS documentation is current with no out-of-date information available for use.
Another reason for controlling the QMS documentation is to ensure that a document change control process is established. Changes will be controlled through document control form and process. All controlled documents are reviewed at least annually, to ensure contents still reflect current practices in place.
All completed controlled documents in place now are sufficient for the initial licensing application. All DWQMS required documents shall be accepted and approved by the Owner and Operating Authority. These include the QMS Policy, QMS Operational Plan (both already been endorsed by the Council in previous reports), and the System Level Documents addressing the Who, What, When, Where for individual DWQMS elements. In the next stage of business improvement process, the documentation will focus on processes identified by each Waterworks section as critical in order to improve internal operations.
The QMS implementation progress is still
within the target of be able to submit the licensing application on or before
1. Purpose 2. Background 3. Discussion 4. Financial 5. Others (Strategic, Affected Units) 6. Attachment(s)
PURPOSE:
The purpose of this report is:
1. To advise Council that Waterworks has completed the required Quality Management System (QMS) documentation as prescribed in DWQMS, for the initial application purpose
2. To request Council for the endorsement of all QMS System Level Documents
3. To explain with how the QMS documents are being controlled
4. To inform Council on the implementation progress of the QMS in order to comply with the Ministry of Environment’s Drinking Water Quality Management Standard (DWQMS).
BACKGROUND:
Below is the QMS Documentation Structure adopted by Waterworks for the Town’s QMS, and has been accepted by the Owner and Operating Authority in the QMS Operational Plan Endorsement Report in June 2008.
The Operational
Plan is the top level of all QMS documentation, which together with SLDs, SOPs,
and
Waterworks has completed the System Level Documents (SLDs) (in Attachment “A”) as required by DWQMS. The DWQMS requires the Owner and Operating Authority to accept and approve all these SLDs in support to the previously endorsed QMS Operational Plan and the QMS Quality Policy. This will bring the Town’s QMS to be in full compliance to DWQMS Element 1 – Quality Management System.
The lower level
documents (SOPs and
OPTIONS/ DISCUSSION:
System
Level Document (SLD)
A SLD is a high level procedure describing the Who, What, When and Where requirements under the DWQMS. They are generally included in the Operational Plan as an appendix to a specific element. The advantage to have the SLD level of document is to divert more detailed information from the Operational Plan, so the Operational Plan is not overloaded by details.
The purpose of each SLD is as follow:
- SLD 5a Control of Documents – to define the method for Document Control which includes document development, review, approval, issuance, changes, identification and removal of obsolete documents, storage.
- SLD 5b Control of Records – to define the method for control of records that are required by the QMS.
- SLD 7 Risk Assessment – to explain the key terminology and methodology used for the risk assessment process.
- SLD 8 Risk Assessment Outcomes – to list the outcomes identified from Element 7 Risk Assessment.
- SLD 9 Organizational Structure, Roles, Responsibilities & Authorities – to outline the roles and responsibilities for all positions within Waterworks that have a direct impact on the supply of safe drinking water. The roles and responsibilities are taken directly from existing job descriptions.
- SLD 10 Competencies – to describe the process for planning for
and documenting of competencies required for personnel performing duties
directly affecting drinking water quality, and for ensuring all Waterworks
personnel are aw
- SLD 11 Personnel Coverage – to describe the process for ensuring sufficient personnel are covering the operation and maintenance activities required by Waterworks.
- SLD 13 Essential Supplies & Services – to describe the process for procuring supplies and services deemed essential to the supply of safe drinking water.
- SLD 14 Review and Provision of Infrastructure – to describe the infrastructure review and provision process.
- SLD 16a – to describe the sampling activities for Waterworks, such as microbiological sampling.
- SLD 16b – to describe the testing activities for Waterworks such as lead testing.
- SLD 16c – to describe the monitoring activities for Waterworks such as monitoring results from routine chlorine testing.
- SLD 17 – to describe the process for calibration and maintenance of measurement and recording equipment.
- SLD 18 – to document the Waterworks processes related to emergency management.
- SLD 19 – to describe the process for managing the Internal Audit program of the QMS.
