BSRIA BG24 Asset Management and Maintenance Audits

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BG 24-12 cover1_Guide Cover 19/04/2012 12:21 Page 1
A BSRIA Guide www.bsria.co.uk
Asset Management and

Maintenance Audits
By Ralph Bell and Jo Harris
BG 24/2012
ACKNOWLEDGEMENTS
This publication replaces two earlier BSRIA publications:

 AG 24/97 Operation and Maintenance Audits by Rohan Nanayakkara
and Mike Smith
 AG 13/2000 Toolkit for Building Operation Audits by Cary Donaldson
and John Armstrong
This update was developed with input from industry representatives.

BSRIA wishes to thank the following members of the CIBSE
Maintenance Task Group for their contributions.
John Armstrong Armville Consulting

Andrew Saville Armville Consulting
Stephen Gathergood G4S Integrated Services
Andy Green Faithful and Gould
Geoff Prudence UCL
Neil Ambler Watson and Sole
Paul Kee Hurley Palmer Flatt
Rob Farman Abacus FM Engineering Consultancy
Kate McCommick SPIE Matthew Hall
David Robinson Babcock
Steve Hunter Mitie TFM
Javier Carnero Mitie TFM
Special acknowledgement is given to Ashley Hemmings of Interserve

FM for his work compiling the toolkit and willingness to share with the
industry.
Acknowledgements from AG 13/2000 are reproduced in appendix A.
This publication was designed and produced by Joanna Smith.
Every opportunity was taken to incorporate the views of the

contributors, but final editorial control rested with BSRIA.
A limited number of advertising slots were offered to BSRIA member

Companies and to those who sat on the steering group for this
publication.
The advertisements in this publication do not necessarily reflect the views

of BSRIA. BSRIA does not endorse the products and services of
Advertisers and the technical content has not been influenced by the
Advertisers.
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system,
or transmitted in any form or by any means electronic or mechanical including photocopying,
recording or otherwise without prior written permission of the publisher.
©BSRIA 55943 July 2012 ISBN 978 0 86022 710 6
ASSET MANAGEMENT AND MAINTENANCE AUDITS i
© BSRIA BG 24/2012
PREFACE
The issue of effective audits was raised by John Armstrong the author of
AG 13/2000 Toolkit for Building Operation Audits in a recent CIBSE
maintenance task group meeting. We are very pleased to be able to
update this guide and make the toolkit available to the industry.
I’ll take this opportunity to apologise to Ashley Hemmings of Interserve

FM, as he approached me over two years ago with his conversion of the
original checksheet into a useful toolkit. We have been using the toolkit
in earnest for two years, as has Ashley. It has been developed over the last
5 years on PFI projects within Interserve and trialled in the banking, arts
and printing sectors.
Between us we have now produced this guidance and toolkit that is easy
to use, streamlines the audit process and allows you to track progress and
capture the results effortlessly.
The audit results can be used to benchmark performance and it is the

intention of BSRIA to facilitate this benchmarking in the future to help
quantify and improve the performance of building operation and
maintenance.
Jo Harris
July 2012
ii ASSET MANAGEMENT AND MAINTENANCE AUDITS
© BSRIA BG 24/2012
CONTENTS
Part 1 – Audit Guidance

1 INTRODUCTION 1
1.1 What is an audit? 1
1.2 Purpose of audits 2
1.3 Business success criteria 3
2 AUDITS 4
2.1 Level of audits 4

2.2 Types of audits 5
2.3 The audit plan 6
2.4 The audit process 7
2.5 The role of the auditor 7
3 MANAGEMENT APPROACH TO AUDITING 10
3.1 Justifying the audit process 10
3.2 Terms of reference 10
3.3 Overlap of audit activities 10
4 THE AUDIT FUNCTION 12
4.1 Planned arrangements 12
4.2 Performance indicators 12
4.3 Gathering information 13
4.4 Information collection 15
4.5 Information analysis 15
5 THE AUDITOR 16
5.1 General 16
5.2 Auditor training and experience 16
5.3 Selection of an auditor 17
6 REPORTING 18
6.1 Format and contents 18
6.2 Introductory section or preamble 18
6.3 Summary of non-conformities and recommendations 18
6.4 The audit summary 19
6.5 Completed toolkit 19
ASSET MANAGEMENT AND MAINTENANCE AUDITS iii
© BSRIA BG 24/2012
CONTENTS
Part 2 – Audit Toolkit

7 HOW TO USE THE TOOLKIT 24
8 TOOLKIT GUIDE 26
8.1 Maintenance organisation and resourcing 26
8.2 Planning and management of the maintenance activity 28
8.3 Environmental and energy management 33

8.4 Health and safety 34
8.5 Financial planning, management and control 38
8.6 Communication 40
8.7 Records and documentation 40
8.8 Additional work 41
8.9 Client satisfaction 44
8.10 General quality of work 45
8.11 Site survey 46
APPENDIX A: AG 13/2000 ACKNOWLEDGEMENTS 48

APPENDIX B: TRAINING AND COMPETENCE LEVELS 49
APPENDIX C: DOCUMENTS AND RECORDS 50
FIGURES
Figure 1 : Continuous Improvement 2
Figure 2 : Two levels of Audit 4
TABLES
Table 1 : Optional audit front sheet 20
Table 2 : Property Information 21
Table 3 : Housekeeping checklist 46
Table 4 : Plant condition checklist 46
REFERENCES 51
iv ASSET MANAGEMENT AND MAINTENANCE AUDITS
© BSRIA BG 24/2012
INTRODUCTION 1
Part 1 – Audit Guidance

1 INTRODUCTION
Effective management of the operation and maintenance of any asset
requires feedback. A well thought out and enacted audit will provide that
feedback and allow an organisation to check their management systems,
identify any deviations from those systems and make any necessary
corrections. An audit does not have room for apportioning blame for
problems.
The audit process and its outcome is broken down to the following key
stages:
 process review
 correcting problems
 preventing problems
 dynamic improvements.
The audit process provided in this guide will support the implementation
[1].
of good practice asset management as outlined in PAS 55-1 To assist
this we have annotated the elements in section 8 of this guide,
[2]
highlighting the relevant section in relation to clause 4 of PAS 55-2 .
1.1 WHAT IS AN An operation and maintenance audit is a systematic examination,

AUDIT? undertaken by those who have a knowledge and understanding of the
operation and maintenance of buildings, to assess the effectiveness of the
asset management.
The main purposes of the audit are to highlight deviations from plans or
expectations, to evaluate the need for improvement and to take
corrective action.
Operation and maintenance combines the availability of the building

services plant and equipment with the implications of this in terms of
environmental comfort, client satisfaction, business risk, disruption to the
organisation, health and safety and financial management.
Audits are part of a process of continuous improvement, as illustrated in

Figure 1. They provide a structured means of collecting information and
data to allow an assessment of current performance to be made, together
with identification of where improvements can be initiated.
ASSET MANAGEMENT AND MAINTENANCE AUDITS 1

© BSRIA BG 24/2012
1 INTRODUCTION
Current performance is judged against criteria such as:

 acceptable downtime
 financial and budgetary criteria
 reliability and availability requirements of the engineering plant and
services
 service level achieved
 key performance indicators (KPIs)
 occupant expectations.
Figure 1 : Continuous Improvement
Audit
purpose
What do
Re-assess
we know?
Implement Continuous Weighting

proposed
actions Improvement targets
Opportunities Is this
for improvement happening?
Notes and
actions
1.2 PURPOSE OF Operation and maintenance audits are carried out for a number of
AUDITS reasons including:
 assessment of current position

 comparison against best practice
 examination of efficiency
 to demonstrate that work has been carried out as specified and that
the anticipated performance has been achieved.
2 ASSET MANAGEMENT AND MAINTENANCE AUDITS
© BSRIA BG 24/2012
INTRODUCTION 1
1.3 BUSINESS The costs to undertake an audit can be prohibitive if the organisation’s
SUCCESS CRITERIA core priorities are not taken into consideration. The audit will need to
reflect the organisation’s priorities otherwise it will not give the value
intended.
This guide identifies areas that reflect how well a building is being
operated and maintained and how well it is supporting the organisation.
These areas are known as business success criteria. Each business success
criterion plays a part in the successful operation and maintenance of a

building and represents industry good practice. These include:
1. maintenance organisation and resourcing

2. planning and management of the operation and maintenance activity
3. environmental and energy management
4. health and safety
5. financial planning, management and control
6. communications
7. records and documentation
8. additional work
9. client satisfaction
10. quality of work
Different organisations place different orders of importance on these

issues. Therefore the above list is not in the order of any priority.
Throughout this guide the term “client” is used to denote the person,
persons or organisation to whom operation and maintenance
management services are provided. The client could be internal or
external.
A toolkit in Microsoft Excel format is available to download from the

BSRIA website: www.bsria.co.uk/goto/amma.

© BSRIA BG 24/2012
2 AUDITS
2 AUDITS
2.1 LEVEL OF AUDITS An audit can be conducted at two levels - strategic or operational as
illustrated in Figure 2.
Figure 2 : Two levels of Audit
STRATEGIC AUDITS
Business Deliverables Maintenance

Objectives Benchmarks Systems
OUTPUTS INPUTS
Planned
Arrangements
Productivity Resources
Operation
Customer and Knowledge
Satisfaction Quality Maintenance
Process Supervision
Time
planning and
Control
OPERATIONAL AUDITS
Strategic audits
Strategic requirements for operation and maintenance match
organisational objectives and are determined at management level. The
strategic audit examines the status and effectiveness of the organisation’s
operation and maintenance system. It determines whether the overall
maintenance strategy, maintenance priorities and resourcing are suitable
to achieve the objectives of the organisation. The strategic audit also
enables management to continually review and re-focus maintenance
strategies and action plans to meet those objectives.
Strategic audits are concerned with the overall system performance to

achieve the organisation’s needs.
For example; the organisation may require some building services plant
to operate at a higher level of operational availability. Changing the
requirements and setting different targets are strategic decisions. The
method of achieving these targets and the deployment of resources,
within the budget, are operational level decisions.
At an operational level, these requirements are translated into tasks for

carrying out operation and maintenance activities (procedures, rules,
systems).
© BSRIA BG 24/2012
AUDITS 2
Operational audits
Watchpoint Operational audits test compliance with the on-going day-to-day
Some organisations use activities based on the operation and maintenance requirements and
operational audits to
ensure that the right
whether these arrangements yield the anticipated results. This requires a
activities are being clear statement of the maintenance activities and a method of measuring
undertaken in compliance the outputs.
with the three Es:
Outputs are sometimes expressed as benchmarks, Key Performance
Effectiveness:
Indicators (KPIs) or Service Level Agreements (SLAs). They may be
The right resources

quantifiable, or may be levels of achievement based on subjective
Efficiency:
The right time
judgement to measure performance.
Economy:
The right cost
This guide deals with operational audits although the knowledge gained
from these can be used to review the strategic arrangements.
2.2 TYPES OF AUDITS First party audits - internal management

