YOUR GUIDE TO THE BESA COMPETENCE ASSESSMENT SCHEME · Assessment process is unique . in the...

helping businesses meet industry standards

YOUR GUIDE TO THE BESA

COMPETENCE ASSESSMENT

SCHEME

Building Engineering Services Competence Assessment

Old Mansion HouseEamont BridgePenrithCA10 2BX

T: 01768 860457E: [email protected]: www.besca.org.uk


CONTENTS ● BESA Competence Assessment Scheme

● Benefits of the Competence Assessment Scheme

● What’s involved

● The process

● The office visit – further detailed guidance

● Useful contact information

The BESA Competence Assessment process is unique in the industry, evaluating the health and safety standards and the technical competence of a business. This gives BESA members a competitive edge, allowing them to demonstrate the quality of their work to the supply chain.

We hope you find this guide helpful, there is further information online at: www.theBESA.com/competence-assessment-scheme

Here you will find videos, downloadable documents and contact details of colleagues who are on hand to help throughout the process.

WELCOME TO THE BUILDING ENGINEERING SERVICES COMPETENCE ASSESSMENT SCHEME

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Choosing the right building engineering services specialist is a critical decision for everyone involved in creating, developing or refurbishing a building.

Uniquely in the sector, all members of BESA undergo a rigorous office and site-based audit to ensure their compliance with the highest technical and commercial standards.

Membership means more...

Quality

This guide is intended to provide an overview of the Competence Assessment Scheme – what it is, the process, and the benefits for you as a member.

Getting it wrong means dissatisfied customers, clients and building users, high construction costs, expensive variations to the project plan, and a continuing need to put things right.

Getting it right means satisfied staff, users and customers, low operating costs, reduced repair and maintenance, and minimum replacement and refurbishment.

Your supply chain must therefore contain building engineering services specialists that are fully equipped to design and install state-of-the-art systems. Specialists with the range of skills and resources needed to meet client priorities – and to deliver on value, on time and on budget.

GETTING IT RIGHT

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The Competence Assessment Scheme verifies BESA 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, BESCA validates all members by scrutinising commercial capability, workforce commitment and technical competence.

Successful compliance with BESCA’s Competence Assessment Scheme is mandatory for membership, and ensures that as a BESA Member you are demonstrating that you work to the highest of standards.

HOW IS THE COMPETENCE ASSESSMENT SCHEME MANAGED?To ensure high standards, independent assessment is vital:

■ The administration of the scheme is managed by independent UKAS accredited third-party BESCA, which provides a committed and professional assessment process.

■ BESCA Schemes Board provide governance and demonstrates impartiality relating to applicants and members.

WHAT IS THE COMPETENCE ASSESSMENT

SCHEME?

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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:

DEVELOP YOUR BUSINESS ■ The rigour of the competence assessment process demonstrates your professionalism and commitment to quality and will provide you with a competitive edge over other businesses.

■ The health and safety assessment in particular gives you all the evidence you need to satisfy most tender pre-qualification requirements, putting you one step ahead of your competitors.

SAVE TIME AND MONEY ■ Reduce duplication – complete the online Health & Safety Assessment and receive SSiP (safety schemes in procurement) recognition at no additional cost to your business.

■ Qualify for discounted registration to other schemes – through completing the BESA competence assessment process which meets the core health and safety criteria for other SSiP schemes.

DEMONSTRATE SOUND BUSINESS PRACTICESThe competence assessment process satisfies the mandatory requirements in the industry sector. Completion of the competence assessment 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 to clients.

VALUE-ADDED BENEFITSMembers of BESA will be automatically registered with SSIP and TrustMark on successful completion 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 COMPETENCE ASSESSMENT SCHEME

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The 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 1 - AN ONLINE HEALTH AND SAFETY ASSESSMENTAn annual health and safety assessment, designed to meet the requirements of PAS 91 and SSIP is both a condition of BESA membership and ensures your health and safety policies and arrangements comply with HSE legislation.

The health and safety assessment will take 15 minutes if you are SSIP registered as you are then classed as ‘deemed to satisfy’. If you are not SSIP registered it will take around 3 hours to complete – don’t forget though, that by completing the full assessment, you will qualify for SSIP registration at no additional cost to your business.

Simply, upload your documents, answer the health and safety questions 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 resources to 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

STEP 2 - AN OFFICE AND SITE BASED TECHNICAL AUDITThe purpose of the technical audit is to ensure that applicants and members conform to industry 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 the number 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 take longer in some cases.

