Australian/New Zealand Standard
Australian/New Zealand Standard
Australian/New Zealand Standard
4:2011
AS/NZS 3666.4:2011
Part 4: Performance-based
maintenance of air-handling systems
(ducts and components)
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AS/NZS 3666.4:2011
This Joint Australian/New Zealand Standard was prepared by Joint Technical
Committee ME-062, Ventilation and Airconditioning. It was approved on behalf of
the Council of Standards Australia on 20 July 2011 and on behalf of the Council of
Standards New Zealand on 25 July 2011.
This Standard was published on 14 November 2011.
This Standard was issued in draft form for comment as DR AS/NZS 3666.4.
AS/NZS 3666.4:2011
Part 4: Performance-based
maintenance of air-handling systems
(ducts and components)
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COPYRIGHT
© Standards Australia Limited/Standards New Zealand
All rights are reserved. No part of this work may be reproduced or copied in any form or by
any means, electronic or mechanical, including photocopying, without the written
permission of the publisher, unless otherwise permitted under the Copyright Act 1968
(Australia) or the Copyright Act 1994 (New Zealand).
Jointly published by SAI Global Limited under licence from Standards Australia Limited,
GPO Box 476, Sydney, NSW 2001 and by Standards New Zealand, Private Bag 2439,
Wellington 6140
PREFACE
This Standard was prepared by Joint Standards Australia/Standards New Zealand
Committee ME-062, Ventilation and Airconditioning.
This Standard forms Part 4 of a series of Standards for microbial control of air-handling and
water systems of buildings as follows:
AS/NZS
3666 Air-handling and water systems of buildings—Microbial control
3666.1 Part 1: Air-handling and water systems of buildings—Microbial control—
Design, installation and commissioning
3666.2 Part 2: Operation and maintenance
3666.3 Part 3: Performance-based maintenance of cooling water systems
3666.4 Part 4: Performance-based maintenance of air-handling systems (ducts and
components)
The term ‘informative’ has been used in this Standard to define the application of the
appendix to which it applies. An ‘informative’ appendix is only for information and
guidance.
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3 AS/NZS 3666.4:2011
CONTENTS
Page
FOREWORD .............................................................................................................................. 4
FOREWORD
Most microbial contamination at buildings arises from the individual occupants who shed
bacteria and fungi from the skin. When infected with disease, spread is directly by person-
to-person contact or indirectly as a result of droplets in air that are produced by talking,
sneezing and coughing.
Logically, such diseases could also be transmitted through building-related airborne
pathways such as ducted air-handling systems although documented instances are rare and
isolated.
Although air-handling systems are unlikely sources of growth for Legionella bacteria (other
than at humidifiers), they may act as conduits for transmission of these and other pathogens
from outdoor environment.
On the other hand, airborne allergens may result from improperly maintained air-handling
plant should conditions suit the growth of viable agents including adaptive bacteria, fungi,
amoebae and perhaps algae. Non-viable agents include house dust, insect parts, animal
danders, cockroach and mite faecal matter, remains of moulds and their spores, pollens, and
dried animal faecal matter. These may lead to allergic reactions on human skin or airways;
some people have a genetic predisposition toward allergies.
At air-handling systems, maintenance of hygienic conditions is known to be a suitable
method of addressing niches that may otherwise allow growth and spread of airborne
microbial matter or antigenic material.
Remediation generally involves addressing visible collections of extraneous matter,
including internal surfaces of ductwork. For dry dust presence, use of HEPA filtered
vacuum cleaning may be needed. For wetted lining surfaces, replacement of the lining may
be needed, and for fungal/bacterial growths the water or moisture activity needs to be
eliminated or surfaces periodically cleaned. Use of biocides in air-handling systems may
not only be hazardous but the dead microorganisms created may provide nutrients for future
growth of spores.