First party audits are necessary for management to monitor, control,
review and correct the processes of its own organisation. The output
from audits becomes a part of the organisation’s management
information systems.
Audits take place at a number of levels in an organisation. They range

Watchpoint
from self-audits with personnel auditing their own processes, to senior
It is important to plan
and evaluate the outcome
management auditing the organisation as a whole. In between there may
required from any audit be different levels of the organisation carrying out audits in their own
programme. Increased domain. Information derived from audits on the smaller functions or
audit frequency is not an systems provides an input to those audits carried out on larger systems or
alternative to poor functions.
operational process and
procedure. It is a method
of evaluating their There is no hard and fast rule on how often the various operation and
performance and maintenance activities should be audited. There is also no clear division
suitability within a between routine management assessments and audits. Some audits
particular organisation. become a part of the routine management process where responsible staff
can easily monitor, review and correct the work function. On the other
hand, where there are long management chains, formal audits are
employed by the senior management on a periodic basis to examine the
functions of their subordinate departments or external service providers.
The frequency of auditing a particular function depends directly on the

risk the organisation will face by leaving it untested. For example, an
organisation may decide to carry out audits on a maintenance
contractor’s performance at six monthly intervals in a three year contract.
Alternatively with an in-house maintenance organisation, it may take the
view that it has better control and that the risk of something going
wrong is remote, and plan audits at two yearly intervals.
Second party audits

An organisation may decide to carry out an audit, on its own behalf, on
another organisation. It occurs when the integrity, competence, work
process or financial standing of a supplier or sub-contractor needs to be
ascertained, or the organisation may decide to check on a customer
before entering into partnership or providing credit.

© BSRIA BG 24/2012
2 AUDITS
Organisations are likely to carry out a second party asset management and
maintenance audit on a number of occasions during the building’s life
cycle:
 when a new appointee is added to a list of approved suppliers
 when it is necessary to ensure that an existing supplier conforms to
stated requirements
 When an asset portfolio is handed back to a client, to assist in the
assessment of dilapidation.
The organisation’s purchasing (or procurement) policy should state any

requirements for second party audits before a supplier is selected.
[3]
Quality management systems based on BS EN ISO 9000 require a basis
for assessing suppliers to ensure their ability to meet requirements
including quality requirements. The second party audit is a management
tool that can be used for this purpose.
Before embarking on a second party audit on a supplier, it is worth

examining whether the required information can be obtained from
another source. For example, the supplier may be certificated under a
system of third party audits covering the aspects under consideration.
Third party audits

The basis of a third party audit is when an organisation has its work
procedures and processes audited by an independent third party to
demonstrate compliance.
2.3 THE AUDIT PLAN It is often difficult to carry out formal audits on all activities of the
operation and maintenance organisation as some aspects may have to be
audited more rigorously than others. This may add to the overall cost of
the audit if not planned early in the audit process.
The decision whether to carry out an audit, and if so when, depends on a

Watchpoint number of other criteria as discussed below:
If the Audit is being
undertaken in response  importance for future business with a customer
to a service or other
organisational  history of problems
performance matter, then  on-going nature of work - there is little benefit in auditing a
only such functions that
are relevant need be
department or a function that may be discontinued or auditing a
assessed. This will ensure supplier who is not used
effective deployment of  phase of a contract or a project - audits are likely to be more useful
resources and allow cost
in the early stages of a contract or a project to correct the process
and time to be managed.
Remember the three Es: rather than when it is too late
 the value of the process - to ensure cost effectiveness or where the
Effectiveness
cost of failure could be high.
Efficiency
Economy
Before developing an audit plan it is essential to understand how each
item of plant or system supports and affects the core organisation’s
function, and the risk of inefficient or ineffective operation and
maintenance. This will enable the auditor to categorise these activities in
order of priority for the organisation and decide on how much (and
what) effort is to be spent in auditing each area of operation and
maintenance.
© BSRIA BG 24/2012
AUDITS 2
For example, public organisations place a high emphasis on auditing
value issues whereas a contracting organisation will place more
importance on customer satisfaction. It also follows that some plant and
processes are more critical to the business success than others and should
be given a higher priority in the audit plan.
The audit plan includes the following:

 functions and activities to be audited
 the type of audit
 who will carry out the audit

 when to carry out the audit and it’s duration
 how to carry out the audit, for example using questionnaires,
personnel interviews and site visits
 cost and persons affected
 other arrangements, for example security and access
 output and method of reporting, for example, computer based or
photographs
 infrastructure for implementing audit recommendations.
2.4 THE AUDIT The audit process begins with a definition of the need and an agreement
PROCESS of business success criteria that should be included.
Arrangements need to be made to review the key operation and

maintenance activities and identify data related to their maintenance
teams’ accomplishments. The audit starts with interviews with key
Watchpoint members of staff before the data is evaluated, analysed and reported on.
The Audit process is an
objective assessment of It is important to note over-performance as well as under-performance.
performance. Whilst
difficult, subjective opinion The audit report should contain plans for preventative and corrective
should be avoided in the
assessment of outcomes.
action that may be required and who will take on responsibility for
monitoring the implementation of the corrective actions.
2.5 THE ROLE OF THE The role of the auditor can vary from assessments of their own work to
AUDITOR auditing other people, functions and organisations. There is no absolute
requirement for auditors to have formal qualifications or experience.
However, consideration should be given to the purpose of the audit, the
function being audited, and the level at which the audit is being carried
out when making decisions about the knowledge, skill and experience
required.
The auditor needs to develop an understanding of the planned tasks for

asset management and maintenance, the results expected by carrying out
these tasks and the extent to which they yield the anticipated outcome.
This should cover both inputs and outputs, for example;
Inputs Outputs
 contract procedures  training  operational standards to be achieved

 planned maintenance procedures  stores management  benchmarks and quality targets.
 finance  health and safety

© BSRIA BG 24/2012
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3 MANAGEMENT APPROACH TO AUDITING
3 MANAGEMENT APPROACH TO AUDITING

3.1 JUSTIFYING THE Audits can be costly in terms of both finances and time. The quality and
AUDIT PROCESS depth of the information contained within the final report is invaluable
and this is influenced by the amount of effort put in.
The time needed by all on-site staff to support an audit should neither be
underestimated nor considered as non-productive time. Taking an active
part in the audit should be seen by management as an important part of
the technician’s and administrator’s role that should engender a greater

sense of ownership and attitude towards their position and role in the
organisation.
Audits can be periodic, driven by events or both. For example,

management may initiate an audit when customer complaints exceed a
certain limit. Audits that are programmed on a calendar basis can give
total coverage of plant and systems over a period of time. This can also
be achieved on a sampling basis where a representative sample of the
business success criteria is audited at regular intervals. The information
from these audits may reveal undesirable events that indicate the need for
more frequent or comprehensive audits.
3.2 TERMS OF The organisation’s management should define the objectives, procedures
REFERENCE and standards by which the work of the operation and maintenance
function is to be carried out. In addition there need to be benchmarks
and performance targets to measure the output. These become the terms
of reference for the audit.
Some organisations may not have their own procedures or standards for
carrying out the operation and maintenance function. In this case the
audit process should provide an external window to compare
performance against industry-accepted standards and targets drawn from
contemporary samples taken from peer groups. Guidance is provided in
part 2 of this guide.
3.3 OVERLAP OF A task for those commissioning the audit is to avoid repetition and co-
AUDIT ACTIVITIES ordinate audit activities that can overlap.
A building operation and maintenance audit can overlap with the

following other types of audit:
 quality assurance audits
 health and safety audits
 energy audits
 accounting audits.
These audits have areas of commonality. For example, accounting audits

may carry out inspections on ‘value for money’ issues and there may be
no need to repeat them under the operation and maintenance audits.
Similarly, when there is a quality assurance system in place for operation
and maintenance, the respective quality audits are expected to trial
© BSRIA BG 24/2012
MANAGEMENT APPROACH TO AUDITING 3
compliance with procedures relevant to Quality Assurance, for example

[3]
BS EN ISO 9000
It is important to structure and co-ordinate the audit processes so that
any particular requirement is only audited once during a given period
and the results of the audit are communicated to other interested parties.
This can be achieved by the use of an integrated system of audits with a

multi-function audit team responsible for auditing cross-related
management systems. Each member of the team should specialise in

auditing a particular function, but with close co-ordination on functions
that may have an impact on other members of the team. However, this
approach may not be practical for a small organisation where
management systems are less complex and can be effectively audited at
the same time as the asset management and maintenance audit.

© BSRIA BG 24/2012
4 THE AUDIT FUNCTION

4.1 PLANNED An essential requirement for any organisation is to establish a well-
ARRANGEMENTS defined management system for the functions it needs to manage.
Procedures, instructions and standards are the working tools of the

management system. They exist to convey the organisational policy and
practices to the workforce, and are the input to the operation and
maintenance process. Examples of these tasks are given below:
 method of financing
 procurement criteria
 maintenance organisation and resourcing
 technical standards and competence
 planned maintenance policy.
There are two aspects of an audit:

 The adequacy element that ensures the appropriate procedures are in
place
 The element that examines the organisation’s compliance with those
appropriate procedures.
Details of all planned tasks and targets for their accomplishment may not
necessarily be written down. An early task of the auditor is to establish
these through discussion with management personnel.
4.2 PERFORMANCE Published performance indicators provide industry standards and targets
INDICATORS for comparison that can be used to demonstrate how an audited site
performs in relation to a peer group or good practice.
Watchpoint
Through the use of the Cost based measures can be obtained relatively easily and provide a useful
toolkit provided in Part 2 reference tool. Performance indicators can include unit costs (for
of this guide it is possible example costs per square metre - £/m²) for each of the following:
to benchmark the results
against the present  planned maintenance
industry best practice. If
you submit your results  reactive maintenance
to BSRIA, over time we  maintenance labour
will build up a database of
results that will  spares and materials.
benchmark similar
properties or sectors to
In addition, other indicators include:
enable peer group
comparisons.  comparison of actual expenditure against budget
 condition of the assets
 building occupant satisfaction
 health and safety incident statistics
 number of breakdowns on critical plant
 comparison of planned and breakdown costs.
© BSRIA BG 24/2012
THE AUDIT FUNCTION 4
The key performance indicators can be presented as a performance

profile which identifies their relative importance and relates these to the
success criteria of the organisation.
Targets are sometimes deceptive and counterproductive so should be

reviewed regularly. For example, lower operation and maintenance costs
may be achieved by reducing the planned maintenance programme, but
this may lead to depreciation of the asset and greater risk to the
organisation from failure.
4.3 GATHERING It is important for the auditor to develop a clear picture of the on-site
INFORMATION operation and maintenance regime and to compare it with planned tasks
and expectations. The success of the audit depends on the quality of the
information collected and the ability of this information to withstand
comparison with performance standards.
The audit relies on both qualitative and quantitative information and

deals with opinions as well as numerical data.
Information is collected from both process inputs and outputs. For

example, technical knowledge and experience of operatives is an
important input to the operation and maintenance process. Any
requirements on knowledge and experience should be defined as a part
of the planned arrangements for the maintenance regime.
Training records of the operatives will provide data to check whether

these requirements are achieved.
The quality of workmanship is equally important to a satisfactory

maintenance regime. This is classed as an output of the process, and
needs to be evaluated by a physical examination of work undertaken.
Auditors must be aware that assessment of quality may be subjective. A

method of measurement should be defined as part of the planning
arrangements.
The operation and maintenance audit may draw information from many
sources. These include:
 management system documentation, for example procedures,
instructions, rules and policies
 contract documentation, for example drawings, specifications,
work instructions, tenders and contracts
 finance and accounts documents, for example budgets, allocation
of funds, expenditure records, invoice payments and timesheets
 personnel and training records, for example competency,
assessments, appraisals, training requirements and training history
 operation and maintenance records, for example plant log
books, computer based maintenance records, complaint logs, BMS
logs and condition monitoring records
 other maintenance records, for example asset registers, asset
management systems, health and safety file and feedback records

