Guide to the BESACompetence Assessment Scheme

www.theBESA.com

Building EnginEEring SErvicES ASSociAtionBESA Competence Assessment Scheme

GETTING IT RIGHTchoosing the right building engineering services specialist is a critical decision for everyone involved increating, developing or refurbishing a building.

getting it wrong means dissatisfied customers, clientsand building users; high construction costs; expensivevariations to the project plan; and a continuing need toput things right. getting it right means satisfied staff, users and customers; low operating costs; reducedrepair and maintenance; and minimum replacement andrefurbishment.

Your supply chain must therefore contain building engineering services specialists that are fully equippedto design and install state-of-the-art systems. Specialistswith the range of skills and resources needed to meetclient priorities – and to deliver on value, on time and onbudget.

Uniquely in the sector, all members of BESA undergo a rigorous office and site-based inspection and assessment process to ensuretheir compliance with the highest technical, commercial and health and safety standards.

This guide is intended to provide anoverview of the BESA Competence Assessment Scheme – what it is, theprocess, and the benefits for you as amember.

Membership means more...

QUALITY

Building Engineering Services Associationlincoln House 137-143 Hammersmith road london W14 0Ql

020 7313 4900 contact@thebesa.com

� What is the competence Assessment Scheme?

� Benefits of the BESA competence Assessment Scheme

� What is involved?

� the Process

� the office visit – Further detailed guidance

� useful contact information

QUICK LINKS

Welcome to the Building EngineeringServices AssociationCompetence Assessment Scheme

the BESA competence Assessment process isunique in the industry, evaluating both thehealth and safety standards, and the technical competence of a business. this gives you, the member, a competitive edge, demonstrating the quality of your work to clients and subcontractors.

We hope you find this guide helpful, there isfurther information online at http://www.thebesa.com/competence-assessment-schemeHere you will find videos, downloadable documents and contact details of colleagues who are on hand to help throughout the process.

What is the CompetenceAssessment Scheme?

the BESA competence

Assessment Scheme verifies

member compliance to the

recognised industry and legal

requirements, giving your clients

confidence that their project is in

safe hands.

through a simple but rigorous process, BESA validates allmembers by scrutinising commercial capability, workforcecommitment and technical competence.

Successful compliance with BESA’s competence AssessmentScheme is mandatory for membership, and ensures that as aBESA Member you are demonstrating that you work to thehighest of standards.

How is the Competence Assessment Scheme managed?to ensure high standards, independent assessment is vital. todeliver this, BESA has put in place a management structurewhich oversees the competence assessment process. thismanagement structure includes:

� the BESA Membership committee which oversees and reports on all matters relating to applicants andmembers.

� the BESA technical committee which develop andreview all technical standards to which the schemeoperates.

� the administration of the Scheme is managed by independent uKAS accredited third-party BEScA, whichprovides a committed and professional assessmentprocess.

� through BEScA, all Scheme assessments are reviewed by uKAS accredited assessors.

Develop your business� the rigour of the BESA competence Assessment Process

demonstrates your professionalism and commitment to quality and will provide you with a competitive edge overother businesses

� the health and safety assessment in particular gives you allthe evidence you need to satisfy most tender pre-qualification requirements, putting you one stepahead of your competitors

Save time and money� reduce duplication – complete the online Health & Safety

Assessment and receive Safety Schemes in Procurementrecognition at no additional cost to your business

� Qualify for other schemes – through completing thecompetence Assessment Process, it meets the core healthand safety criteria for other schemes such as competentPerson, refcom Elite and cHAS Accredited Status

� receive discounted registration to other key industry services such as constructionline and Exor

Demonstrate sound business practicesthe competence Assessment Process satisfies the mandatoryHealth & Safety requirements and building regulations governing the industry sector. completion of the competenceAssessment Process signals:

- a financially healthy business- good customer service including trading fairly,

honestly and ethically- investment in your workforce and a fair deal for

both clients and subcontractors- proven technical ability and work quality

All these sound business management practices will appeal toclients, sub-contractors and prospective employees.

