Sydney Water Operational Audit 2011/2 - IPART - NSW Government

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1 Introduction and scope Chapter 3 summarises the progress by Sydney Water to address and implement recommendations from the previous 2010/11 audit. 1.2 Audit scope This audit covered the period from 1 July 2011 to 30 June 2012. The 2011/12 audit scope required the auditor to review the following parts of Sydney Water’s operating licence: Water Quality (Part 2) – requirements relating to planning, monitoring, reporting, incident management, and wastewater and water recycling operations. Infrastructure Performance (Part 3) – asset management requirements, and compliance with Sydney Water’s asset management framework. Water Conservation (Part 7) – requirements relating to the calculation and management of water leakage from Sydney Water’s drinking water system. 4 1.3 The audit process We engaged GHD Pty Ltd to assist with the 2011/12 audit of Sydney Water. The auditor was required to undertake the following tasks, in accordance with our Audit Guideline for Public Water Utilities. 1. Prepare an information request (questionnaire) for Sydney Water setting out all information requirements prior to the audit interviews. 2. Assess the level of compliance achieved by Sydney Water against each of the requirements of the licence set out in IPART’s risk-based audit scope, providing supporting evidence for this assessment and reporting compliance according to IPART’s established compliance scoring methodology. 3. Assess and report on progress by Sydney Water in addressing any comments made by the relevant Minister and/or recommendations endorsed by IPART pertaining to previous audits, providing supporting evidence for these assessments. 4. Provide drafts of the audit report to IPART and seek and address comments from Sydney Water and IPART regarding the draft audit findings. 5. Prepare a final report on the findings of the audit. 5 4 IPART set the Audit Scope and advised Sydney Water in letter of 21 May 2012 (IPART, letter of 21 May 2012 to Sydney Water re 2011/12 AUDIT SCOPES). We have distributed the audit requirements over the 5-year licence period (ie, 2010-2015). All of the licence requirements will be addressed at least once during the licence period. 5 IPART, Audit Guideline – Public Water Utilities, Water, May 2012. This Audit Guideline is on our website (www.ipart.nsw.gov.au). 4 IPART Sydney Water Corporation Operational Audit 2011/12
1 Introduction and scope Under our Audit Guideline, auditors can either make recommendations or suggest opportunities for improvement. Where we support an auditor’s recommendation we follow-up the matter to ensure that it is addressed. Where auditors have suggested opportunities for improvement we take a different approach, particularly if it relates to an area where full compliance of the licence requirement has been awarded. The utility can decide whether to implement an opportunity, based on their own assessment of whether the improvement is a prudent and efficient way to achieve its outcomes. We take this approach to balance performance and the investment required to improve it. That is, we want to consider the pricing implications of continued improvement and value to money to the customer before recommending that the utility implement further improvement. We held an inception meeting for the audit on 8 October 2012, with GHD and Sydney Water, at Sydney Water’s head office at Parramatta. At this meeting, we established the following: a mutual understanding and expectation of the audit requirements the protocols and timescale for the audit. All parties adhered to the agreed protocols throughout the audit. The audit commenced at the conclusion of the inception meeting. Further, on 9 October 2012, we audited Sydney Water’s operations at 2 of its treatment plants, including the Wollongong Water Recycling Plant and Woronora Water Filtration Plant. Throughout the course of the interviews, the auditors adopted a methodology consistent with our Audit Guideline. The Audit Guideline requires auditors to use a systematic approach to define the requirements of the audit. Further, the audit must be conducted to an established and recognised standard. 6 The auditor has assessed Sydney Water’s compliance with its operating licence according to the compliance grades outlined in our Audit Guideline, and in chapter 1 of the auditor’s report (see Appendix A). 6 GHD adopted an audit methodology consistent with ISO 14011. The Audit Guideline does not prescribe a standard for the auditor to adopt. The Auditor must decide on a suitable approach to adequately plan the audits, interpret licence conditions, collect audit evidence, objectively assess the evidence, and report in a clear and accurate manner. Sydney Water Corporation Operational Audit 2011/12 IPART 5
Page 1: Independent Pricing and Regulatory
Page 4 and 5: © Independent Pricing and Regulato
Page 7 and 8: Executive Summary Executive Summary
Page 9: 1 Introduction and scope 1 Introduc
Page 13 and 14: 2 Overview of audit findings and re
Page 15 and 16: 2 Overview of audit findings and re
Page 17 and 18: 3 Progress on 2010/11 audit recomme
Page 19: A Operational Audit Report 2011/12
Page 23 and 24: Executive summary Introduction GHD
Page 25 and 26: Compliance Against Audited Licence
Page 27: Figure index Figure 1 Sydney Water'
Page 30 and 31: 1. Introduction 1.1 Sydney Water Co
Page 32 and 33: 1.5 Audit Methodology The operation
Page 34 and 35: 2. Water Quality - Part 2 2.1 Summa
Page 36 and 37: Information provided by Sydney Wate
Page 38 and 39: In particular, routine verification
Page 40 and 41: 3. Infrastructure Performance - Par
Page 42 and 43: Unexpected claims for additional wo
Page 44 and 45: maintenance request developed. This
Page 46 and 47: 3.6.2 Opportunities for Improvement
Page 48 and 49: Up until the two most recent years,
Page 50 and 51: OFI 7.4 IPART should note that any
Page 52 and 53: Appendix A - Glossary and Dictionar
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Clause Requirement Grade Reason Aud
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Appendix C - Water Quality Detailed
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Clause Requirement Grade and Reason
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Appendix D - Water Quality Detailed
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Appendix E - Infrastructure Perform
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Appendix F - Water Conservation Det
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Appendix G - Audit Methodology GHD
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Audit Methodology The methodology a
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Licence Clause Operating Licence Ob
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Drinking Water Quality Interview Pe
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Appendix J - SWC Document Received
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Document Reference Number Document
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GHD 16 Marcus Clarke St Canberra AC
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B Sydney Water’s Statement of Com
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Operating Licence 2010-2015 Complia
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1 Introduction This report has been
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In 2011-12, 572 properties experien