© BSRIA BG 24/2012
 personnel, for example operatives, supervisors and managers

 observation of physical conditions, for example plant condition,
cleanliness and workmanship
 tests and measurements
 observation of behaviour, for example attitudes, method of work
and display of confidence
 the client, for example satisfaction and service levels
 industry and peer groups, for example published data,
benchmarks and practice norms.
The audit is intended to follow a defined and consistent procedure

which, among other objectives, will ensure that information and data is
collected in a consistent format using a scoring system that can be
replicated.
It is important that staff providing information are warned well in

advance and that sufficient time is made available. The toolkit in Part 2
provides a preparation list which has the questions that will be asked.
This can be provided to those being audited.
The following is a list of stages to be undertaken during the collection of

information:
1. Identify details of the organisation’s property to be audited and
maintenance contractor (if applicable).
2. Discuss with the organisation and confirm the terms of reference for
the audit.
3. Discuss with the organisation commissioning the audit which
business success criteria are to be included in the audit.
4. Identify personnel who will be expected to provide information
during the audit.
5. Identify the property function and supporting information.
6. Carry out a site survey to obtain a realistic opinion of maintenance
performance.
7. Use the toolkit to record the responses to the key areas of the audit.
8. Obtain supporting information to validate responses recorded in the
toolkit.
This list is not definitive. Where priorities are agreed other stages may be
added and some removed.
© BSRIA BG 24/2012
THE AUDIT FUNCTION 4
4.4 INFORMATION Information can be gathered in a number of ways. These include:

COLLECTION
 desk based data collection - mainly from records
 interviews - with maintenance managers, operatives, technicians and
supervisors
 interviews - with persons affected by the operation and maintenance
function, for example; the organisation, finance managers and
building users
 diagnostic questionnaires
 site inspections
4.5 INFORMATION The purpose of the analysis phase of an audit is to:

ANALYSIS
 relate observations from the information gathering exercise to
planned tasks, for example procedures, standards and performance
indicators
 draw conclusions as to whether the process complies with the
planned tasks
 establish whether the required performance is achieved
 establish whether the planned arrangements are suitable to achieve
the objectives stated.
The objectives of the analysis are to identify:

 non-compliance
 under-performance
 over-performance
 where the process does not match business objectives
 the potential for a process not matching business requirements, for
example; response to impending changes
 preventative or corrective action required
 identification of risk.
The analysis should look for problems underlying the failure to meet the
organisation’s procedures. Particular attention should be given to those
that may cause a domino effect. A number of smaller problems may give
rise to a much larger problem in another area. Such problems may
require further audits or opening up another audit trail.

© BSRIA BG 24/2012
5 THE AUDITOR
5 THE AUDITOR
5.1 GENERAL The auditor’s job is to provide independent assurance that an
organisation’s operation and maintenance management and control are
operating effectively and assessing whether the expected results have
been achieved or not.
To do this, the auditor needs to have an understanding of building

services operation and maintenance processes and what is required to
ensure cost-effective and efficient operation. The auditor should also
have the experience to understand an operation and maintenance system

regardless of its complexity and structure.
Irrespective of whether the organisation has its own procedures or not, a

good auditor can provide an input to the organisation’s management
processes, by bringing industry-wide experience to the company.
[4]
5.2 AUDITOR BS EN ISO 19011-2 is the international standard for the qualification
TRAINING AND of quality auditors. There are also schemes for the registration of
EXPERIENCE
auditors, for example, the International Register of Certificated Auditors
(IRCA) and European Organisation for Quality (EOQ) which has a scheme
across Europe to strengthen training and qualification of auditors.
Asset management and maintenance audits work in a similar way to

quality audits with regard to investigating the adequacy of procedures
and compliance with them. The auditing skills required in both cases are
similar in principle. Therefore, the qualification and experience sought
by an auditor registration body is a good starting point for an asset
management and maintenance auditor.
Asset management and maintenance audits need to examine the outputs

from the operation and maintenance tasks, and analyse of the results
obtained to satisfy the organisations objectives. Analysis that indicates
over-performance as well as under-performance will need corrective
action to be instigated.
Analysis of performance of a process, its output and any subsequent

corrective action implies an element of quality control. It requires
investigation into the standard and quality of workmanship and into
establishing whether or not the desired output has been achieved, by
physical inspections, tests and measurements. This can be done either by
random sampling or by the targeting of, for example, high priority areas.
© BSRIA BG 24/2012
THE AUDITOR 5
The auditor needs qualifications and experience that reflect the

complexity of the organisation and the installations to be audited.
These could include:

 auditor registration
 technical engineer level qualification or higher
 at least four years’ experience in the building services operation and
maintenance process
 experience in a similar sector (in terms of size, complexity and type
of business)
 management experience.
5.3 SELECTION OF AN As there are no schemes to formally recognise auditors who perform
AUDITOR asset management and maintenance audits, those who are
commissioning such work need to evaluate the competency, knowledge
and experience of persons carrying out this work. Sections 5.1 and 5.2
provide a basis for such assessment.
Recommendation by peer groups and second or third party audits

carried out on auditors themselves may be helpful in the selection of an
auditor. The client may also consider professional indemnity insurance
as a requirement for an auditor.

© BSRIA BG 24/2012
6 REPORTING
6 REPORTING
6.1 FORMAT AND There is no specific format for reporting the results of an audit.
CONTENTS
The basic requirements are:
 a comprehensive introductory section or preamble
 a summary of non-conformities and recommendations
 an audit summary, including photographic evidence
 a completed toolkit.
6.2 INTRODUCTORY The introductory section or preamble should include:

SECTION OR
PREAMBLE
 the identity of the document, for example heading or title, reference,
auditor and report date
 how the report is structured
 definitions, abbreviations, notations and symbols used in the report
 audit dates
 an index to sections including an index of non-conformity and
recommendation
 the scope and purpose of the audit
 buildings, installations and key management topics covered
 terms of reference used in the audit process, for example company
procedures
 sources of information and method of data collection
 persons interviewed
 the system of priorities used in categorising non-conformities and
recommendations
 management framework for taking action
 reference documents referred to in the audit, for example company
manuals and British Standards.
6.3 SUMMARY OF NON- Non-conformities and recommendations should be arranged in priority

CONFORMITIES AND order. This summary focuses attention on deficiencies that need
RECOMMENDATIONS
improving and their relative importance. It should provide this key
information without having to review the completed toolkit. It also
provides an aide memoire for periodic checking that action has been
taken. It should also include:
 an explanation of why there is a non-conformity or a need for
improvement
 a recommendation of what should be done to correct the situation,
how critical the problem can be, for example; probability of causing
a serious accident, and the time scale.
Note that the auditor may not be an expert in the particular area of non-
conformity and the recommendation may be to obtain specialist advice.
© BSRIA BG 24/2012
REPORTING 6
6.4 THE AUDIT The audit summary should make recommendations for improvement that
SUMMARY are separate from the non-conformity, for example introduction of
condition monitoring, improvement of communications with the
organisation, capital expenditure planning and management of additional
works and contractors.
Photographs can be used as evidence on significant findings and support

conclusions. These can also be elaborated on for the auditor to give
advice such as where to seek guidance.
The audit summary report should cover at least the following areas:
 information and observations highlighting the salient information
received and other observations made during the audit process, the
sources of the information and their limitations (for example sample
size)
 details of any tests, measurements and, where necessary conditions
under which they were carried out. Information may be organised
on the basis of functions, departments or jobs audited or in any
format the client requires.
 attribution of non-conformities or recommendations to a particular
requirement of the contract, statutory requirement, procedure,
standard or performance target. Although non-conformity is
normally attributed to the organisation’s procedures and
requirements, where possible the auditor should use external
benchmarks for comparison.
6.5 COMPLETED The toolkit described in Part 2 of this guide should be completed and
TOOLKIT made available as a record of the audit. It can be converted to a locked
pdf or similar format to prevent unauthorised changes. This will provide
the detail for each section of the report to refer back to if needed.
Importantly management action can be tracked against the completed
toolkit.
The following two templates (Table 1 &Table 2) are provided to ensure

appropriate details are captured before the audit is started.