WHAT IS INVOLVED?

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THE OFFICE AND SITE BASED TECHNICAL AUDIT IN MORE DETAIL:

THE OFFICE VISITThe assessor will normally visit the business’s office premises first, where he or she will determine whether your commercial and business capabilities meet the required standards set by BESA. In particular, the assessor will look for evidence that appropriate policies and arrangements are in place, being used, and that the workforce understands them. 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 including the environment, anti-corruption and bribery, customer handling and for dealing with complaints

■ suitable employment practices and an adequate training and recruitment policy, including appropriate employee records

■ independent proof of the skills, qualifications, competence and health and safety awareness of all employees and of all sub-contractors.

THE SITE VISITApplicants and members must be able to demonstrate that they carry out their activities in accordance with statutory requirements, technical specifications and other 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 the types of work that the business undertakes.

The technical site audit will focus on works

completed within the last 6-months, the audit will normally take place in the office first and will be a sampling process to identify and record evidence relevant to the nominated works. This will include examination of the site master file and you will need to demonstrate that you have clear processes and procedures in place which can be verified that the works meet the required statutory regulations, and standards, and that a satisfactory level of workmanship has been achieved.

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

■ cleaning and 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.

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B

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WHAT DO I NEED TO KNOW?All BESA members are required to complete the online health and 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 BESA member:

■ applicant 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-date email address for the person in charge of completing the assessment process within your organisation. If you would like to advise us of a change to that address, please just contact us on 01768 860 457.

HEALTH & SAFETY ASSESSMENT:When it is time to complete the assessment, members will be contacted via email inviting them to log-on to the system.

As mentioned previously, if you are already SSIP registered through another scheme, you will be classed as ‘deemed to satisfy’, meaning you can skip large elements of the process. Once you have worked through the questions and submitted your assessment, the submission will be reviewed.

You will then be contacted either to confirm that your health and safety assessment has been passed, or to advise that some revisions are required. Once the necessary revisions have been made you will be able to resubmit and await confirmation that the assessment is passed.

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

ON-SITE OFFICE AND TECHNICAL AUDIT:Following completion of the health and safety assessment if it is due in the same year, the on-site office and technical audit can then be carried out.

Again, you will be contacted to arrange a suitable date and time for the audit to take place, and once it has been carried out, you will be notified of the outcome. If not approved initially, where non-conformities are identified you will have time to rectify these within 8 weeks.

Following the rectification of these issues, your audit will be approved.

THE PROCESS

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If revisions are required,make the necessaryrevisions and resubmit

What is involved - established members?

What is involved - new members

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COMPLETE THEONLINE HEALTH& SAFETY ASSESSMENT

HEALTH & SAFETY ASSESSMENT IS PASSED

ON-SITETECHNICALAUDIT ISCARRIED OUT

MINOR NON-CONFORMITIESyou have 8 weeks to address

MAJOR NON CONFORMITIESyou have 4 weeks to address

COMPLIANCEIS APPROVED

START HEREReceive email advising it’s time to log-on to the BESA online health and safety assessment

Typical end-to-end time ofassessment is 3 months

EVERY 3 YEARS(This may vary if the risk based auditsdictate a greater frequency)

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HEALTH & SAFETYASSESSMENT

Health & Safetyassessment


HEALTH &SAFETYASSESSMENTIS PASSED

ON-SITETECHNICAL AUDIT ISCARRIED OUT




START HEREReceive email advising it’s time to log-on to the BESA online health and safety ssessment


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WHEN JOINING AND AT THE END OF YOUR FIRST YEAR(as a new member you will have an audit as part of your joining process and at the end of your first year of membership)


OVERVIEW OF THE COMPETENCE ASSESSMENT PROCESS

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HEALTH & SAFETY ASSESSMENT IS PASSED

ON-SITETECHNICALAUDIT ISCARRIED OUT




START HEREReceive email advising it’s time to log-on to the BESA online health and safety assessment


EVERY 3 YEARS(This may vary if the risk based auditsdictate a greater frequency)

1 53 4




HEALTH &SAFETYASSESSMENTIS PASSED

ON-SITETECHNICAL AUDIT ISCARRIED OUT




START HEREReceive email advising it’s time to log-on to the BESA online health and safety ssessment


1 52 3 4



2

WHEN JOINING AND AT THE END OF YOUR FIRST YEAR(as a new member you will have an audit as part of your joining process and at the end of your first year of membership)


OVERVIEW OF THE COMPETENCE ASSESSMENT

PROCESS

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USEFUL CONTACT INFORMATIONJOINING AND MEMBERSHIP01768 [email protected]

LOCAL SUPPORTBESA Regional Managers

HEALTH AND SAFETY ASSESSMENT01768 [email protected]

TECHNICAL AUDIT01768 860 [email protected]

RISK GRADINGTo ensure that your business continues to meet the Competent Assessment Scheme requirements, a ‘risk rating’ is applied to existing members by BESCA, which determines the frequency and extent of surveillance to be carried out.