Meeting the requirements of the

competence assessment process

is a mandatory condition of BESA

membership, but there are also a

lot of business benefits to be

gained as well:

Value-added BenefitsMembers of BESA will be automatically registered with: SSiP and trustMark as well as benefiting from:� commercial and legal support� employment, training and education guidance� technical support� health and safety guidance� discounted technical publications � preferential commercial insurance rates � tailored and competitively priced employee benefits including, BuPA health cover and Pensions

including auto enrolment

Benefits of the BESACompetence AssessmentScheme

Step 1 - An online Health and Safety AssessmentAn annual health and safety assessment, designed to meetthe requirements of PAS 91 and SSiP is both a condition ofBESA membership and ensures your health and safety policies and arrangements comply with HSE legislation.

the health and safety assessment will take 15 minutes if youare SSiP registered as you are then classed as ‘deemed to satisfy’. if you are not SSiP registered it will take around 3hours to complete – don’t forget though, that by completingthe full assessment, you will qualify for SSiP registration at noadditional cost to your business.

Simply, upload your documents, answer the health and safetyquestions by following the instructions and submit your assessment.

Some of the documents you will need to provide are:� health and safety policy� environmental policy� risk assessments� coSHH assessments� method statements� employee training evidence� deemed to satisfy certificates

We have put in place a range of help and guidance resourcesto support you through the process including:

- a 90 second video giving an overview of the Health & Safety assessment process

- a one page ‘quick guide’ which outlines the process- a handy step-by-step guide that walks you through

completing the assessment

What is involved?the BESA competence

Assessment Scheme is

straightforward. in a nutshell,

there are two main elements to

the process – an online Health

and Safety assessment and an

office and site based technical

audit.

Step 2 - An office and site based technical auditthe purpose of the technical audit is to ensure that applicants and members conform to industry bestpractice standards, thereby fully complying with BESA membership requirements.

the duration of the audit will depend on the size, scope and complexity of your business as well as thenumber of branches you may have. in most cases, the audit is organised so that the office and site inspection can take place consecutively. usually the audit will be completed in 1 day, but may takelonger in some cases.

(B) The Site VisitApplicants and members must be able to demonstratethat they carry out their activities in accordance withstatutory requirements, technical specifications andother published guidance and good practice that relates to the work they undertake.

it should also be noted that the business will be expected to comply with the relevant Building regulations and meet the Minimum technical competency (Mtc) requirements published for thetypes of work that the business undertakes.

the technical site audit will focus on works completedwithin the last 6-months, the audit will normally takeplace in the office first and will be a sampling process toidentify and record evidence relevant to the nominatedworks. this will include examination of the site masterfile and you will need to demonstrate that you haveclear processes and procedures in place which can beverified that the works meet the required statutory regulations, and Standards, and that a satisfactory level of workmanship has been achieved.

(A) The Office Visitthe assessor will normally visit the business’s office premises first, where he or she will determinewhether your commercial and business capabilitiesmeet the required standards set by BESA. in particular, the assessor will look for evidence that ap-propriate policies and arrangements are in place,being used, and that the workforce understandsthem. the assessor will, for example, look for:� Satisfactory financial accounting

procedures and insurance cover� Suitable arrangements for

managing the activities of the business

� clearly documented policies and procedures for health and safety, the environment, anti-corruption and bribery,customer handling and for dealing withcomplaints

� Suitable employment practices and an adequate training and recruitment policy, including appropriate employeerecords

� independent proof of the skills, qualifications, competence and health andsafety awareness of all employees and of allsub-contractors.

Typical evidence required from the site visit:� Access to Building regulations Approved documents� Access to technical Standards and Specifications� Access to industry Standards and guides to good Practice� design and installation drawings� Supporting technical data and calculation sheets� records of trade specific qualifications relevant to the work activities� installation and commissioning records� Hand-over procedures� operational Manuals� Maintenance Schedules

Where work is found to be non-compliant, the applicant or registrant will be advised of the details at the time, and will be given a period of time to carry out and confirm rectification.