© BSRIA BG 24/2012
6 REPORTING
Table 1 : Optional audit front sheet
ASSET MANAGEMENT
Client details: (i.e. who requested the audit)

Contact
Company:
name:
Address: Postcode:
Tel: Fax: E-mail:

Property being audited:
Address: Contact name:
Postcode:
Tel: Fax: E-mail:

Property operator: (if not shown above)
for example; Facilities Manager, Managing Agent

Address: Contact
name:
Postcode:
Tel: Fax: E-mail:

Maintenance contractor:
Contact
Company:
name:
Address: Postcode:
Tel: Fax: E-mail:

COPIES OF AUDIT TO BE ISSUED TO:
CLIENT
PROPERTY OPERATOR
MAINTENANCE CONTRACTOR
OTHER

© BSRIA BG 24/2012
REPORTING 6
Table 2 : Property Information

PROPERTY INFORMATION

What is the function of the property being audited?
Manufacturing /
Offices Health
Process industry
Shops / Retail Education Wholesale

Leisure Transport Storage
Media /
Financial Hotel
Communications
Residential Airport Other
If ‘Other’, give details:

Is the property part of

Government estate Public company
Local authority estate Private company
Health service estate
What is the floor area of the property? square metres
Is the property maintained by:
Direct labour Contract
Is the maintenance managed by:

Contract Resource
If maintenance is by contract, what type of contract?
Labour only Comprehensive
Inspect and maintain Call out only
Planned maintenance
Measured
only
Inclusive of specialist
Other
services
If ‘Other’, give details:


© BSRIA BG 24/2012
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7 HOW TO USE THE TOOLKIT
Part 2 - Audit Toolkit

7 HOW TO USE THE TOOLKIT
The toolkit can be used to plan the audit, capture and report the audit
results. These, over a period of time, will give the opportunity to
compare and assess similar sites or progress of one site over time. The
toolkit is not designed to be printed in full. An electronic copy of the
completed toolkit can be sent by the auditor to the client, who will be
able to use the electronic information as appropriate.
The toolkit, in Microsoft Excel format, is attached to this pdf and is

available to download from the BSRIA website:
www.bsria.co.uk/goto/amma. It is updated from time to time, so users
may download the latest version each time they start a new audit.
The toolkit is made up of eight worksheets in a single file, which assists

with preparation, recording the audit score and capturing the results.
Users should spend some time familiarising themselves with the toolkit
before using it in earnest. The first worksheet, "guide", provides
instructions on how to use the toolkit. The contents of the worksheets
are summarised below:
Guide
This provides instructions to users of the toolkit
Schedule
This worksheet is used to record information such as the building address
and contact details of the auditor.
Preparation
This allows the auditor to plan the audit by assigning questions to specific
people within the organisation. This will give everyone the opportunity
to be suitably mindful of what is expected of them in the audit process.
Audit Analysis
This worksheet indicates the progress of the audit, within each group, at
any stage of the audit, and gives a graphical image of the audit results.
Action Output
This pulls through the results of the audit schedule to allow the non-
conformities to be reviewed. The priority level against each of the
answers is used and each can be selected as necessary.
Audit Schedule
This is the most important element of the audit process, in which the
auditor provides scores and remarks against each question.
© BSRIA BG 24/2012
HOW TO USE THE TOOLKIT 7
Auditor Profile
This is a graph that shows how the auditor has scored the audit. It can be
used as a benchmark for other auditors carrying out the same or similar
audits, or a check for the same auditor undertaking the same audit some
years down the line. It is a check and can indicate an auditor's bias that
may need to be reviewed.
8.2.1.a Documents and Records

This worksheet allows the auditor to record which good practice

documents and records are available and whether they are up to date.
The results should be used when answering question 8.2.1a on the audit
schedule.

© BSRIA BG 24/2012
8 TOOLKIT GUIDE
8 TOOLKIT GUIDE
The purpose of this section is to act as a guide on the key functions of an operation
and maintenance regime and to identify the main activities in each area that may
need to be audited. It also provides a brief commentary on the operation and
maintenance procedures that should be in place and identifies some of the items
that should be considered and about which questions should be asked during an
audit process. It may be modified and developed by individual organisations as a
template for their own audit.
The numbers in the right hand column of each of the tables in this
section refer to the questions in the toolkit.
8.1 MAINTENANCE ORGANISATION AND STRUCTURE

ORGANISATION
AND RESOURCING Operation and maintenance regimes need to have an adequate and
competent organisation with clear and unambiguous job roles, lines of
PAS 55-2 communication and responsibilities with a suitable level of resourcing to
Clause 4: Sections plan, manage and carry out its work functions.
4.4.1
4.6.4 The auditor should assess the following:
Minor Is the organisation over-resourced? 8.1.1d
Moderate Is there an organisational chart for maintenance staff 8.1.1a

that clearly identifies their job functions, duties and
responsibilities and the reporting structure?
Are all of the positions shown on the organisational 8.1.1c
chart fully resourced?
Is staff conduct, appearance, attitude and behaviour 8.1.1f
satisfactory?
Critical Is the structure adequate and suitable to carry out the 8.1.1b
work?
Do individuals understand their job functions and 8.1.1e
responsibilities?
KNOWLEDGE, COMPETENCE AND TRAINING

PAS 55-2
Clause 4: Sections The operation and maintenance organisation needs to have suitably
4.4.3 qualified and competent staff in each specified role. These staff will need to
4.4.5 have ready access to information on changes to applicable legislation and
4.6.4 industry norms to carry out their job. This may be site specific such as
Health and Safety, as well as information on British Standards and
Manufacturer’s data.
The workforce should be fully competent and with adequate training to

carry out the work on the site.
The auditor should assess the following:
Minor Are there sufficient management controls to ensure 8.1.2g

that staff do not use outdated information?
Moderate Are staff kept up to date with information required to 8.1.2e
carry out their work, for example current legislation,
British Standards, innovations, etc.?
Do the staff receive any support training (e.g. Customer 8.1.2h
awareness, First Aid, Related trade information, etc.)?
© BSRIA BG 24/2012
TOOLKIT GUIDE 8
Is there an ongoing training programme? 8.1.2i
Are adequate budget funds allocated for staff training 8.1.2j
and development?
Critical Is there a procedure for assessing and ensuring that the 8.1.2a
staff are competent to do their jobs?
Is this procedure adequate to satisfy legislative 8.1.2b
requirements such as the management of Health And
Safety at Work Regulations and the requirements of the
business?
Are there adequate arrangements to refresh training on 8.1.2c
specific duties, for example, refresher training of HV

authorized persons?
Do staff have the necessary qualifications, training, 8.1.2d
approvals, skills and competence to carry out their
specific job functions in line with the company policy for
competence?
Do the staff fully utilise the information provided by the 8.1.2f
company?
INFORMATION TECHNOLOGY
PAS 55-2
Clause 4: Sections The use of computer-based information systems for the management of
4.4.6 the operation and maintenance function is becoming more prevalent.
4.4.5 This includes computer-based maintenance management systems,
4.6.4 building management systems and computer-based information
management systems such as electronic operation and maintenance
manuals.
The extent and level to which IT systems are used varies from one
organisation to another. The purpose of this section is to prompt the
audit process to examine whether the organisation uses the technology
available to its full potential and whether or not staff and managers use
this resource effectively as intended.
Minor How well does the IT system compare to the industry 8.1.3b
norms?
Is the information on the system secure? 8.1.3g
Moderate Is there a company policy related to computer-based 8.1.3a

information systems?
Is this policy applied to the maintenance IT system? 8.1.3c
Does the maintenance organisation use the full potential of 8.1.3d
current IT systems to optimize its processes, for example
CMMS & CAFM systems?
Is the maintenance IT system fully understood by its users? 8.1.3e
Is the information security in compliance with the Data 8.1.3h
Protection Act 1998?
Critical Are information back-up facilities provided? 8.1.3f

© BSRIA BG 24/2012
8 TOOLKIT GUIDE
STAFF MOTIVATION
Staff motivation is important to the success of any organisation, leads
towards the retention of good staff and reduces the requirement and cost
to train new staff. It helps to maintain a team environment where
management can install and inspire changes in practice to improve
service.
There are legal requirements such as the Management of Health and Safety
at Work Regulations 1999 that require certain provisions to be made for

protecting the health, safety and welfare of the workforce.
Other arrangements for motivation such as productivity bonuses may be

important at certain levels of the organisation.
Minor Is there a staff grievance procedure? 8.1.4b

Are there any systems in place for additional staff 8.1.4e
motivation (e.g. bonuses, career structure, etc.)?
Moderate Have all past and present grievances been resolved? 8.1.4c
Is any staff dissatisfaction apparent (e.g. grievances re: pay 8.1.4d
awards, lack of training, lack of support from senior
management, harassment, etc.)?
Is there a high level of staff turnover? 8.1.4f
Critical Is the company organisational policy for staff well-being 8.1.4a
satisfactory (e.g. standard of accommodation, messing
facilities, etc.)?
8.2 PLANNING AND The purpose of this section is to identify those management functions related to
MANAGEMENT OF the operation and maintenance programme and to focus on key tasks under each
THE
MAINTENANCE function that need to be audited.
ACTIVITY
MAINTENANCE MANAGEMENT (GENERAL)
PAS 55-2
Clause 4: Sections The operation and maintenance function can be separated into
4.3.2 programmed or non-programmed activities. Planned maintenance,
4.3.3 statutory examinations, condition surveys and new build and
4.6.4 refurbishment works come under programmed work. Reactive
maintenance, unforeseen breakdowns, emergency maintenance and
disaster recovery can be considered non-programmed.
Common to both categories, however, are safe systems of work, staff

competence and documentation. The auditable aspects of these common
topics should be agreed before those aspects specifically relevant to
programmed and non-programmed work.
© BSRIA BG 24/2012
TOOLKIT GUIDE 8
OPERATION AND MAINTENANCE DOCUMENTATION

PAS 55-2
Clause 4: Sections The auditor should assess the following:
4.4.5
Minor Is there a person/satisfactory system for updating these 8.2.1c
4.4.6 records as changes occur?
4.6.4
Are operation and maintenance documents and records 8.2.1e
held on a computer-based system?
Is there a person / satisfactory system for updating the asset 8.2.1i
register as changes are made to plant and installations?

Is the Asset Register accessible to all those who require the 8.2.1j
information it contains?
Moderate Are these records indexed and kept for easy access for 8.2.1b
those who require them?
Are these good practice documents up to date? 8.2.1d
Are all plant and equipment included? 8.2.1g
Are plant and equipment which are no longer in use 8.2.1h
identified as such in the Asset Register?
Critical Are the ‘Good Practice’ operation and maintenance 8.2.1a
documents and records available (as listed in Appendix C).
Is there an Asset Register? 8.2.1f
STORES MANAGEMENT
PAS 55-2
Clause 4: Sections Stores items are either consumable or non-consumable. Consumables are
4.5.2 those items used in maintenance, repairs and replacements, for example:
4.6.4 filters, lubricants, cable, fuses and pipe lengths. Non-consumable items
include items that aid the workforce, such as hand tools, equipment used
in testing and measurements, safety equipment, protective clothing and
those items with a capital rather than maintenance cost.
The storage management process should ensure that adequate stocks of

essential items are kept in good condition in a secure environment. It
should also ensure that stores are managed effectively, efficiently and in a
manner that is accountable.
Minor Is there a stock control and review procedure? 8.2.2c

Is there evidence of over-stocking? 8.2.2d
Are redundant stock items retained on site? This could 8.2.2e
include Stock items that have been superseded by plant
changes or contain material that perishes over time.
Moderate Is there a regular review of stocks – levels, etc.? 8.2.2b
Are the stock storage areas adequate? 8.2.2f
Does the method for purchasing stock comply with 8.2.2g
maintenance response times, e.g. lead time to obtain spares?
Critical Is there an adequate budget for maintaining essential stocks? 8.2.2a