All the above SLDs in completed version are included in Attachment “A”.
Document and Records Control
DWQMS Element 5 requires the Town to establish a process to manage and control the documents and records needed by the QMS. A document and records control process is necessary to ensure that documents are kept up-to-date with changes in operations and changes in applicable legislation and regulations, and that documents and records are legible, and can be easily located and identified.
The establishment and maintenance of an effective document and records
control system is the foundation of any quality management system. Controlling the
QMS documents and records will:
·
Develop
and protect the knowledge base of the QMS
·
Facilitate
training of new personnel
·
Ensure procedures
are followed consistently
·
Ensure that
the most up-to-date version of documents are easily retrievable
·
Provide
accountability
·
Facilitate
review and audit by auditors
·
Facilitate
inspections
·
Establish
due diligence
·
Promote
owner and consumer confidence
·
Facilitate
internal and external communications
·
Ensure
that decisions are based on current and accurate information
Document and records control is a key element in assisting the Operating Authority to deliver safe drinking water. Without document and records control, it may be difficult to ensure procedures are consistently followed by all staff.
Waterworks is using two types of documents. They are internal or external
documents in paper or electronic format. Regardless of its source, if a
document is part of the QMS, it must be controlled. The Town’s responsibility
under the DWQMS is to ensure that all QMS documents, are up-to date; that
revised/updated documents are reviewed to see if there are any implications for
the Town’s drinking-water system; and that changes that affect the Town’s drinking-water
system are communicated to appropriate staff.
Under DWQMS Element 3 – Commitment and Endorsement, Top Management shall ensure that the Town’s QMS is in place and meets the DWQMS requirement, and ensure that the Owner of the Operating Authority is aware of all requirements. As the Owner of the Operating Authority of the Town’s Drinking Water System, the Council needs to be aware of how the Town’s document control system works and this is addressed by this report.
Two
Stage QMS Documentation Implementation
Waterworks has taken a two stage documentation approach since the beginning of the QMS implementation.
Stage one focuses on only the DWQMS required documentation in order for the Town to be in compliance and ready for the licensing application. This consists of the QMS Quality Policy, the QMS Operational Plan and the SLDs. The purpose of the SLD is to clarify more complex DWQMS elements in support to the Operational Plan and answer the Who, What, When and Where. The endorsement of SLDs under the Operational Plan will complete stage one.
In the stage two,
Waterworks will document specific SOPs and
All the QMS documentation will be identified as controlled, and will be controlled under the Document Control Process established in SLD 5a – Control of Document in Attachment “A”.
QMS Document Control Methodology
Currently there are two methods for document control. There is an older and traditional method to control documents via a manual approach where all the documents are in hard copy format. With the advancement of electronic and information technology, documents become more common in electronic soft format. Therefore an electronic document control method is introduced and is becoming the dominant document control method in use by most organizations nowadays. Both methods have their advantages and disadvantages, and the following table provides the comparison of these two methods:
|
Manual Document Control with Hard Copies |
Electronic Document Control with Soft Copies |
|
Advantages · Good for emergency situation when there is no power or access to network ·
Easier to read, especially
when referencing multiple documents back and forth · User sometimes feel more solid with paper on hand |
Advantages · Can access all controlled documents anywhere and anytime when connected to the Town’s network · Only the current revision of each controlled document is available for view only access · Better security can be applied, as documents are generated from word processor anyways · No paper to carry around |
|
Disadvantages ·
Can be difficult to carry
around, not convenient for Operators in the field ·
Pages can go missing, or
damaged ·
Require lots of paper and
printing to make sure everyone involved gets a copy of all required documents ·
Require lots of manpower to
handle all the document control · One uncooperative user can cause the entire document control system to fail by simply not maintaining hard copies current |
Disadvantages · Must have a computer, and no access in case of power or network failure · Must be in range for intranet access · Staff needs to scroll up and down the screen to view the document |
Waterworks will
utilize mainly electronic document control with limited number of hard copy documents.