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S E C T I O N 1 S C O P E A N D G E N E R A L
1.1 SCOPE
This Standard outlines a performance-based approach to the maintenance of ducts and
components forming air-handling systems with respect to the control of microorganisms,
within such systems. This approach is based on known risk factors combined with
maintenance practices and compliance monitoring to create hygienic conditions within such
systems of buildings.
The provisions of this Standard are an alternative to the prescriptive requirements of
AS/NZS 3666.2 (Clause 2.3.5) for the maintenance of air-handling systems other than those
incorporating water-supplied devices such as humidifiers and evaporative coolers.
NOTE: This Standard addresses only the performance of maintenance programs and is to be read
in conjunction with AS/NZS 3666.1 and the relevant clauses of AS/NZS 3666.2. Aspects such as
maintenance manuals, records, log books, safety procedures, and the like, are as important for the
application of this Standard as they are for a prescriptive approach to maintaining a clean system.
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1.2 OBJECTIVE
The objective of this Standard is to provide a performance-based approach to the
maintenance of hygienic conditions with air-handling systems of buildings.
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AS/NZS 3666.4:2011 6
1.6 DEFINITIONS
For the purposes of this Standard the definitions given in AS/NZS 3666.1, AS/NZS 3666.2,
AS 3666.3 and those below apply.
1.6.1 Allergen
A substance that can trigger an immune response, resulting in an allergic reaction.
1.6.2 Contaminant
An unwanted constituent that may or may not be associated with adverse health or comfort
effects.
1.6.3 Dust
Particles less than 100 μm in size. Dust provides a substrate for microbial attachment and
growth.
1.6.4 Pollutant
A contaminant that is known to cause illness.
1.6.5 VAV terminal
Variable air volume device forming part of an air handling system that modifies room
temperature by varying the quantity of supply air rather than altering the supply air
temperature.
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7 AS/NZS 3666.4:2011
S E C T I O N 2 I D E N T I F I C A T I O N A N D
A S S E S S M E N T O F R I S K F A C T OR S
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AS/NZS 3666.4:2011 8
TABLE 2.1
RISK FACTORS TO BE ASSESSED AND CONTROLLED
Risk category Risk factor Evaluation
External environment Climatic zone:
BCA climate zones 1–2
BCA climate zones 3–8
Proximity to ocean
Pre-existing weather conditions:
Heavy rainstorms
Heavy dust storms
Recent bushfires
Airborne pollutants from industrial accidents
Temperature extremes
Long periods of high humidity or fog
Seasonal effects (pollen, leaf litter)
Flooding
Site and system Hygiene conditions at air handling plant room (AS 1668.2 Clause 2.2):
characteristics
Used as a store room
Chemical pollutants present
Presence of cleaning equipment
Combustion machines present
Cooling towers present*
Water pooling on plant room floor
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9 AS/NZS 3666.4:2011
Fans:
Blades clean
Drive belts not broken nor misaligned*
Belt tension correct
No excessive vibration
No corrosive activity
Terminal units operating to design intent (correct minimum and
maximum air flow settings at VAV terminals)
System operating outside design limits for temperature and humidity
(70% maximum tolerable relative humidity in occupied spaces)
Building defects including water leaks
Damage caused by vermin and other pests
Other sources of nutrient availability
Need for cleaning—overall assessment
(continued)
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AS/NZS 3666.4:2011 10
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11 AS/NZS 3666.4:2011
S E C T I O N 3 E V A L U A T I O N A N D R E P O R T I N G
Following each inspection a condition report shall be prepared detailing results and
proposed cleaning, repairing or replacement corrective actions.
The report shall describe and evaluate the following:
(a) The physical situation from inspection.
(b) The acceptability or otherwise of non-compliant aspects.
(c) Trade-offs that apply.
(d) Corrective actions proposed.
(e) Updates on work that has been completed to address defects.
Progress reports on works completed shall form part of the building owner’s facility
management reporting system.
NOTE: Appendix A is an example of a suitable risk classification procedure that could be useful
in the analysis of microbial control of air-handling systems. It does not provide for broader
aspects such as medical surveillance, chemical offgassing, lines of managerial responsibility, nor
use of questionnaires or other studies concerned with issues of indoor environmental quality.
