Internal Management Audit Checklist

• Client / Site

• Location
  Address

• Conducted on

  Date

• Prepared by

Introduction

• Is the Safety, reliability, maintenance and technical management plan (SRMTMP) effective and functional?

  Yes

  No

  N/A

• Has the purpose of the SRMTMP changed?

  Yes

  No

  N/A

• Have the scope and objectives changed?

  Yes

  No

  N/A

• Is the responsible person for the SRMTMP still current?

  Yes

  No

  N/A

• Is the Organisational Chart up to date?

  Yes

  No

  N/A

• Have any roles and responsibilities for key position/s changed?

  Yes

  No

  N/A

• Is the communication strategy for the plan still current?

  Yes

  No

  N/A

• Are relevant legislation, codes and standards listed?

  Yes

  No

  N/A

• Are the major approvals and licenses listed?

  Yes

  No

  N/A

Description of the Operation

• Do the assets summary and the high-level descriptions including system/scheme list reflect your current infrastructure?

  Yes

  No

  N/A

• Is there additional asset design and operational information?

  Yes

  No

  N/A

Operational Safety and Reliability

• Leadership and Commitment – Has there been any changes to:

• Person responsible for water and/or sewerage infrastructure safety

  Yes

  No

  N/A

• Employee selection, competency and training commitment

  Yes

  No

  N/A

• Contractor and end-user training commitment

  Yes

  No

  N/A

• Effective Planning– Has there been any changes to:

  Yes

  No

  N/A

• Design management approach

  Yes

  No

  N/A

• Design life of the plant in line with nominated standards or otherwise

  Yes

  No

  N/A

• Safety in design requirements adopted

  Yes

  No

  N/A

• Procurement systems and processes

  Yes

  No

  N/A

• Controlled Implementation– Has there been any changes to:

  Yes

  No

  N/A

• Construction and commissioning management systems

  Yes

  No

  N/A

• Safe operational procedures

  Yes

  No

  N/A

• Maintenance and reliability considerations

  Yes

  No

  N/A

• Decommissioning, demolition and abandonment/disposal

  Yes

  No

  N/A

• Emergency response management

  Yes

  No

  N/A

• Monitoring and Evaluation– Has there been any changes to:

• Incident management, incl. classification, reporting and investigation

  Yes

  No

  N/A

• Document management system

  Yes

  No

  N/A

• Reporting requirements

  Yes

  No

  N/A

• Audit and Review– Has there been any changes to:

• Auditing processes, reviews, and responsibilities, including but not limited to long-term evaluation plans

  Yes

  No

  N/A

Formal Safety and Reliability Assessment

• Has there been any changes to:

• Hazard identification and rating system

  Yes

  No

  N/A

• Risk response mitigation and controls

  Yes

  No

  N/A

• Risk Assessment principles and guidelines

  Yes

  No

  N/A

Asset Management

• Has there been any changes to:

• Asset management system

  Yes

  No

  N/A

• Change management system

  Yes

  No

  N/A

• Operations and maintenance strategies

  Yes

  No

  N/A

• Maintenance program

  Yes

  No

  N/A

Contract Management

• Has there been any changes to:

• Contract management system

  Yes

  No

  N/A

• Contract assessment processes

  Yes

  No

  N/A

• Contractor Management, i.e. CMS

  Yes

  No

  N/A

Customer / Public Protocols and Agreements

• Has there been any changes to:

• Stakeholder communication protocols

  Yes

  No

  N/A

• Public communication protocols

  Yes

  No

  N/A

• Education and notices related to recycled water

  Yes

  No

  N/A

• Supply agreements – statement and/or list of recipients

  Yes

  No

  N/A

• Register of customer contact, issues raised – identified, response

  Yes

  No

  N/A

Compliance Monitoring

• Has there been any changes to:

• Performance monitoring and compliance structure

  Yes

  No

  N/A

• KPI measurement and reporting processes

  Yes

  No

  N/A

• Periodic operations audits/ Water quality monitoring and compliance

  Yes

  No

  N/A

• Corrective actions and continuous improvement strategies

  Yes

  No

  N/A

Emergency Response and Incident Reporting

• Were there any emergencies/incidents?

  Yes

  No

  N/A

• How many?

• Were the incident/s reported in accordance with OTR requirements?

  Yes

  No

  N/A

• Were the incident/s investigated (internally/externally)?

  Yes

  No

  N/A

UPDATE OF SRMTMP

• Has the version table in the SRMTMP been updated and all changes noted?

  Yes

  No

  N/A

• Has the updated version of the SRMTMP been provided to the OTR for approval?

  Yes

  No

  N/A

Completion

• Full Name and Signature of Inspector

  Sign