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AS/NZS 3666.

4:2011
AS/NZS 3666.4:2011

Australian/New Zealand Standard™

Air-handling and water systems of


buildings—Microbial control

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.

The following are represented on Committee ME-062:

Air Conditioning and Mechanical Contractors Association


Australasian Fire and Emergency Service Authorities Council
Australian Building Codes Board
Australian Institute of Refrigeration Air Conditioning and Heating
Chartered Institution of Building Services Engineers
Climate Control Companies Association
Consumer Electronics Suppliers Association
Department of Health and Human Services, Tas.
Engineers Australia
Facility Management Association of Australia
Institute of Refrigeration Heating & AirConditioning Engineers of New Zealand
NSW Health Department
Plastics and Chemicals Industries Association
Plumbing Industry Commission
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Keeping Standards up-to-date


Standards are living documents which reflect progress in science, technology and
systems. To maintain their currency, all Standards are periodically reviewed, and
new editions are published. Between editions, amendments may be issued.
Standards may also be withdrawn. It is important that readers assure themselves
they are using a current Standard, which should include any amendments which
may have been published since the Standard was purchased.
Detailed information about joint Australian/New Zealand Standards can be found by
visiting the Standards Web Shop at www.saiglobal.com.au or Standards New
Zealand web site at www.standards.co.nz and looking up the relevant Standard in
the on-line catalogue.
For more frequent listings or notification of revisions, amendments and
withdrawals, Standards Australia and Standards New Zealand offer a number of
update options. For information about these services, users should contact their
respective national Standards organization.
We also welcome suggestions for improvement in our Standards, and especially
encourage readers to notify us immediately of any apparent inaccuracies or
ambiguities. Please address your comments to the Chief Executive of either
Standards Australia or Standards New Zealand at the address shown on the back
cover.

This Standard was issued in draft form for comment as DR AS/NZS 3666.4.
AS/NZS 3666.4:2011

Australian/New Zealand Standard™

Air-handling and water systems of


buildings—Microbial control

Part 4: Performance-based
maintenance of air-handling systems
(ducts and components)
Accessed by Naval Group on 10 Oct 2019 (Document currency not guaranteed when printed)

First published as AS/NZS 3666.4:2011.

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

ISBN 978 0 7337 9920 4


AS/NZS 3666.4:2011 2

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

SECTION 1 SCOPE AND GENERAL


1.1 SCOPE ......................................................................................................................... 5
1.2 OBJECTIVE ................................................................................................................ 5
1.3 NORMATIVE REFERENCES .................................................................................... 5
1.4 FUNCTIONAL STATEMENT .................................................................................... 5
1.5 PERFORMANCE REQUIREMENTS ......................................................................... 6
1.6 DEFINITIONS............................................................................................................. 6

SECTION 2 IDENTIFICATION AND ASSESSMENT OF RISK FACTORS


2.1 SCOPE OF SECTION ................................................................................................. 7
2.2 RISK FACTORS ......................................................................................................... 7
2.3 RISK ASSESSMENT .................................................................................................. 7
2.4 POLICY OBJECTIVES ............................................................................................... 7

SECTION 3 EVALUATION AND REPORTING.................................................................. 11

SECTION 4 COMPLIANCE MONITORING AND VERIFICATION .................................. 12

APPENDIX A RISK CHARACTERIZATION...................................................................... 13


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AS/NZS 3666.4:2011 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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Performance-based maintenance for microbial control is of the preventative type, i.e. it is


performed to suit site conditions without necessarily following set frequencies as prescribed
in AS/NZS 3666.2. Durability, reliability, efficiency, and health and safety remain of
paramount importance.
Components of air handling plant need to be kept clean so as not to waste energy. If heat
exchange coils are dirty, resistance to air flow and heat exchange ultimately impose energy
handicaps (reduced chiller and boiler efficiencies and increased fan energy consumption).
Similarly, air filters allowed to exceed recommended pressure drop characteristics impose
an air flow or energy penalty.
Effectiveness of the performance approach is dependent upon the experience and judgement
of the facility management team. The use of a methodical risk management plan for
maintenance, as required by this Standard, should assist them.
The risk management methodology provides for a verification step to confirm that
contaminant sources are controlled so that the air-handling system is in fact providing
acceptable air quality and meets the same level of maintenance described in
AS/NZS 3666.2, Clause 2.3.5.
Further explanatory information and helpful guidance can be found in the Standards
Australia/Standards New Zealand Handbook HB 32, Control of microbial growth in air-
handling and water systems of buildings, and in several publications produced by the
Australian Institute of Refrigeration Air Conditioning and Heating including:
DA 26 Indoor Air Quality
Best Practice Guidelines: HVAC Hygiene.
5 AS/NZS 3666.4:2011

STANDARDS AUSTRALIA/STANDARDS NEW ZEALAND

Australian/New Zealand Standard


Air-handling and water systems of buildings—Microbial control

Part 4: Performance-based maintenance of air-handling systems (ducts and


components)

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.