© BSRIA BG 24/2012
8 TOOLKIT GUIDE
ISSUING STOCK
Minor Is there any undue queuing while drawing stock? 8.2.3a

Is the security for stock holding areas adequate to reduce 8.2.3b
loss, damage and personal abuse, etc.?
Moderate Are non-expendable items tested and checked on a regular 8.2.3c
basis?
Are sufficient tools and test equipment available for 8.2.3d

completion of the maintenance tasks?
Is test equipment checked and calibrated on a regular basis? 8.2.3e
Critical
STOCK TRANSPORTATION
Minor Is the method of transportation effective and efficient? 8.2.4a
Moderate
Critical
STATUTORY EXAMINATIONS
PAS 55-2
Clause 4: Sections Certain building services plant and equipment are subject to periodic
4.4.8 statutory inspections. These inspections may reveal the need for
4.6.4 corrective action that may need to be completed within a given time
period. Examples of documentation and the legislation requiring these
can be found in Appendix C.
Minor
Moderate Is there a procedure for identifying and actioning 8.2.5e

recommendations from examinations and inspections?
Critical Is there a programme of Statutory Examinations and 8.2.5a
written scheme inspections as required by law?
Is there a record-keeping system for Statutory 8.2.5b
Examinations?
Is all information current and are all inspections up to date? 8.2.5c
Are written schemes in place for obligatory inspections, e.g. 8.2.5d
Pressure Systems, Transportable Gas Containers
Regulations 1989, etc.?
Is there a backlog for statutory examinations waiting to be 8.2.5f
actioned?
© BSRIA BG 24/2012
TOOLKIT GUIDE 8
SYSTEM FOR PLANNING, SCHEDULING AND RECORDING PLANNED

PAS 55-2 MAINTENANCE
Clause 4: Sections
4.3.3 Planned maintenance
4.4.6 Planned maintenance incorporates a variety of industry practices that, due
4.6.1 to the ability to plan when the tasks are carried out, avoids unexpected
4.4.5 down time of functional systems and plant. These practices include
4.6.4 Planned Preventative Maintenance (PPM) and 5 yearly Condition
Surveys.
The maintenance plan must take into consideration all the requirements
of the Health and Safety at Work act and other legislation, along with
those planned maintenance tasks that are intended to reduce the
incidence of plant and system failure to the detriment of the core
business.
The planned maintenance schedule should use the appropriate

maintenance techniques to carry out the necessary work, whether it is
condition based, periodic or reactive maintenance.
Guidance on planned maintenance tasks and frequencies can be found in

[5]
SFG20 and manufacturer’s operation and maintenance instructions, but
must be modified to reflect the requirements of each site and its core
business.
[6]
BSRIA Guide BG3/2004 Business Focused Maintenance is one
methodology that can promote site specific modification of the planned
maintenance.
Minor Is the planned preventive maintenance system periodically 8.2.6e

reviewed?
Are the PPM sheets used for reporting back information? 8.2.6i
Moderate Are there procedures for planning, scheduling and 8.2.6a

executing planned preventive maintenance (PPM)?
Are these procedures adequate? 8.2.6b
Does the planned preventive maintenance (PPM) system 8.2.6c
comply with the Asset Register?
Is the planned preventive maintenance system (e.g. tasks 8.2.6d
and frequencies) suitable to satisfy business needs and
statutory requirements?
Are there adequate labour and other resources for carrying 8.2.6f
out the work as planned?
Do the maintenance job sheets (for inspections, tests, 8.2.6g
routine replacements, adjustments, etc.) give clear, concise
instructions?
Are PPM tasks properly carried out? 8.2.6h
Is the information reported back recorded, analysed and 8.2.6j
acted upon?
Is there a procedure for ensuring all backlog work is carried 8.2.6m
out?
Critical Are there any business, legislative or safety critical tasks not 8.2.6l
carried out due to resource shortages or other reasons?
Is there a backlog of PPM tasks waiting to be completed? 8.2.6k

© BSRIA BG 24/2012
8 TOOLKIT GUIDE
CONDITION SURVEYS AND SPECIALIST INSPECTIONS

PAS 55-2
Clause 4: Sections Condition surveys and specialist inspections are carried out to establish
4.4.5 the operational condition of specific plant, equipment and installations
4.4.9 and form an integral part of the modern maintenance schedule. BSRIA
[7]
4.6.1 guide BG 35/2012 provides practical advice for implementing a
4.4.5 condition survey. These surveys reveal the operational status of the item
4.6.4 from which the requirement for refurbishments or repairs can be
prioritised and planned.
Minor Are these condition surveys supplemented by specialist 8.2.7c

inspections (e.g. thermal imaging, ultrasonic testing) as
necessary?
Is the forward maintenance plan being actioned satisfactorily 8.2.7f
(e.g. allocation of funds, planning the works etc.)?
Moderate Does the company periodically carry out condition surveys 8.2.7a
to establish plant condition and future maintenance needs?
Do they adequately address all assets as appropriate? 8.2.7b
Is there a forward maintenance plan? 8.2.7e
Is there a backlog of critical maintenance or are there 8.2.7g
serious constraints that will impede the implementation of
the forward maintenance plan?
Critical Are the plant conditions, any deficiencies and forward 8.2.7d
maintenance requirements suitably identified and
prioritized?
OTHER PROGRAMMED WORK

PAS 55-2
Clause 4: Sections Programmed work, and subsequent planning, may involve major repairs,
4.3.4 refurbishments and replacements of existing plant and systems arising
4.6.2 from condition surveys, planned maintenance inspections or audits. It
4.6.4 could also be initiated by the organisation changing or re-prioritising its
core functions.
Minor Are funds available to carry out the additional works? 8.2.8b
Moderate Is there a works programme that takes account of future 8.2.8a

works and identifies their priorities and costs?
Where items of work are programmed by others (e.g. 8.2.8d
planning teams) do the proposals meet the cost, quality and
the time targets set by the O&M team?
Critical Does the programme demonstrate pre-planning with 8.2.8c
respect to constraints (time targets, disruption to others,
etc.)?
© BSRIA BG 24/2012
TOOLKIT GUIDE 8
NON-PROGRAMMED WORK
PAS 55-2
Clause 4: Sections The need for non-programmed work may arise out of unforeseen or
4.4.6 unplanned circumstances such as breakdowns, power failures and adverse
4.6.2 weather. The operation and maintenance organisation should have
4.6.4 procedures to cope with these so that any consequential effects can be
minimised.

Minor Are the response times satisfactory to meet client’s 8.2.9b

requirements and are they realistic?
Are there records showing response times to call outs? 8.2.9d
Moderate Are the response times suitably prioritised? 8.2.9c

Are the response times (or related benchmarks) achieved 8.2.9e
as anticipated?
Is the funding for breakdown and other emergencies 8.2.9f
adequate?
Are call outs controlled / screened to ensure genuine need? 8.2.9g
Critical Are adequate procedures in place to cover emergency and 8.2.9a
breakdown occurrences (e.g. call out contact lists,
emergency communication methods, emergency
procedures, security access, response times, access to
spares out of hours, etc.)?
Are the customers satisfied with the way breakdowns are 8.2.9h
handled and the way they are kept informed?
8.3 ENVIRONMENTAL ENERGY MANAGEMENT

AND ENERGY
MANAGEMENT The auditor should assess the following:
Minor Has the organisation carried out an energy survey on the 8.3.1c
building?
Is there an energy champion for the building? 8.3.1d
Moderate Is there a written energy policy? 8.3.1a

Is the written energy policy reviewed annually? 8.3.1b
Critical Is the organisation monitoring and targeting energy use? 8.3.1e

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WASTE MANAGEMENT
Minor Is there a waste champion for the building? 8.3.2g
Moderate Is there a written environmental policy which includes 8.3.2a

waste management?
Are there are separate waste streams e.g. general waste, 8.3.2b
paper for recycling, hazardous waste, WEEE?
Are suitable procedures employed to dispose of hazardous 8.3.2c
waste arising from maintenance operations, for example

fluorescent lamps, PCBs?
Are these procedures adequate to comply with current 8.3.2d
legislation?
Has the organisation informed building occupants about 8.3.2f
waste disposal procedures? For example are there clearly
marked bins and information posters?
Is the organisation monitoring and targeting waste and 8.3.2h
recycling?
Critical Is hazardous waste disposed of in line with these 8.3.2e
procedures?
8.4 HEALTH AND SAFE SYSTEMS OF WORK

SAFETY
Employers have a legal requirement to protect the health and safety of
PAS 55-2 their employees. They are expected to assess risks related to the work
Clause 4: Sections carried out and introduce safe working practices.
4.4.7
4.6.4 The audit process should check whether the organisation complies with
legal requirements as a minimum and ideally meets the requirements of
good practice. Providing detailed guidance on these requirements is
outside the scope of this publication, nevertheless, the following provides
a list of safe systems essential for a typical operation and maintenance
regime:
Minor Is there adequate provision of first aid facilities including 8.4.1h

trained persons on first aid?
Moderate Do staff take undue risks, for example, is there evidence of 8.4.1e
not complying with the health and safety requirements? (e.g.
not wearing safety helmets and goggles)?
Is there adequate supply of personal protective equipment 8.4.1f
(PPE) in line with current legislation on PPE?
Is the protective equipment suitably maintained and where 8.4.1g
appropriate tested and inspected to ensure its integrity?
Where appropriate, are staff trained in the treatment of 8.4.1i
electrical shock?
Is the work equipment provided to carry out maintenance 8.4.1l
activities suitable for intended use?
Are there procedures to ensure that the persons 8.4.1n
authorized to use equipment have received adequate
information, instruction and training?
Are there controls to ensure that work equipment is used 8.4.1o
only by people who are authorized to do so?
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TOOLKIT GUIDE 8
Critical Is there a Health and Safety at work policy for operation 8.4.1a
and maintenance?
Does the policy and related organisational procedures 8.4.1b
adequately cover health and safety requirements relating to
maintenance, e.g. permit to work, method statements, risk
assessments, emergency procedures, access control, manual
handling, electrical safe
Is clear and adequate information, and where necessary, 8.4.1c
training, provided to staff and contractors?
Do staff understand their obligations? 8.4.1d
Are operation and maintenance staff (including contractors) 8.4.1j

made aware of any hazards present on site that can be
realized while operation and maintenance activities are
being carried out (e.g. presence of hazardous substances,
hazardous processes, likely.
Are there controls to ensure that only those who are 8.4.1k
competent, trained and authorized to carry out specific
work, for example electrical work, work in confined spaces,
roof spaces with certain hazards etc. are allowed to do such
work?
Is the equipment provided safe for use, maintained in a safe 8.4.1m
condition and where necessary inspected and tested to
ensure its safety integrity?
Are there adequate procedures to ensure that the work 8.4.1p
equipment carries suitable safety measures such as
protective devices, markings and warnings?
RISK ASSESSMENTS
PAS 55-2
Clause 4: Sections The auditor should verify that risk assessments are carried out in
4.4.3 accordance with the Management of Health and Safety at Work regulations
4.4.7 1989 and cover both generic and specific maintenance tasks, and that
4.6.4 they are reviewed periodically and revised as required. For example; are
they signed by the maintainer? When the task is finished is the
maintainer asked to comment on the adequacy and accuracy of the risk
assessment?
Minor
Moderate State who developed the Risk Assessment procedure. Are 8.4.2b
the risk assessments carried out adequate to cover both
generic and specific risks associated with the maintenance
operations?
Where necessary, are the risk assessments recorded? 8.4.2c
Is work covered by risk assessments monitored to ensure 8.4.2d
that the assessment requirements have been implemented
and that they are effective?
Are the assessments of risks and precautions taken 8.4.2e
reviewed periodically and revised as appropriate?
Critical Are risk assessments carried out in accordance with the 8.4.2a
requirements of Health & Safety at Work Legislation?

