Annual Cooling tower audits

The independent auditor must be a person who has:

• Completed training specified by NSW Health.
• Demonstrated appropriate qualifications and experience.
• Received approval from the Ministry of Health to audit cooling towers in NSW, see a list of approved cooling tower auditors here.

The chosen auditor must be independent of the:

• Occupier
• Risk assessor
• Duly qualified person/water treatment company 
• Laboratory, and
• Any company that has installed, maintained or serviced the Cooling water system. 

The independent person cannot be a person employed or engaged by the person who employed or engaged a person referred to above in the past five years. For example, your independent auditor cannot be employed by the same water treatment company/duly qualified person who completed your Cooling tower Risk Management Plan or services your cooling tower monthly, installed/maintained you cooling tower and so on. 

As per the NSW Health Legionella Guidelines, there is no requirement for the occupier to engage the same independent  auditor on a recurring basis. You may engage any NSW Health approved auditor permitted they meet the independence requirements outlined in Regulation 15 of the Public Health Regulation 2022.  

Independent auditors should maintain any  necessary insurance, public liability, and  professional indemnity cover in accordance with  usual business practice. 

The Public Health Regulation 2022 requires an auditor to assess whether the occupier demonstrates compliance with the actions, control strategies, monitoring and timeframes required by the RMP (Approved Form 1), and mandatory actions required by the Regulation.

The auditor does NOT assess the quality of the risk assessment or compliance with any optional recommendations in the RMP that do not affect the risk of Legionella growth or transmission. 

 See a list of NSW Health approved forms below with links:-

• Approved Form 1 - Risk Management Plan 
• Approved Form 2 - Audit report 
• Approved Form 3 - Monthly report 
• Approved Form 4 - Notification of reportable test results
• Approved Form 5 - Application for approval to audit cooling water systems
• Approved Form 6 - Notification of installation or change in particulars. 

A statutory annual audit for cooling towers in NSW refers to a mandatory examination and assessment of the cooling tower system's operational and maintenance practices. It aims to ensure compliance with relevant regulations and standards, particularly those related to public health and safety.

The legal requirements for conducting a statutory annual audit of a cooling tower in NSW are outlined in the Public Health Regulation 2022. The regulation specifies the auditing frequency, qualifications required for auditors, reporting obligations, and other relevant compliance measures.

In NSW, Australia, the occupier must ensure that an audit takes place for each 12-month period, with no gaps between periods. The audit period commences on the first day of the month following the month in which the RMP was completed.

As the audit is a retrospective review of documents generated within the 12-month period, the Regulation allows for the audit to be completed within two months after the end of the audit period. 

For example, if the RMP was completed on 15 January, the audit period would commence on 1 February and end on 31 January the following year. The audit for this period would need to be completed by 31 March, using data and documentation from the 12 month audit period. 

A poorly maintained cooling tower can pose several risks, including:

• Increased likelihood of Legionella bacteria growth, leading to potential outbreaks of Legionnaires' disease.
• Reduced cooling efficiency, which can impact overall system performance and increase energy consumption.
• Corrosion and scaling issues, resulting in equipment damage and reduced lifespan.
• Contamination of the surrounding environment and water sources.
• Legal and financial consequences due to non-compliance with regulations.

A cooling tower audit report should typically include the following information:

• Details of the cooling tower system, including its location, design, and specifications.
• Findings from the audit, including observations, measurements, and any non-compliance issues.
• Recommendations for corrective actions and improvements.
• Any required maintenance, repairs, or upgrades.
• Verification of compliance with relevant regulations.
• Auditor's qualifications, signature, and date of the audit.

The auditor must document their findings in the Audit report (Approved Form 2). This includes a Certificate of audit completion which notes the outcome of the audit i.e. if the audit is compliant or non-compliant.

The occupier must provide the certificate to the Local Council within 7 days of completion of the audit.

The occupier may engage another person, such as the auditor or duly qualified person, to make this notification on their behalf.

Non-compliance with cooling tower audit requirements in NSW Australia can result in serious consequences. These may include legal penalties, fines, closure orders, negative publicity, and potential harm to public health. It's crucial for cooling tower owners/operators to adhere to audit requirements to ensure compliance and mitigate associated risks.