The office and site based technical audit in more detail:

Health & Safety Assessment:When it is time to complete the assessment, mem-bers will be contacted via email inviting them tolog-on to the system.

As mentioned previously, if you are already SSiPregistered through another scheme, you will beclassed as ‘deemed to satisfy’, meaning you canskip large elements of the process. once you haveworked through the questions and submitted yourassessment, the submission will be reviewed.

You will then be contacted either to confirm thatyour Health & Safety Assessment has been passed,or to advise that some revisions are required. oncethe necessary revisions have been made you willbe able to resubmit and await confirmation thatthe assessment is passed.

At the point your assessment is passed, if it was ona full assessment basis (rather than ‘deemed to satisfy’) you will receive a certificate of health andsafety compliance.

On-site office and technical audit:Following completion of the Health & Safety Assessment if it is due in the same year, the on-siteoffice and technical audit can then be carried out.

Again, you will be contacted to arrange a suitabledate and time for the audit to take place, and onceit has been carried out, you will be notified of theoutcome. if not approved initially, where non-conformities are identified you will have timeto rectify these – 8 weeks for minor non-conformities and 4 weeks for major ones.

Following the rectification of these issues, youraudit will be approved.

The ProcessWhat do I need to know?All members are required to complete the online Health & Safety assessment on an annual basis.the frequency of the on-site office and technical audit is determined by how long you have been a BESAmember:� new joiner, or in first year of membership – the audit is required as part of the joining process, and

at the end of your first year in membership� BESA member for more than a year(although this may vary if the risk based audit highlights a need

for greater frequency) – the audit is required once every three years

As the vast majority of communications will happen via email, it is important that we have an up-to-dateemail address for the person in charge of completing the assessment process within your organisation. ifyou would like to advise us of a change to that address, please just contact us on 01768 860 452.

Overview of the Competence Assessment Process

Useful ContactInformation

Joining and Membership01768 861701membership@thebesa.com

Local supportBESA Regional Managers

Health and Safety Assessment01768 860452hssupport@besca.org.uk

Technical Audit020 7313 4951r.mott@besca.org.uk

Risk ratingto ensure that your business continues to meet the competent Assessment Scheme requirements, a ‘risk rating’ isapplied to existing members by BEScA, which determines thefrequency and extent of surveillance to be carried out.

one of the key areas upon which this ‘risk rating’ is based, isthe number of nonconformities that arise in the on-site technical audit, and which are corrected within the allocatedtime period.

Click here for further details on the risk grading.

Complaints and AppealsShould you have any queries about outcome of an assessor’sreport, you may in the first instance, contact BEScA.

if you are dissatisfied with the outcome of an assessment youare entitled to make written representation to BESA.

there is also a final right of appeal to an arbitrator appointedby the chartered institute of Arbitrators. Such an appeal mustbe dealt with in a clear, open and transparent manner, as setout in the overall Scheme rules which can be obtained fromthe BESA Membership department.

Commercial stability:At the office visit evidence, will be sought that the business operates on a sound commercial footing. directors and SeniorManagers must:

a) be “fit and proper persons” – with no impediment that maydisbar them from holding office eg. such as civil court actions (including bankruptcy or insolvency) in respect ofthe business activities currently engaged in;

b) have their status clearly defined as part of the business.

Business capability:the business criteria outlined below are used to establishwhether applicants and members have in place managementsystems that are appropriate to their business and the work theyundertake. these include the minimum legal requirements that agood business should achieve.