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CONTROL OF SUBSTANCES HAZARDOUS TO HEALTH (COSHH)

PAS 55-2
Clause 4: Sections The auditor should evaluate the precautions taken to alleviate the dangers
4.4.3 from hazardous substances as required by the Control of Substances
4.4.7 Hazardous to Health regulations 2002, as amended (COSHH).
4.6.4
Minor
Moderate Are suitable precautions taken to prevent danger from 8.4.3a

hazardous substances, particularly as required by the
Control of Substances Hazardous to health Regulations

2002 (COSHH)?
Are hazardous substances associated with maintenance 8.4.3b
operations suitably identified, e.g. warning notices, posters
etc.?
Are safety data sheets that contain information to make a 8.4.3c
risk assessment as required by COSHH Regulations used /
kept as necessary?
Are maintenance staff adequately supervised to ensure that 8.4.3f
the precautionary measures are taken?
Are the control measures properly used and maintained by 8.4.3g
the maintenance organisation?
Critical Are employees provided with information, instruction and 8.4.3d
training on the nature of hazardous substances, risks
involved and precautions to be taken?
Do maintenance staff understand the risks and how to use 8.4.3e
the control measures?
PERMIT TO WORK (PTW)

PAS 55-2
4.4.3
Minor
4.4.7
4.6.4 Moderate Is there a PTW system? State who developed the system 8.4.4a
Does the permit to work system in place follow suitable 8.4.4b
steps and authorisation procedures to prevent health and a
safety risks, service interruptions and disruptions to client’s
business?
Does the permit to work system adequately cover the 8.4.4c
control of all works that are potentially hazardous?
Do the maintenance staff and contractors have sufficient 8.4.4f
knowledge of the permit to work system?
Does the permit clearly identify the work to be done and 8.4.4h
the associated hazards?
Is a detailed work method statement given for more 8.4.4i
complicated tasks?
Are the procedures being correctly followed by the staff? 8.4.4j
Critical Are those who issue permits sufficiently knowledgeable and 8.4.4d
where necessary trained concerning the hazards and
precautions associated with the plant and proposed work?
Are those who issue permits to work authorized to do so 8.4.4e
(e.g. HV authorised persons)?
Do staff and contractors fully understand the importance of 8.4.4g
the permit-to-work system and are they trained in its use?
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TOOLKIT GUIDE 8
ACCESS CONTROL
PAS 55-2
Clause 4: Sections The auditor should comment on the access control procedures and their
4.4.3 relationship with the Permit to Work system and its implementation.
4.4.7
Minor
Moderate Does the access control procedure cover all areas which 8.4.5b
should only be accessed by authorised or competent
persons?
Are the access control procedures correctly implemented? 8.4.5c

Critical Is there a key/access control procedure to prevent 8.4.5a
unauthorised access to specific areas such as boiler houses
and switch rooms?
SAFE SYSTEMS OF PERSONS

PAS 55-2
Clause 4: Sections The law and good engineering practice requires the persons working on
4.4.1 building services plant and installations to be adequately skilled and
4.4.3 competent to carry out their duties. In addition, certain installations that
4.4.7 are associated with significant hazards, such as high voltage distribution
4.6.4 systems, may require specific approvals and supervision from authorised
persons before any work is carried out on them.
There needs to be a clear understanding of such requirements and a

regime of skilled, competent and authorised persons employed. There
should be also a method for evaluating and appointing staff, with
definitions of and limits on their authorities and responsibilities.
Minor Are the authority and responsibility of O&M personnel 8.4.6d

clearly defined in relation to safe systems of work?
Is there a system for recruiting additional staff to ensure 8.4.6f
they have the appropriate skills and competence?
Moderate Is there a skills and competence policy? 8.4.6a
Is there a written job description outlining the skills, 8.4.6b
competence and qualifications for each position?
Is the system for appointing competent and authorized 8.4.6e
persons up to date?
Critical Do staff have the necessary skills/competence to satisfy 8.4.6c
legislative requirements such as the management of Health
and Safety at Work regulations?

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REPORTING OF INJURIES, DISEASES AND DANGEROUS OCCURRENCES

PAS 55-2
Clause 4: Sections The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations
4.4.3 2012, as amended (RIDDOR) requires certain incidents to be reported to
4.4.7 the respective enforcing authority and records of these incidents to be
4.6.4 maintained. In addition there may be specific procedures practised by
the company for internal reporting, recording, investigating and follow
up of such incidents.
Minor Have there ever been any reportable incidents on site? 8.4.7h
Moderate Is there a procedure for reporting, investigating and 8.4.7a

following up accidents, injuries, work related diseases and
dangerous occurrences?
Are staff trained in its use? 8.4.7b
Does this procedure adequately cover the reporting of 8.4.7c
injuries, diseases and dangerous occurrences as required by
RIDDOR?
Have the past reportable injuries, diseases and dangerous 8.4.7d
occurrences been duly reported to the enforcing authority
and reporting forms submitted during prescribed periods?
Are the incidents reported (whether or not covered by 8.4.7g
RIDDOR) adequately investigated and has action been
taken to prevent any future occurrences?
Critical Do staff understand their responsibilities for reporting 8.4.7e
accidents, injuries, diseases and dangerous occurrences?
Are accident and dangerous occurrence records held in 8.4.7f
accordance with RIDDOR and other industry good practice
requirements?
8.5 FINANCIAL ALLOCATION OF BUDGETS

PLANNING,
MANAGEMENT The operation and maintenance budget is usually split across
AND CONTROL departments and functions such as planned maintenance, minor works,
PAS 55-2
major refurbishments, stores, bulk expenditure and contingencies. Each
Clause 4: Sections
of these are controlled to achieve a pre-determined spread over a
4.3.2
financial year.
4.6.4
Once budgets are allocated to individual departments or functions, the
funds need to be deployed efficiently giving due consideration to the
business requirements and risks associated with each maintenance task
within these functions.
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TOOLKIT GUIDE 8
Minor Are budget allocations based on business risk? 8.5.1a

Are the budget allocations being complied with at present? 8.5.1c
Are individual budgets given to departments/sub-managers 8.5.1e
(e.g. planned maintenance, minor works, reactive
maintenance, etc.)?
Moderate Are the budget allocations sufficient for the works 8.5.1b
required?
Is the level of financial management information provided 8.5.1f

adequate to control expenditure against budget? State
frequency (e.g. monthly)
Critical Are there methods in place to monitor and control 8.5.1d
expenditure (e.g. control charts, cost codes, financial
returns, expenditure targets, carryover limits, etc.)?
FINANCIAL CONTROL
PAS 55-2
Clause 4: Sections In order to achieve value for money and to ensure that the funds are
4.3.2 deployed correctly and honestly, organisations need to set out authorities
4.6.4 and delegations for spending. These may include procedures for
authorisations, individual expenditure limits, single order expenditure
limits and so on.
Accuracy of estimating is another important requirement to ensure that

funds are fully utilised and to prevent abuse of funds.
Minor Are there controls over sending out quotations for extra 8.5.2e
works?
Moderate Are the imposed financial limits adequate for efficient 8.5.2a
control of the funds and to avoid fraud?
Are there procedures if invoice costs exceed order costs? 8.5.2c
Critical Are the financial limits and controls adhered to (e.g. staying 8.5.2b
within limits, necessary authorization, written estimates,
etc.)?
Is the formal financial control system being bypassed? 8.5.2d
LIFE CYCLE FUND (LC FUND)

Minor Is there a nominated person or body who controls the LC 8.5.3b

fund?
Are condition surveys carried out to monitor need for 8.5.3d
expenditure from the LC Fund?
Is there an expenditure limit before items can be charged to 8.5.3e
the LC Fund?
Moderate Is there a life cycle fund for planned replacement? 8.5.3a
Is the fund adequate? 8.5.3c
Critical

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8.6 COMMUNICATION The maintenance organisation requires an effective system of

communication between the client, facilities manager and the workforce
PAS 55-2 to ensure that the maintenance needs, works progress and problems
Clause 4: Sections arising are adequately reported to responsible persons.
4.4.4
Minor Are ‘out of hours maintenance’ requests logged? 8.6.1c

Is the start time and duration of each ‘out of hour’s 8.6.1d
maintenance’ recorded?
Is full use made of current technology (e.g. mobile phones, 8.6.1f
cameras, computer-based systems, etc.)?
Moderate Are the procedures for communicating maintenance 8.6.1a
requirements satisfactory (e.g. reporting method, help desk,
routine meetings)? Give details of procedures
Is the procedure for tracking work in progress (WIP) 8.6.1b
satisfactory?
Critical Are clients kept informed of delays in attending to requests? 8.6.1e
8.7 RECORDS AND Holding records and keeping documentation is an important and
DOCUMENTATION integral part of the operation and maintenance process. There are legal
requirements as well as organisational needs for maintaining a good
PAS 55-2
quality system of record and documents relating to operation and
Clause 4: Sections
maintenance, for example cost management, risk assessments, review of
4.4.5
processes and avoiding fraud.
4.4.6
4.6.4
The purpose of this section is to focus on issues relating to the
management of a system of operation and maintenance documentation
with particular reference to its comprehensiveness, storage, archiving and
security.
Minor Are the documents stored systematically? 8.7.1e

Is there a method of storage for historic information? 8.7.1f
If details are electronically held, do they have adequate 8.7.1h
security protection?
Moderate Do records and documents satisfy the requirements of law? 8.7.1b
Do records and documents satisfy good practice and 8.7.1c
organisational requirements? (as listed in Appendix C).
Are the records complete and up to date? 8.7.1d
Does it provide adequate protection and security (in terms 8.7.1g
of deterioration, loss, abuse, corruption and confidentiality)?
Are electronically held records regularly backed up? 8.7.1i
Critical
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TOOLKIT GUIDE 8
8.8 ADDITIONAL DESIGN AND TECHNICAL QUALITY