1.3 NORMATIVE REFERENCES


The following are the normative documents referred to in this Standard:
AS
1668 The use of mechanical ventilation and air-conditioning in buildings
1668.2 Part 1: Mechanical ventilation for acceptable indoor-air quality
AS/NZS
3666 Air-handling and water systems of buildings—Microbial control
3666.1 Part 1: Design installation and commissioning
3666.2 Part 2: Operation and maintenance
3666.3 Part 3: Performance-based maintenance of cooling water systems

1.4 FUNCTIONAL STATEMENT


Air-handling systems of buildings shall be maintained and monitored to minimize the
growth and dissemination of microorganisms in and by such systems.

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AS/NZS 3666.4:2011 6

1.5 PERFORMANCE REQUIREMENTS


The monitoring assessment and control strategies for key performance indicators shall be in
accordance with Table 2.1 and Section 3.
NOTE: Following these performance requirements is deemed to comply with the prescriptive
requirements of Clause 2.3.5 of AS/NZS 3666.2.

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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1.6.6 Viable microorganism


A microorganism capable of multiplying in favourable conditions.
1.6.7 Water activity (moisture activity)
Water availability of a hygroscopic or porous material measured as the ratio of vapour
pressure exerted by water in the material to the vapour pressure of pure water at the same
temperature and pressure. It is a measure of the moisture-holding properties of materials.

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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

2.1 SCOPE OF SECTION


This Section lists risk factors that contribute to the growth and dissemination of
microorganisms within air-handling systems.

2.2 RISK FACTORS


Following a site inspection, the risk factors given in Table 2.1 shall be assessed and
documented for each site, with appropriate control measures.
NOTES:
1 Many of these factors will be controlled by compliance with AS/NZS 3666.1 and
AS/NZS 3666.2.
2 Other factors that may lead to the risk of acquiring a disease caused by microorganisms
include transport of microorganisms, virulence of microorganisms and host susceptibility.
These factors are not within the scope of this Standard.

2.3 RISK ASSESSMENT


A risk assessment shall be undertaken as part of the implementation of this Standard and
shall identify, evaluate and report on all factors given in Table 2.1. The risk assessment
shall be undertaken and documented by a person competent to evaluate the condition of the
air-handling system. Evaluation shall state whether each risk factor is—
(a) in need of attention;
(b) satisfactory; or
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(c) not applicable (give reason).


The risk assessment shall be revised if there are any reasons to believe that the findings are
no longer valid, if compliance monitoring reveals the need for preventative or corrective
action, if significant change in local environment, work practices or equipment occur or if
five years have elapsed since the last assessment or revision. The risk assessment report
shall form part of the operating and maintenance manual.

2.4 POLICY OBJECTIVES


The risk assessment shall form part of a maintenance policy for the plant. The maintenance
policy shall—
(a) establish the resources (funds, staffing, contracts) necessary;
(b) describe the mechanisms for fault finding (including response times);
(c) describe roles and responsibilities; and
(d) describe any upgrade investments foreseen.
The risk assessment shall describe the following:
(i) System function, location and areas served.
(ii) Its age.
(iii) The type of system.
(iv) Its air handling capacity.
(v) Relevant maintenance strategies to meet policy objectives.

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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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Other relevant plant and equipment in shared plant room


Cleanliness of outdoor surrounds near air intakes:
Vehicle loading docks, dumpster trucks*
Vehicular traffic
Industrial contaminants including dusts, vapours, aerosols, fumes, mists
and smoke
Excessive litter
Rooftop entry of water or contaminants*
Proximity to moisture producing equipment or other nutrient sources
Evidence of animal and bird activity*
Functional changes in building space:
Recent renovations at building
Dust load from construction activity
Air-handling system changes*
Plant start-up at commissioning or re-commissioning
Dislodgement or dispersal of dirt and dust if duct ends not closed:
System maintenance manual satisfactory
Plant electricity consumption acceptable*
Reporting systems (logbooks, records paper based or software based)
satisfactory
(continued)

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9 AS/NZS 3666.4:2011

TABLE 2.1 (continued)

