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Currently in Victoria most owners and/or managers of cooling towers are now in the process conducting the first audit of their cooling tower Risk Management Plans.

Cetec has two Department of Human Services (Victoria) approved auditors for cooling tower risk management plans. As an independent auditor we cannot directly advise our audit clients on how to better prepare for the audit process.  However, we can provide general information in this article that will assist in your preparation for the audit. Remember: more preparation work done prior to the audit will lead to the greatest probability of obtaining a positive outcome.

Audit preparation has the following steps.

1. Read the Risk Management Plan (RMP)

   
   Many people have not read the RMP and are therefore unaware of ALL of the recommendations that are listed in the plan. If you are not aware of a recommendation then how can it be implemented prior to the audit.
    

2. List the recommendations

   Summarise the recommendations and list them on a spreadsheet. By listing all of the recommendations on a couple of pages it is easier to determine what needs to be done.
    

3. Provide completion dates

When completion dates are not provided in a RMP the auditor must assume that the recommendation is to be completed within twelve months from the date of the RMP.

4. Record the responsible person and who is to carry out the works

   Recording of the responsible person assists in the process of ensuring that the recommendation is implemented and enables easy follow up on what is being done to implement the recommendation. The person or company who are to carry out the works should also be listed so that if any documents are missing during the audit they can be more readily found to complete the paperwork trail.
    

5. Ensure that all completed recommendations have documented evidence

Summarise regularly the stage that each recommendation is at, this will include phone calls, requests for tender, recording purchase orders and recording of the invoice number when the job is completed.  Keeping track of each stage of the improvement program will assist in highlighting actions still outstanding.

The audit process has been developed as a paper audit and therefore the auditor cannot look at the tower to see that the improvement has been made. Therefore, once the recommendation has been actioned or completed ensure that documentation is kept that proves this. Preferably documentation will consist of purchase orders, invoices and service records. Keep a copy of all the relevant documents with the cooling tower RMP.

An example of a spreadsheet, as explained earlier, is provided below.

Please contact us here if we can assist you with your audit or if you want more information about the other services CETEC supplies relating to improving your cooling tower operations.