How do I ensure my preventive maintenance workflows with asset management software are compliant in a public water utility?

To keep preventive maintenance (PM) workflows compliant in a public water utility, you need to make compliance part of the workflow design—not something checked after the work is done. The key is to align your asset management software, procedures, records, and approvals with your regulatory, safety, and audit requirements.

1) Start with the compliance requirements

Identify everything your PM program must satisfy, such as:

• EPA / state drinking water regulations
• AWWA standards
• OSHA safety requirements
• Local environmental and discharge rules
• Cross-connection, backflow, confined space, and lockout/tagout rules
• Internal SOPs and engineering standards
• Grant or asset management reporting requirements, if applicable

Then map each requirement to:

• the asset type
• the maintenance task
• the required frequency
• the required documentation
• the required approver/signoff

2) Configure assets correctly in the software

Your CMMS/EAM system should have clean, standardized asset records:

• Unique asset IDs
• Location / GPS / service area
• Criticality ranking
• Manufacturer/model/serial data
• Install date and lifecycle status
• Regulatory category or compliance class
• Associated drawings, manuals, permits, and SOPs

If the asset hierarchy is weak, compliance reporting will be unreliable.

3) Build PMs from approved procedures

Every preventive maintenance workflow should be based on a controlled procedure that defines:

• exact steps
• tools and parts
• safety precautions
• required permits
• test/inspection criteria
• acceptable thresholds
• escalation triggers
• required documentation/photos/readings

Avoid free-form work orders for regulated tasks. Use templates and standardized checklists.

4) Use mandatory fields and workflow controls

Configure the system so regulated PM work cannot be closed without required information, such as:

• date/time completed
• technician name and certification
• readings and test results
• pass/fail status
• corrective actions
• parts used
• safety permit numbers
• supervisor review where required

Helpful controls include:

• required fields before closeout
• digital signatures
• automatic escalation for overdue PMs
• approval routing for critical equipment
• attachment requirements for photos, certificates, or lab results

5) Tie compliance to scheduling and escalation

A compliant workflow should actively prevent missed maintenance:

• automatic generation of PMs based on time, meter readings, runtime, or condition
• overdue alerts to technicians and supervisors
• escalation rules for critical assets
• exception logging if work is delayed
• downtime/risk flags for missed regulatory tasks

For public water utilities, missed PMs on critical assets should be visible immediately.

6) Keep an audit trail

Your software should preserve a complete, tamper-resistant history of:

• who created/edited/closed the work order
• what was changed and when
• original and revised dates
• inspection results
• approvals and electronic signatures
• attachments and supporting documents

This is essential for audits, incident investigations, and proving due diligence.

7) Control document versions

Make sure technicians always see the current approved version of:

• SOPs
• maintenance checklists
• safety procedures
• emergency response procedures
• regulatory forms

Retire outdated versions and keep version history for audit purposes.

8) Verify training and authorization

Only qualified personnel should be allowed to complete or approve certain PMs. Your workflow should verify:

• operator certifications
• confined space training
• LOTO training
• backflow certification
• water treatment certifications
• forklift/electrical/mechanical qualifications, as relevant

If possible, restrict work orders so only authorized users can close or sign off regulated tasks.

9) Track calibration and inspection intervals

Many public water utility assets depend on accurate measurement:

• flow meters
• chlorine analyzers
• pressure sensors
• gauges
• SCADA-related instruments

Your PM program should include calibration schedules and calibration certificates, with reminders before due dates and blocked closeout if calibration is expired, where appropriate.

10) Use exception management

Not every PM will happen exactly as planned. Your system should force documentation for exceptions such as:

• missed PMs
• deferred work
• failed inspections
• out-of-service equipment
• emergency work replacing PM
• temporary bypasses or alternate controls

Each exception should include:

• reason
• risk assessment
• compensating controls
• approval
• revised due date
• closure verification

11) Reconcile PM data with compliance reporting

Run regular reports for:

• overdue PMs
• PM completion rates
• critical asset compliance
• repeat failures
• failed inspections
• corrective action closure
• calibration compliance
• work order aging

Use these reports to support management review and regulatory audits.

12) Protect data integrity and access

For a public utility, data governance matters:

• role-based access controls
• edit restrictions after approval/closure
• secure backups
• retention policies
• MFA where possible
• segregation of duties for creating, approving, and closing regulated work

13) Validate the workflow periodically

Treat the system itself as something that needs maintenance:

• audit sample work orders for completeness
• test that alerts and escalation rules work
• verify required fields and approvals are enforced
• review whether PM frequencies still match current regulations and asset condition
• compare software records to field reality

14) Build a compliance review process

Have a recurring review involving operations, maintenance, compliance, and management to examine:

• missed PMs
• recurring deficiencies
• regulatory changes
• asset failures
• SOP updates
• training gaps

This keeps the PM program aligned with actual compliance obligations.

Practical best practices

If you want a simple checklist, make sure your software can:

• assign PMs from approved templates
• require safety and compliance fields
• enforce approvals for critical assets
• store attachments and signatures
• maintain immutable audit history
• alert on overdue or failed tasks
• link PMs to regulations and SOPs
• report compliance status by asset and system

Bottom line

The most reliable way to stay compliant is to design your preventive maintenance workflows so compliance is embedded at every step: asset setup, work planning, execution, approval, documentation, and reporting. If your CMMS/EAM can’t enforce those controls, you’ll need procedural controls and supervisory review to fill the gaps.

If you want, I can also give you:

1. a sample compliant PM workflow,
2. a CMMS configuration checklist for a water utility, or
3. a regulatory controls matrix mapping PM tasks to compliance requirements.