All current revisions of QMS controlled documents are accessible via the
Waterworks intranet website (waterworks.markham.ca) in secured Portable Document
Format (PDF). Staff which has access to the Town’s intranet can access to all
controlled documents online. This includes staff that works outside the
As the back up measure, there will be two controlled document binders within Waterworks (one at the Waterworks Office and one at the Miller Yard Operations Office). Both controlled binders are maintained by the Waterworks QMS Controller to ensure the documents in these two binders are also current. These controlled binders are for back up purposes and also for staff without online access. This back up measure can prevent the unavailability of the online controlled documentation in case of any type of problem.
Waterworks has coordinated the current electronic control methodology with ITS Department’s assistance by using existing available technology in the Town at no additional investment. This control method would work for the time being but a better mechanism should be in place as continuous improvement. In 2009 Waterworks is planning to acquire and implement a QMS Management Software, with different modules for controlling the entire QMS. Document Control will be one of the key modules of the software.
Implementation progress update and next steps
The following table provides the summary of next steps in DWQMS implementation:
|
Description and action |
Target |
Report Date |
|
Perform internal audits |
|
|
|
Management Review Meeting |
|
|
|
Completion of all drinking water related SOPs/WIs; Approval of application for accreditation and licence |
End of December 2008 |
|
|
Completion of stage 2 QMS documentation |
End of May 2009 |
|
|
Acquisition of QMS Management Software |
2nd quarter of 2009 |
|
Waterworks will begin the first round internal audits during the first three weeks of September, to include all Waterworks section and the Corporate Top Management. Upon completion of the internal audits, a report will be submitted to the Council to address the outcomes from the audits.
Management Review
meeting will be held annually by the Operational Top Management and the first
Management Review meeting is to be held on
In conclusion, we
are still on target for option 3 – Full Implementation on or before the
deadline of
Not applicable
ALIGNMENT WITH STRATEGIC PRIORITIES:
Environment – With the electronic document control and access system in place, this is a much more environmental friendly option than the traditional and old fashion hard copy distribution method. The amount of paper and printing required would be much less, and also more in-line with the business practice nowadays.
Service Levels – Implementing QMS will increase the service level by reducing the chance of error, as proper documentation and records are in place. No expired documentation will be found to decrease the service level. Also several DWQMS elements are in common with other departments (such as Element 7 Risk Assessment and Element 18 Emergency Management), by working together with these departments many common theme projects can be completed together and more effectively. With proper document and record control systems in place, all other Town’s department and commissions can learn about the advantage and benefits as well and if they choose to implement a similar system the overall service level of the Town will increase sufficiently.
DEPARTMENTS CONSULTED AND AFFECTED:
ITS department has been consulted and assisted with the setting up of the controlled folders on the Town’s network drive for the storage of controlled documentation. Regular backup is also performed by ITS department in order to properly protect the controlled documentation.
The undersigned represent the Top Management of Town of Markham’s Drinking Water Distribution System and by signing below the Top Management of the Operating Authority has approved all the System Level Documents in Attachment “A”.
RECOMMENDED
BY: ________________________
Jerry Klaus
General Manager, Waterworks
________________________
Peter Loukes, P.Eng.
Director, Operations
_________________________
Brenda Librecz
Commissioner, Community and Fire Services
_________________________
John Livey
Chief Administrative Officer
ATTACHMENTS:
Attachment “A” - System Level Documents:
- SLD 5a Control of Documents
- SLD 5b Control of Records
- SLD 7 Risk Assessment
- SLD 8 Risk Assessment Outcomes
- SLD 9 Organizational Structure, Roles, Responsibilities & Authorities
- SLD 10 Competencies
- SLD 11 Personnel Coverage
- SLD 13 Essential Supplies and Services
- SLD 14 Review and Provision of Infrastructure
- SLD 16a Sampling
- SLD 16b Testing
- SLD 16c Monitoring
- SLD 17 Calibration & Maintenance of Measurement and Recording Equipment
- SLD 18 Emergency Management
- SLD 19 Internal Audits
Attachment “B” – QMS Implementation Progress Summary
Q:\Commission Share\Operations and Asset
Management\Reports\2008\Waterworks\Municipal Licensing Program\QMS
Documentation Update.doc