Risk category Risk factor Evaluation


Moisture Evidence of water pooling at or around coil trays, plant casings or
ductwork (AS/NZS 3666.1, Clauses 2.7, 2.8, 2.9)*
Unnecessary moisture present at:
Ducts near air handling plant
In plenums or acoustic silencers
Condensation carry over at coils or dessicant coolers
At fibrous insulation or internal linings to ductwork*
Other areas wetted that are designed to be dry
Drain lines not clear to flow
Drain lines with insufficient fall
Drain seals ineffective
Failed vapour barriers
Evidence of mould in air distribution systems
Noticeable odours
Dirt collections within air handling plant
Evidence of corrosion activity in plant
System defects Inadequate access for maintenance*
Debris at outdoor air intakes*
Exhaust air grilles obstructed (eg grease)*
Return air grilles obstructed (eg lint, paper dust)
Supply air registers dirty or having visible evidence of mould on
surrounds
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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

TABLE 2.1 (continued)

Risk category Risk factor Evaluation


Air filtration Grade, arrestance efficiency and dust holding capacity of filters suited to
capability application (define as F4, F5 or other filter rating)
Evidence of dirt or dust collections downstream of filters (visual
examination)
Filters structurally sound and not clogged nor ruptured
Differential pressure across filters to design intent*
Evidence of moisture collections at filters*
Likely filter life remaining before replacement needed
Air quantities Supply, return, outdoor air quantities to design values
Dampers open/close to design intent, or are available for activation (fire
dampers)
Means exist for air exhaust relief from building
Use of special operational techniques, including pre-occupancy morning
purge stage or economy cycle
No unacceptable air leakage into or out of air-handling plant (e.g. at
flexible connections)
No evidence of air bypass in air handling plant
Seals on plant doors test holes and handholes in order
Latches and bolts secure
* Risk factor identified as a key performance indicator.
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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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(i) Almost certain.


(ii) Likely.
(iii) Possible.
(iv) Unlikely.
(v) Rare.
(d) Inherent risk level This is a qualitative assessment of the risk being low, medium,
high or extreme as a result of determinations of consequence and likelihood.
(e) Control mechanism There may be a fortuitous or planned means of controlling or
reducing the risk.
(f) Residual risk This is the final outcome for each risk category.

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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D Unlikely Could occur at some time


E Rare May occur only in exception circumstances
NOTE: According to the assigned level of consequence and likelihood a risk level can be determined for each
risk factor from Table A3.

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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15 AS/NZS 3666.4:2011

TABLE A4
SAMPLE RISK SCHEDULE

Event happening Residual risk


Observation Inherent Control
Risk category of microbial
(per evaluation) Consequence Likelihood risk mechanism
growth
Environment
Site and system
characteristics
Moisture

System defects
Air filtrations
capability
Air quantities

Overall risk
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AS/NZS 3666.4:2011
16

NOTES
Standards Australia
Standards Australia is an independent company, limited by guarantee, which prepares and publishes
most of the voluntary technical and commercial standards used in Australia. These standards are
developed through an open process of consultation and consensus, in which all interested parties are
invited to participate. Through a Memorandum of Understanding with the Commonwealth
government, Standards Australia is recognized as Australia’s peak national standards body.

Standards New Zealand


The first national Standards organization was created in New Zealand in 1932. The Standards
Council of New Zealand is the national authority responsible for the production of Standards.
Standards New Zealand is the trading arm of the Standards Council established under the Standards
Act 1988.

Australian/New Zealand Standards


Under a Memorandum of Understanding between Standards Australia and Standards New Zealand,
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Australian/New Zealand Standards are prepared by committees of experts from industry,


governments, consumers and other sectors. The requirements or recommendations contained
in published Standards are a consensus of the views of representative interests and also take
account of comments received from other sources. They reflect the latest scientific and industry
experience. Australian/New Zealand Standards are kept under continuous review after publication
and are updated regularly to take account of changing technology.

International Involvement
Standards Australia and Standards New Zealand are responsible for ensuring that the Australian
and New Zealand viewpoints are considered in the formulation of international Standards and that
the latest international experience is incorporated in national and Joint Standards. This role is vital
in assisting local industry to compete in international markets. Both organizations are the national
members of ISO (the International Organization for Standardization) and IEC (the International
Electrotechnical Commission).

Visit our web sites

www.standards.org.au www.standards.co.nz
www.standards.com.au
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GPO Box 476 Sydney NSW 2001 Level 10 Radio New Zealand House
Phone (02) 9237 6000 155 The Terrace Wellington 6011
Fax (02) 9237 6010 (Private Bag 2439 Wellington 6140)
Email mail@standards.org.au Phone (04) 498 5990
Internet www.standards.org.au Fax (04) 498 5994
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Phone 13 12 42 Information Service (04) 498 5992
Fax 1300 65 49 49 Email snz@standards.co.nz
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