There are a number of Penalty infringement notices (on the spot fines) of up to $2,200 prescribed by the Regulations while prosecutions under the Act can result in fines of up to $275,000 for a corporation if they contravene a Prohibition Order.

To minimise the risk of Legionella bacteria growth in a cooling tower, several measures should be implemented:

• Regular monitoring and maintenance of water quality, including appropriate disinfection and water treatment measures.
• Routine cleaning and removal of sediment or biofilm from cooling tower components.
• Ensuring proper design and installation of the cooling tower system, including sufficient water circulation, appropriate materials, and effective drift eliminators.
• Implementing a comprehensive Legionella management plan that includes risk assessments, sampling and testing protocols, and procedures for remedial actions in case of elevated Legionella levels in line with the Public Health Regulations 2022.
• Training and educating personnel involved in the operation and maintenance of the cooling tower on Legionella control measures and best practices.
• Regular auditing and inspections to identify any deficiencies or non-compliance issues that may contribute to Legionella growth.

The audit is a document-based review of compliance with the RMP and Public Health Regulation 2022. It is not mandatory for the auditor to conduct an on-site inspection of the premises where the cooling water system is located. However, physical inspections and sampling of water will still require an on-site visit. 

There is no requirement for the occupier to engage the same independent auditor on a recurring basis.

Key steps in the audit process include:

1. Collect all documents generated within the 12-month audit period.
2. List all actions required by the RMP and Regulation.
3. Assess compliance with actions required by the RMP and Regulation.
4. Assess compliance with the timeframes for actions required by the RMP and Regulation.
5. Determine whether the system is compliant and make recommendations for addressing non-compliance.
6. The auditor may have to follow up and request further documentation from the occupier or duly qualified person in order to complete the audit. 
7. Prepare an audit report outlining findings, recommendations, and required actions. Auditors must use the Approved Form and provide the Certificate of audit completion to the occupier.
8. Local Council Environmental Health Officers may investigate non-compliant systems.

For the 12-month audit period, the auditor should review:

• Current Risk Management Plan (RMP).
• Monthly reports covering inspection, maintenance (including servicing), chemical analysis, and microbial testing x 12 months
• Records of any actions taken to meet RMP requirements or address non-compliance identified by previous audit.
• Records of any notifications made to the local government authority (e.g. for a reportable test result).

The auditor should obtain these records from the occupier or the duly qualified person.

Common issues found during cooling tower audits can include:

• Inadequate water treatment, leading to improper disinfection or chemical imbalance.
• Insufficient cleaning and maintenance practices, resulting in biofilm or scale formation.
• Inadequate monitoring and documentation of water quality parameters and maintenance activities.
• Lack of proper Legionella control measures or failure to follow established protocols.
• Poorly designed or outdated cooling tower systems that do not meet current standards or regulatory requirements.
• Ineffective drift eliminators or other components leading to water loss and contamination.
• Inadequate training and knowledge among personnel responsible for cooling tower operation and maintenance.

As a minimum the Regulation requires all cooling water systems to be sampled and tested monthly, to determine the Legionella count and heterotrophic colony count (HCC). 

Occupiers are responsible for ensuring that monthly testing takes place, and that the Local Council is notified if a reportable test result is received. The reportable result levels are as follows:- 

          •  Legionella count ≥1,000 cfu/mL  

          •  HCC ≥5,000,000 cfu/mL. 

Such high counts are associated with likely exposure of local populations to Legionella and require urgent follow up action.

Even though the above levels are reportable lower bacterial counts require corrective action as outlined in AS 3666:2011, if legionella counts are above 10 cfu/mL or HCC levels are above 100,000 cfu/mL online disinfection/decontamination of the tower is required.

Occupiers may also put in place contractual agreements allowing the duly qualified person or laboratory to notify the local government authority of a reportable test result on their behalf.

The purpose of a cooling tower audit is to ensure the proper functioning, maintenance, and management of cooling tower systems. It helps identify potential risks, assess compliance with regulations, and provide recommendations for improvements. 

The ultimate goal is to prevent the growth and spread of harmful bacteria, such as Legionella, within the cooling tower system.