WORK
Any programmed or non- programmed work may involve an element of
PAS 55-2 design, preparation work and the writing of specifications to varying
Clause 4: Sections degrees and to a range of technical standards. The audit process should
4.6.4 ensure that correct standards have been applied in the design of work and
4.4.9 that the detail of design is adequate.
Most work carried out by the operation and maintenance organisation

may be small and involve simple work instructions and planning. The
audit checks given below apply to small additional works that are asked
of the maintenance team, either to directly deliver or manage the
delivery of. They do not apply to management of large and complex
projects.
Minor Is the design within the allocated cost limits? 8.8.1c
Moderate Is design work prepared to appropriate detail before 8.8.1a

instructions are issued?
Are design standards in accordance with the company 8.8.1b
requirements, legislative requirements and good practice?
Critical Is the design always of adequate quality to avoid 8.8.1d
maintenance and operational problems?
CLARITY AND COMPREHENSIVENESS OF INSTRUCTIONS

PAS 55-2
Clause 4: Sections The operation and maintenance organisation may use a range of methods
4.4.4 to convey works instructions to suppliers and to in-house works
4.4.5 personnel. These may be verbal instructions, dockets, works orders, work
4.4.9 descriptions, contract documents including drawings & specification and
4.6.4 variation orders.
The audit process should check whether these instructions are clear and
concise and whether they provide adequate information to the
workforce, that they are technically correct and reflect the standards
required by the organisation.
Minor Do instructions, for completion by external suppliers, 8.8.2c

provide necessary additional information, such as the
company policy on security, access, etc.?
Moderate Are the work instructions described clearly and concisely? 8.8.2a
Are the work specifications realistic? 8.8.2b
Do the work instructions clearly identify any contractual 8.8.2d
obligations (e.g. start and completion dates, reporting
procedures, etc.)?
Critical Are problems created by inadequate details on the work 8.8.2e
instructions?

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SUPPLIER SELECTION
PAS 55-2
Clause 4: Sections It may be necessary for an organisation to outsource some of its operation
4.4.2 and maintenance activities. These may include maintenance
4.4.4 management activities such as the review of planned maintenance system
4.4.9 and condition surveys, design activities and the physical operation and
4.6.4 maintenance work that would otherwise be carried out by the direct
employed labour force. There may also be a need to employ external
organisations to do specialist tests, inspections and calibrations.
The suppliers to the operation and maintenance organisation may

therefore include equipment, parts and tools suppliers, contractors,
specialist test houses and consultants.
The organisation needs to ensure that their suppliers are capable of

providing a quality service at a competitive cost. This may involve pre-
assessment, maintaining an approved list of suppliers and periodic review
of their performance.
For optimum performance it is also necessary to carefully match supplier

capability to the service requirement.

Minor Is there a company approved service suppliers list available? 8.8.4c
Is the service supplier performance reviewed periodically? 8.8.4e
Moderate Is there a company procedure relating to accepting new 8.8.3a

service suppliers? Give details.
Does the company procedure consider the technical 8.8.4a
competence of the supplier?
Does the company procedure ensure their ability to 8.8.4b
provide the service required?
Is the list adequate to service the business? 8.8.4d
Critical Are the results of this review passed to the person 8.8.4f
responsible for the procurement of external services?
ORDERING / PROCUREMENT
PAS 55-2
Clause 4: Sections The organisation should regularly re-assess its subcontractors and obtain
4.4.2 alternative quotes. These should be assessed for value, not just cost. For
4.6.4 example, environmental factors such as distance travelled during delivery
could be taken into account. Procuring services according to value will
also avoid accusations of favouritism.
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TOOLKIT GUIDE 8

Minor Are organisational procedures followed (e.g. suppliers 8.8.5a
selected from approved list)?
Are random suppliers used or are particular suppliers 8.8.5c
favoured?
Are contractual methods for obtaining best value for money 8.8.5e
utilised?
Moderate Are there financial compliance procedures (e.g. approval
and counter-signatures before placing orders)? 8.8.5d

Is there a tender evaluation procedure? 8.8.5f
Critical Does contractor capability match specific work 8.8.5b
requirement (technical, quality and financial)?
WORKS PLANNING AND PROGRAMMING

When a work instruction is issued, the work management process should
ensure that the work is carried in accordance with the specification.
Where applicable, it should also ensure that the work is properly
checked, certified and handed over and invoices are paid to contractors.

Minor
Moderate Is the work adequately planned and programmed? 8.8.6a

Are adequate labour resources deployed? 8.8.6b
Critical
WORKFORCE
This section includes audit checks that should be carried out to check the
workforce process for other work.
Minor Is there a high level of staff turnover? 8.8.7b
Moderate Are the plant, equipment and work tools adequate and of 8.8.7c
sufficient quality?
Are the communication arrangements adequate? 8.8.7d
Critical Are the skills and competence of the selected workforce 8.8.7a
adequate for the job?
WORKS MANAGEMENT
PAS 55-2
4.4.1
4.4.3 Minor
4.6.4 Moderate Is the method of monitoring site performance adequate? 8.8.8a
Are there normally significant delays, disruptions or 8.8.8b
additional costs associated with ‘Additional work’?
Critical Are there any variations to the contract after the work has 8.8.8c
been started?

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8 TOOLKIT GUIDE
COMPLETION AND PAYMENT

PAS 55-2
4.4.2 Is there a snagging list issued? 8.8.9d
Minor
4.6.4
Moderate Are all tests complete and certificates issued? 8.8.9a
Are proper handover procedures followed? 8.8.9b
Is the handover documentation complete? 8.8.9c
Was there due attendance during warranty period? 8.8.9f
Do progress payments correspond to work completed? 8.8.9g

Is there a compliance procedure for invoice receipt, 8.8.9h
registration and payments?
Critical Are all snagging items cleared? 8.8.9e
8.9 CLIENT As mentioned in section 1.3, the client may be internal or external.
SATISFACTION
Gauging client satisfaction involves both measurable and subjective
observations. Often, the client’s perception of the success of the services
provided and their relative importance is different from that of the
operation and maintenance organisation. Therefore, the auditor should
carefully evaluate the client perception of the services provided, their
relative importance and the success. This information will be invaluable
to the operation and maintenance regime to re-orient itself to better
serve the client needs.
SERVICE LEVEL AGREEMENT CONTRACT

Minor Are the service levels appropriate for the needs of the 8.9.2j
client organisation?
Are response times to client requests in accordance with 8.9.2k
the service level agreement?
Are priorities allocated to client requests? 8.9.2l
Do the staff have the necessary technical and diplomatic 8.9.2p
skills for these meetings?
Are reporting procedures adequate 8.9.2q
Are any informal means of communicating utilized (e.g. 8.9.2r
personal contacts)?
Is the client regularly informed about guidance on other 8.9.3e
issues (e.g. site surveys by third parties)?
Moderate Are the requirements and constraints of the contract clear 8.9.1a
to the client and the O&M service provider?
Are repairs carried out in accordance with contractual 8.9.2i
agreements?
Is there compliance with:
 Number of staff on site? 8.9.2a
 Staff competence? 8.9.2b
 Attendance? 8.9.2c
 Plant performance criteria? 8.9.2d
 Response times? 8.9.2e
 Priorities for response? 8.9.2f
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TOOLKIT GUIDE 8
 Reporting procedures 8.9.2g
 After hours service? 8.92h
Are minutes taken at these client meetings and action 8.9.2n
points raised?
Are the existing interface methods between the client and 8.9.2o
the O&M service provider adequate?
Critical Are regular client meetings held? 8.9.2m
Is the client regularly informed on:
 Condition of the estate? 8.9.3a
 Essential repair requirements? 8.9.3b

 Replacement requirements? 8.9.3c
 Health and Safety issues? 8.9.3d
DISPUTES
The auditor should understand whether there is a history of disputes

between the client and the operation and maintenance organisation and
whether disputes require further attention or have been resolved.
Minor
Moderate Is there any history of disputes between the client and the 8.9.4a
O&M organisation?
Have any recommendations been made for improvements 8.9.4b
(e.g. procedural changes, communications improvements or
re-negotiation of contracts)?
Critical
8.10 GENERAL GENERAL PLANT AREAS AND PLANT ROOMS

QUALITY OF
WORK The state of the plant rooms and associated installations can be indicative
of the overall quality of work carried out by the operation and
maintenance organisation. It can highlight long term problems
stemming from neglect and possible deterioration.
Watchpoint Minor Are the areas unduly used for storage? 8.10.1f
If the checklists in tables Moderate Are these areas clean and tidy? 8.10.1a
3 and 4 are augmented
with photographic Are there any broken gauges? 8.10.1c
evidence, such survey and Are there any leaking glands? 8.10.1d
condition appraisal
Is there any damaged insulation? 8.10.1e
information could
contribute positively to Critical Are there any health and safety hazards? 8.10.1g
regular workplace risk Is the general condition of the plant satisfactory? 8.10.1b
assessments. See BSRIA
[9]
Guide BG 35/2012 for
further information on Checklists that can help to evaluate the basic site quality quickly are
Condition Surveys and Asset given in tables 3 and 4.
Data Capture.
The purpose of these checks is to raise warning signs and hence identify
the need for further probing. A competent site observer could develop
this into an objective scoring scheme for purposes of benchmarking and
prioritising actions.

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8.11 SITE SURVEY
Table 3 : Housekeeping checklist
Housekeeping Y/N Comments
Is the area generally clean? 8.11.1a
Are there tools, equipment and materials left unattended? 8.11.1b
Is there flammable material that has been unduly left that 8.11.1 c
could cause fire risk?