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AS/NZS 3666.4:2011 12
S E C T I O N 4 C O M P L I A N C E M O N I T O R I N G A N D
V E R I F I C A T I O N
For those items identified as ‘in need of attention’, a strategy plan shall be produced in the
form of a compliance schedule. Satisfactory implementation and timely completion of the
schedule shall be verified in order to confirm that a satisfactory level of system
maintenance, as described in AS/NZS 3666.2, is being achieved.
Verification shall take place at intervals not exceeding 12 months and shall be carried out
by one or more competent persons.
Failure of verification requires:
(a) A reassessment of system condition.
(b) A review of planned actions.
(c) Implementation of suitable contingency plans to ensure the system does not remain in
an unhygienic condition.
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13 AS/NZS 3666.4:2011
APPENDIX A
RISK CHARACTERIZATION
(Informative)
A1 SCOPE
This Appendix sets out a suitable procedure for tabulating the assessments for each risk
category.
A2 CHARACTERIZATION
Concepts of risk characterization include the following:
(a) Observation The site inspection, as an audit, is to reveal gross errors in air-handling
system function, operation or maintenance that could have a microbial growth impact.
(b) Likelihood (see Table A2) This grades the chances of an identified problem
becoming worse before the next planned maintenance visit as:
(i) Insignificant.
(ii) Minor.
(iii) Moderate.
(iv) Major.
(v) Catastrophic.
(c) Consequence (see Table A1) The significance of adverse conditions or events are
listed as:
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A3 RISK ANALYSIS
The six main risk categories are considered to be the following:
(a) Environment.
(b) Site and system characteristics.
(c) Moisture.
(d) System defects.
(e) Air filtration capability.
(f) Air quantities.
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AS/NZS 3666.4:2011 14
The risk factors may be analysed by assigning a qualitative consequence and likelihood to
each risk. The qualitative measures of consequence and likelihood used are shown in
Table A1 and Table A2. A sample qualitative risk level rating is shown at Table A3 and a
risk schedule is shown at Table A4.
TABLE A1
QUALITATIVE LEVELS OF CONSEQUENCE
Level Consequence Description
1 Insignificant Risk factors do not presently exist
2 Minor Existence of risk factors; adverse events improbable
3 Moderate Adverse effects resulting from microbial risk factors
possible; preventative controls in place but may fail
4 Major Microbial growths evident but unlikely to lead to human
illness due to fortuitous mitigating controls including
scheduled maintenance attention imminent
5 Catastrophic Strong evidence of microbial growths relevant to air-
handling system; immediate intervention measures needed
as no managed control measures in place
TABLE A2
QUALITATIVE LEVELS OF LIKELIHOOD
Level Likelihood Description
A Almost certain Is expected to occur in most circumstances
B Likely Will probably occur in most circumstances
C Possible Might occur at some time
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TABLE A3
QUALITATIVE RISK LEVEL
Consequence rating
Likelihood Insignificant Minor Moderate Major Catastrophic
(1) (2) (3) (4) (5)
Almost certain (A) High High Extreme Extreme Extreme
Likely (B) Moderate High High Extreme Extreme
Possible (C) Low Moderate High Extreme Extreme
Unlikely (D) Low Low Moderate High Extreme
Rare (E) Low Low Moderate High High
Extreme = Extreme risk; immediate remedial action is required including plant shutdown and cleaning.
High = High risk; review maintenance program and expedite remedial actions including cleaning as
appropriate.
Moderate = Moderate risk; review maintenance program and establish priority ranking for actions deemed
expedient.
Low = Low risk; manage by current maintenance procedures.
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TABLE A4
SAMPLE RISK SCHEDULE
System defects
Air filtrations
capability
Air quantities
Overall risk
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AS/NZS 3666.4:2011
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NOTES
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Electrotechnical Commission).
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