The Office Visit– Further detailedguidance

Reliable financial accounting procedures and insurance cover:it is expected that the procedures and insurance cover are adequate for the size and complexity of thebusiness. Additional requirements include:a) evidence to support the existence of a fixed business addressb) the availability of audited accounts for the past two financial years and/orc) evidence of systematic bookkeeping to support the transactions and income of the businessd) the business has appropriate status at companies House and registration with HM revenue and

customs (HMrc)e) in respect of (c) and (d) above – where two years’ audited accounts are unavailable, the business

may be subjected to additional surveillance by uKAS accredited assessorsf ) there are no unsatisfied county or High court judgements against the businessg) there must be evidence of at least £2m of public liability insurance cover; an appropriate level of

employers’ liability and professional indemnity insurance (where the business carries out designwork).

Anti-corruption and bribery:Each company should have a policy on, and arrangements fordealing with anti-corruption and bribery to ensure compliancewith the Bribery Act. the policy and arrangements in placeshould include:a) the promotion of a culture of honesty, integrity and

professionalismb) details of everyone’s responsibilities, including other

businesses working for or on its behalf in respect ofbribery, fraud and corruption

c) the provision of information and guidance to those working in the business on how to recognise and addressbribery, fraud and corruption

d) the provision for anyone to report any related instanceswhich have taken place in respect of a bribe or other corrupt practices

e) the effectiveness of the policy i.e. in respect of its implementation.

Customer relations:As part of the assessment, evidence will be sought that both Members and Applicants deal effectivelywith their customers and with other professionals associated with the work, and that information istreated confidentially. As a minimum, there should be arrangements in respect of the following:a) preparation of a clear quotationb) emergency work – the basis of all chargesc) provision of written terms of contractd) notification when the work will start and finishe) a reliable purchase system, used to cover all plant, major or significant items and components

which are traceable to the specific works undertakenf) operating and maintenance instructions

g) the provision of a written guarantee.

Managing complaints:As part of the assessment, evidence will be sought that both Members and Applicants have a policyon, and an arrangement for, handling customer complaints:a) a commitment to respond to all complaints within three working days, and to resolve them in

the shortest possible timeb) maintenance of a record book (or similar documented or electronic system) which details all

complaints received and the actions taken to resolve themc) a provision to refer to BESA’s mediation service, for resolving minor disputes without resorting to

litigationd) arrangements to use BESA’s adjudication referral service to resolve more complex issuese) that employees are fully aware of the provisions of the complaints policy, and how to deal with

any complaints received.

The Office Visit – Furtherdetailed guidance

Fair trading:Applicants and members must employ fair and reasonable commercial practices with their customers and with their sub-contractors.

the BESA code of Fair trading, the provisions of which should bedisseminated to the workforce, provides requirements whichinclude:a) written estimates with a clear description of the work and

the end price to be chargedb) offering to the customer the advantages of participation in

the BESA double guarantee scheme (domestic).

Investing in the Workforce:the business must have in place arrangements that all the workforce, including the managementteam, are competent and appropriately qualified for the role that they play in the organisation and itsfuture strategy. there must be a policy, or policies, which cover these arrangements.

the assessors will seek evidence that management, employees and sub-contractors are trained and“up-skilled” as necessary. that there is in place reviews of training needs, which contributes towards along-term training plan which addresses:a) details of the skills, competences and qualifications for each individual including safety and

environmental awareness (eg. via an Engineering Services SKillcard)b) training priorities for the businessc) labour and skills requirements for the businessd) the formulation of a training budgete) the existence of a succession planf ) support for national and local training goals.

the business should have a record of, or demonstrate a commitment to, training activities for a period of not less than six years.