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2.2.1 Water continuity: unplanned i
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2.2.3 Water continuity: historical
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2.3 Sewage Overflow Standard (SPS 4
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2.3.3 Sewage overflows: historical
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3.1 Response times for Priorities 6
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Water use per capita per day 460 43
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4.1.1 Calculating water leakage The
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Table of Contents Introduction Tabl
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Table E.1 - NWI Water Resources and
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NWI W18 Total sewage collected The
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Table E.2 - IPART Service Quality a
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Table E.3 - NWI Customer Indicators
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Sydney Water continues to undertake
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Table E.4 - IPART Customer Service
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Ref. Indicator 2007-08 2008-09 2009
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Table E.7 - NWI Pricing Indicators
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Ref. Indicator 2007-08 2008-09 2009
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Water Efficiency Report
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Contents At a glance - 2011-12 1 1
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8 Water use forecast 30 8.1 2010-15
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As noted in last year’s Water Eff
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Recycled water In 2011-12, Sydney W
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person per day (LPD). In 2011-12, w
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Box A: Case study Working with cust
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A case study of a customer working
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2.3.3 Educational tours Sydney Wate
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3 Leak management in 2011-12 Best p
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3.5 Improving flow metering Flow me
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4.3 Water recycling projects Sydney
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5 Research, analysis and support in
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5.4 Water Conservation Program Impl
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5.11 Recycling research projects In
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Figure 11 Sydney Water’s Strategi
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lecturers, and local and state gove
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8 Water use forecast Our current de
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Appendix 2 Correcting for weather W
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Appendix 4 Estimating leakage Sydne
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Appendix 6 Savings achieved between
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Program 99-00 00-01 01-02 02-03 03-
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Appendix 8 List of acronyms and uni
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Table of Contents 1 Introduction 3
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(c) If either Sydney Water or a lic
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2.3 Delays by consent authorities N
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Distribution list Controlled copy D
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Contents 1. Introduction ..........
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Water quality - characteristics not
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Table 1: Exception summary for wate
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2.3 Performance for key characteris
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3.1.1 Evaluation of results on an e
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Delivery System No. of exceptions/t
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4. Water quality: other characteris
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Table 6: Summary of exceptions for
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Table 8: Summary of exceptions for
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5. Water Quality: Summary of NSW He
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Date of notification Event/incident
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Date of notification Event/incident
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Orchard Hills 2004 Guideline Health
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Prospect North 2004 Guideline Healt
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Ryde 2004 Guideline Health Value Qu
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Warragamba 2004 Guideline Health Va
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Macarthur 2004 Guideline Health Val
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Woronora 2004 Guideline Health Valu
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SWC Summary 2004 Guideline Health V
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Table 13: Aesthetic guideline value
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Delivery System : Prospect East 200
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Delivery System : Nepean 2004 Guide
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Delivery System : Cascades 2004 Gui
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Orchard Hills 2004 Guideline Aesthe
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Prospect North 2004 Guideline Aesth
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Ryde 2004 Guideline Aesthetic Value
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Warragamba 2004 Guideline Aesthetic
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Macarthur 2004 Guideline Aesthetic
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Woronora 2004 Guideline Aesthetic V
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SWC Summary 2004 Guideline Aestheti
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Cryptosporidium - (DAPI CONFIRMED)
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Giardia - (DAPI CONFIRMED) Quarter
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Table 16: Number of exceptions for
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Table 18: Chlorine performance by d
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Quarterly Recycled Water Quality Mo
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DOCUMENT STATUS This quarterly repo
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1. Introduction In Sydney Water’s
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Table 1: Exception summary for recy
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Table 2: Evaluation of results on e
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Sydney Water Operational Audit 2011/2 - IPART - NSW Government

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