Is there rubbish or other material that can cause 8.11.1 d
obstructions and danger to works personnel and others?
Have the escape routes been clearly identified and are they 8.11.1 e
kept clear?
Is the access to emergency equipment clear? 8.11.1 f
Is there standing water that has not been cleared? 8.11.1 g
Is there chemical spillage that has not been cleaned? 8.11.1 h
Are the relevant notices, signs and posters displayed? 8.11.1 i
Where necessary, are plant items locked off to prevent 8.11.1 j

unauthorised operation or access?
Are the plant rooms unduly used as storage spaces? 8.11.1 k
Are the plant rooms sufficiently secured to prevent 8.11.1 l

unauthorised access?
Are the lighting (including emergency lighting) and 8.11.1 m
ventilation adequate?
Are movement and access in the plant rooms safe? 8.11.3a
for example; slippery floors, obstructions, uneven floors,
low headroom, unexpected changes in levels, steep ramps
Are there any signs of undue presence of hazardous 8.11.3b
substances such as gas and spilled chemicals?
Are hazardous substances safely and securely stored? 8.11.3c
Are the relevant hazard caution and warning notices 8.11.3d

properly displayed?
Are adequate precautions taken in working at heights above 8.11.3e
2 metres? for example; secured ladders, access platforms
Are adequate precautions taken in handling heavy loads? 8.11.3f
Are facilities such as lifting gear available for this work? 8.11.3g
Are adequate precautions taken in working with 8.11.3h

computers? for example; appropriate lighting, ergonomics
Is there adequate provision for first aid? 8.11.3i
Are any extension cables, hose pipes etc. lying about that 8.11.3j
could cause tripping hazards?
Are tripping hazards that cannot be eliminated clearly 8.11.3k
marked?
Are hazards due to lack of head room clearly marked? 8.11.3l
Are there any other hazardous areas, (e.g. holes, trenches, 8.11.3m
etc.)?
Are they fenced as appropriate and marked with hazard 8.11.3n
warning signs?
Are the appropriate guards and barriers separating persons 8.11.3o
from hazards in place and secured?
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TOOLKIT GUIDE 8
Table 4 : Plant condition checklist
Condition of the Plant Y/N Comments
Is the insulation damaged? 8.11.2b
Are vapour barriers damaged? 8.11.2c
Are there any inoperative indicators, for example, gauges, 8.11.2d

indicator lights and meters?
Are there any signs of deterioration in particular premature 8.11.2e

deterioration of plant?
Is there any disconnected equipment, for example damper 8.11.2g

arms?
Are there any missing components that should be present, 8.11.2h

for example; gauges, lamps or filters?
Are there any air leaks from ducts? 8.11.2i
Are there any water leaks from pump and valve glands, pipe 8.11.2j
joints or valves?
Is there undue noise from plant? 8.11.2k
Are there undue smells in the plant rooms? 8.11.2l

For example, associated with poor drainage, over-heated
electrical equipment or vermin.
Are air inlets and exhausts free from obstruction? For 8.11.2m
example leaves on the ventilation grilles to boiler houses,
blocked or damaged exhaust pipes from generators
Are plant and installations in poor condition? 8.11.2n
DOCUMENTATION
The auditor should check the following:
Minor
Moderate Are maintenance documentation and records stored 8.11.4a

systematically and safely to prevent abuse, damage and
deterioration but also to promote ease of use?
Critical
WORK PERSONS
The auditor should observe the following:
Minor
Moderate Is the general conduct and appearance of personnel 8.11.5a

satisfactory? (are they courteous and presentable?)
Critical

© BSRIA BG 24/2012
A AG 13/2000 ACKNOWLEDGEMENTS
APPENDIX A: AG 13/2000 ACKNOWLEDGEMENTS
The following is reproduced from AG 13/2000 Toolkit for Building

Operation Audits
BSRIA would like to thank the following sponsors for their

contribution
which has led to the production of this Application Guide.
Department of the Environment, Transport and the Regions

Scottish Court Service
Institute for Animal Health
Coventry University.
Contributing from BSRIA were Cary Donaldson and Rohan

Nanayakkara. Also contributing was John Armstrong.
Acknowledgement is also given to the staff at the sites utilised for

testing the Audit Toolkit.
This publication has been produced by BSRIA as part of a contract

placed by the Department of the Environment, Transport and the
Regions. The contract was let under the Partners in Innovation
programme, which provides part funding of collaborative research.
Any
views expressed in it are not necessarily those of the Department.
The authors have sought to incorporate the views of the steering group
but final editorial control of this document rests with BSRIA.
© BSRIA BG 24/2012
TRAINING AND COMPETENCE LEVELS B
APPENDIX B: TRAINING AND COMPETENCE LEVELS
The law requires employers to provide safe systems of work for their
employees. Any safe system of work is reliant on the competence of each
member of staff in their ability to carry out their duties correctly and
safely. This includes any supervisory duties that are required.
In some areas of the building services engineering discipline there are

legal requirements for such competence, for example; Gas Safe Register
is the official gas registration body for the United Kingdom, Isle of Man
and Guernsey, appointed by the relevant Health and Safety Authority for
each area. By law all gas engineers must be on the Gas Safe Register.
Gas Safe Register replaced CORGI as the gas registration body in Great
Britain and Isle of Man on 1 April 2009 and Northern Ireland and
Guernsey on 1 April 2010.
Similarly all personnel whose work involves handling of refrigerants

within the scope of the F Gas Regulation are required to take the City &
Guilds 2079 Assessment, or the CITB equivalent.
Useful organisations for further information:
Engineering Construction Industry Training Board www.ecitb.or.uk

(ECITB)
Construction Industry Training Board (CITB) www.cskill.org
Electrical Contracting Association (ECA) www.eca.co.uk
NICEIC www.niceic.com
Scotland’s trade association For the electrical industry www.select.org.uk
(SELECT)
B&ES - the Building & Engineering Services www.b-es.org
Association
Joint Industry Board (Electrical) www.jib.org.uk
Joint Industry Board (Plumbing & Mechanical) www.jib-pmes.org.uk

© BSRIA BG 24/2012
C DOCUMENTS AND RECORDS
APPENDIX C: DOCUMENTS AND RECORDS
The following lists the documentation and records that the auditor
should expect to find in an organisation that helps to demonstrate good
operation and management of assets and enables the building occupier to
demonstrate compliance with legislation.
This list has been generated as a minimum to expect although some may
not be relevant for smaller buildings and there may be others required for
more complex buildings.
 Air conditioning energy efficiency inspection reports (following

[8 ]
CIBSE TM44 )
 Asset Register
 COSHH assessments
 Dangerous substances records (for example asbestos, refrigerants,
hazardous, materials)
 Electrical systems test records (for example regularly inspections and
tests, PAT tests, thermal imaging reports)
 F-gas refrigerant inventory
 Handover documents (from original construction or recommissioning
exercise e.g. initial test and inspection certificates)
 Health and Safety files (from original construction or major projects
as required under CDM Regulations)
 Installation record drawings
 Notifications to Authoritative Bodies (for example. for wet cooling
tower).
 Operation and Maintenance manuals and supporting documents such
as building log book, building manual and building user guide
 Planned Preventive Maintenance inspection and test records
including statutory tests (these may be captured in a CAFM or
CMMS system but should be fully searchable)
 Records of Statutory Inspections and written schemes
 Risk assessments (for example fire risk assessment, legionella risk
assessment, noise assessment, risk assessments for specific high risk
items of plant)
 Specialist equipment test records to record compliance (for example
sprinkler systems, smoke extract systems, fume cupboards, escape
routes pressurisation systems)
 Waste disposal and handling records
© BSRIA BG 24/2012
REFERENCES
REFERENCES
1 PAS 55-1:2008 Asset management. Specification for the optimized management of physical assets.
ISBN:978 0 580 50975 9
2 PAS 55-2:2008 Asset management. Guidelines for the application of PAS 55-1. ISBN:978 0 580
50976 6
3 BS EN ISO 9000:2005 Quality Management Systems. Fundamentals and Vocabulary. ISBN:0 580
46751 1
4 BS EN ISO 19011-2:2011 Guidelines for auditing management systems. ISBN:978 0 580 77524 6
5 B&ES Formerly HVCA) SFG20 Standard Maintenance Specifications for Building Services (Web
Application www.sfg20.com)
6 BSRIA BG 3/2004 Business Focused maintenance. ISBN:978 086 0 226048
7 BSRIA BG 35/2012 Condition Surveys and Asset Data Capture. ISBN:978 0 860 27069
8 CIBSE TM44:2012 Inspection of Air Conditioning Systems ISBN:978 1 906846 20 6

© BSRIA BG 24/2012
BG 24-12 cover1_Guide Cover 19/04/2012 12:21 Page 2
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A BSRIA Guide www.bsria.co.uk

Asset Management and

By Ralph Bell and Jo Harris

This publication replaces two earlier BSRIA publications:

This update was developed with input from industry representatives.

John Armstrong Armville Consulting

Special acknowledgement is given to Ashley Hemmings of Interserve

Acknowledgements from AG 13/2000 are reproduced in appendix A.

This publication was designed and produced by Joanna Smith.

Every opportunity was taken to incorporate the views of the

A limited number of advertising slots were offered to BSRIA member

The advertisements in this publication do not necessarily reflect the views

©BSRIA 55943 July 2012 ISBN 978 0 86022 710 6

ASSET MANAGEMENT AND MAINTENANCE AUDITS i

I’ll take this opportunity to apologise to Ashley Hemmings of Interserve

The audit results can be used to benchmark performance and it is the

ii ASSET MANAGEMENT AND MAINTENANCE AUDITS

Part 1 – Audit Guidance

2.1 Level of audits 4

ASSET MANAGEMENT AND MAINTENANCE AUDITS iii

Part 2 – Audit Toolkit

8.3 Environmental and energy management 33

APPENDIX A: AG 13/2000 ACKNOWLEDGEMENTS 48

iv ASSET MANAGEMENT AND MAINTENANCE AUDITS

Part 1 – Audit Guidance

1.1 WHAT IS AN An operation and maintenance audit is a systematic examination,

Operation and maintenance combines the availability of the building

Audits are part of a process of continuous improvement, as illustrated in

ASSET MANAGEMENT AND MAINTENANCE AUDITS 1

Current performance is judged against criteria such as:

Figure 1 : Continuous Improvement

Implement Continuous Weighting

 assessment of current position

2 ASSET MANAGEMENT AND MAINTENANCE AUDITS

criterion plays a part in the successful operation and maintenance of a

1. maintenance organisation and resourcing

Different organisations place different orders of importance on these

A toolkit in Microsoft Excel format is available to download from the

ASSET MANAGEMENT AND MAINTENANCE AUDITS 3

Figure 2 : Two levels of Audit

Business Deliverables Maintenance

Strategic audits are concerned with the overall system performance to

At an operational level, these requirements are translated into tasks for

4 ASSET MANAGEMENT AND MAINTENANCE AUDITS

The right resources

2.2 TYPES OF AUDITS First party audits - internal management

Audits take place at a number of levels in an organisation. They range

The frequency of auditing a particular function depends directly on the

Second party audits

ASSET MANAGEMENT AND MAINTENANCE AUDITS 5

The organisation’s purchasing (or procurement) policy should state any

Before embarking on a second party audit on a supplier, it is worth

Third party audits

The decision whether to carry out an audit, and if so when, depends on a

6 ASSET MANAGEMENT AND MAINTENANCE AUDITS

The audit plan includes the following:

 who will carry out the audit

Arrangements need to be made to review the key operation and

The auditor needs to develop an understanding of the planned tasks for

 contract procedures  training  operational standards to be achieved

ASSET MANAGEMENT AND MAINTENANCE AUDITS 7