The Office Visit – Furtherdetailed guidance

Environmental Management:Both applicants and members must meet their environmentaland sustainability obligations. As part of the assessment thereshould be a policy, and provisions must be applied in the work-place to reduce significant impacts on the environment such as:a) noiseb) vapour emissionsc) waste – registration as a waste producer with the relevant

government agency should be in evidenced) pollution

in addition, there must be evidence of processes in place to dealwith:e) recyclingf ) material procurement

Contracts of Employment: Every employee has a right to a contract of employment, or awritten statement stating the main terms of employment andwhich should include:a) what the business expects the employee to dob) what the employee can expect from the business in return.

in the absence of a formal contract of employment, the lawrequires employers to issue their employees, within twomonths of their starting work, with a “Section 1 statement”that outlines the key terms and conditions. the assessorwill seek evidence to this effect.

contractors who employ operatives under the H&v operativenational Agreement, and staff under the Environmental Engineering industry Staff Salary Agreement can discharge theirresponsibilities by using the standard forms produced by BESA(refer to BESA’s publications). these can be accessed at www.besapublications.com

Equal Opportunities:A good equal opportunities policy contains a clear commitment to the legislation governing access tojobs – regardless of e.g. race, nationality or ethnic origin. indeed, many clients will not contract withservice providers which do not have a convincing way of demonstrating that they take their social responsibilities seriously.the practical application of the policy (which should be provided to the workforce) must demonstrate:a) a clear commitment to the maintenance of the workforce which, as far as possible, is

representative of the local populationb) has the clear support of the senior management of the businessc) sets out clear objectives for action against discriminationd) contains provisions that are both explicit and measurable – and involves all employees in the

achievement of the objectives

The Office Visit – Furtherdetailed guidance

Relationships with Sub-contractors and Labour Agencies:the assessors will wish to be satisfied that work carried out by asub-contractor, an agency or labour only worker is adequatelysupervised and checked by the business, and that their work iscarried out to the standards set in BESA’s competence Assessment Scheme. Particular attention will be paid to:

a) procedures for the selection of sub-contractorsb) arrangements for controlling sub-contract workc) verification of the work undertakend) ensuring that the sub-contractor has sufficient knowledge

to do the job effectivelye) checking that their work is being done safely, without

damage to property, health or environment.

Similarly, regarding skilled personnel from an agency:

f ) ensure that they are employed to do the work via the services of a reputable agency/agencies –in this respectnote BESA’s links to the Building Services Engineering Employment Agency Alliance(www.agencyalliance.org.uk).

The Office Visit – Furtherdetailed guidance

� the result of the on-site technical Assessment, and thebusiness’s trackrecord, indicates thatit meets all of thescheme criteria.

� the business has provided suitable andsufficient key piecesof information (seebelow) to satisfy the‘desk-top’ assessment.

� A complete on-sitetechnical reassessment every three years.

� Annual ‘desk-top’ assessment of health,safety, environmentaland insurance documents, plus any‘deemed-to-satisfy’compliance certificates.

� the result of the on-site technical Assessment, and thebusiness’s trackrecord, indicates thatit meets practically all of the scheme criteria.

� the business has provided the keypieces of information(see below) for theannual ‘desk-top’ assessment, but not all of these aresuitable and sufficient, or one ismissing/out-of-date.

� normally, a completeon-site technical reassessment everythree years, but thiswill depend upon thebusiness’s overall performance, which isregularly reviewed.

� Annual ‘desk-top’ assessment of health,safety, environmentaland insurance documents, plus any‘deemed-to-satisfy’compliance certificates.

� the result of the on-site technical Assessment, and thebusiness’s trackrecord, indicates thatit does not meet all ofthe scheme criteria.

� the business hasfailed to provide, or toupgrade and re-submit, two ormore of the requiredkey pieces of information (seebelow) to satisfy theannual desk-top assessment, when requested to do so.

� Annual on-site technical Assessmentof the weak areasuntil improvement isshown, with the additional feecharged to the business.

� A complete on-site technical reassessment everythree years.

� Annual ‘desk-top’ assessment of health,safety, environmentaland insurance documents, plus any‘deemed-to-satisfy’compliance certificates.

Main reasons for grading

Surveillance regime

Risk gradingthe grades that will be used in BESA’s competence Assessment Scheme, and how these will affect thebusiness, are shown below. Any worsening bullet point that applies will trigger a move down to theapplicable grade.

Grade Full compliance Partial compliance Poor compliance