Sample Mock Audit Questions

To evaluate each PHMSA question will require the discussion of a number of background questions to support the auditor's evaluation of the operator's compliance. During the mock audit, I would ask a number of additional questions gathered from PHMSA inspection guidance, PHMSA Enforcement case findings and my own experience.

CRM, SCADA, and Leak Detection - Operating Experience      

  1. Reportable Incident (Review) Is there a formal, structured  approach for reviewing and critiquing reportable events to identify lessons learned? (CR.CRMEXP.REPORTABLEINCIDENTREVIEW.P) 192.631(g)(1) 

Operator  does/does not incorporate a methodology to determine the 

cause of the event.  ____________

A root cause analysis process is/is not used when applicable.  ____________

Secondary or contributing causes are/are not addressed.  ____________

Event cause analysis includes analysis of the potential contribution of controller 

or control room decisions/actions to the event.  ____________

Operator’s procedure identifies the person to review control room involvement 

in a reportable event  ____________

Operator has a step by step procedure to evaluate control room involvement 

in a reportable event     ____________

Operator has a form to document the evaluation of control room involvement 

in a reportable event       ____________

Operator’s procedure includes examples of documentation required to complete a

form for evaluation of control room involvement in a reportable event  ____________ 

Operator evaluates, identifies and addresses potential contribution of 

erroneous training.       ____________

The operator’s review and critique of actual failure experience critiques the adequacy of 

SCADA design and performance of both the primary and back-up systems.   ____________

Sat+   Sat   Concern   Unsat   Not Applicable   Not Covered