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

COMPLAINTS AND APPEALSShould you have any queries about outcome of an assessor’s report, you may in the first instance, contact BESCA.

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

There is also a final right of appeal to an arbitrator appointed by the Chartered Institute of Arbitrators. Such an appeal must be dealt with in a clear, open and transparent manner, as set out in the overall scheme rules which can be obtained from the BESA Membership department.

Other considerations will include:

■ whether you have a complaint against you or you are involved in a complaints process as this may affect your risk grading

■ a timely manner of audit closure, if not within 8 weeks your risk rating will be affected

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RISK GRADINGThe grades that will be used in the Competence Assessment Scheme, and how these will affect the business, are shown below. Any worsening bullet point that applies will trigger a move down to the applicable grade.

The result of the on-site technical assessment, and the business’s track record, indicates that it does not meet all of the scheme criteria.

The business has failed to provide, or to upgrade and re-submit, two or more of the required key pieces of information (see below) to satisfy the annual desk-top assessment, when requested to do so.

Annual on-site technical assessment of the weak areas until improvement is shown, with the additional fee charged to the business.

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

The result of the on-site technical assessment, and the business’s track record, indicates that it meets practically all of the scheme criteria.

The business has provided the key pieces of information (see below) for the annual ‘desk-top’ assessment, but not all of these are suitable and sufficient, or one is missing/out-of-date.

Normally, a complete on-site technical reassessment every two years, but this will depend upon the business’s overall performance, which is regularly reviewed.


The result of the on-site technical assessment, and the business’s track record, indicates that it meets all of the scheme criteria.

The business has provided suitable and sufficient key pieces of information (see below) to satisfy the ‘desk-top’ assessment.

A complete on-site technical reassessment every three years.


GRADE FULL COMPLIANCE PARTIAL COMPLIANCE POOR COMPLIANCE

Main reasons for grading

Surveillance regime

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COMMERCIAL STABILITY:At the office visit evidence, will be sought that the business operates on a sound commercial footing. Directors and senior managers must:

■ be ‘fit and proper persons’ – with no impediment that may disbar them from holding office eg. such as civil court actions (including bankruptcy or insolvency) in respect of the business activities currently engaged in

■ have their status clearly defined as part of the business

RELIABLE FINANCIAL ACCOUNTING PROCEDURES AND INSURANCE COVER:It is expected that the procedures and insurance cover are adequate for the size and complexity of the business. Additional requirements include:

a) evidence to support the existence of a fixed business address

b) the availability of audited accounts for the past two financial years and/or

c) evidence of systematic bookkeeping to support the transactions and income of the business

d) the business has appropriate status at Companies House and registration with HM Revenue and Customs (HMRC)

f) there are no unsatisfied county or High court judgements against the business

g) 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 design work)

THE OFFICEVISIT-FURTHER

DETAILED GUIDANCE

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ANTI-CORRUPTION AND BRIBERY:Each company should have a policy on, and arrangements for dealing with anti-corruption and bribery to ensure compliance with the Bribery Act. The policy and arrangements in place should include:

■ the promotion of a culture of honesty, integrity and professionalism

■ details of everyone’s responsibilities, including other businesses working for or on its behalf, in respect of bribery, fraud and corruption

■ the provision of information and guidance to those working in the business on how to recognise and address bribery, fraud and corruption

■ the provision for anyone to report any related instances which have taken place in respect of a bribe or other corrupt practices

■ 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 effectively with their customers and with other professionals associated with the work, and that information is treated confidentially. As a minimum, there should be arrangements in respect of the following:

■ preparation of a clear quotation

■ emergency work – the basis of all charges

■ provision of written terms of contract

■ notification when the work will start and finish

■ a reliable purchase system, used to cover all plant, major or significant items and components which are traceable to the specific works undertaken

■ operating and maintenance instructions

■ the provision of a insurance backed warranty

MANAGING COMPLAINTS:As part of the assessment, evidence will be sought that both members and applicants have a policy on, and an arrangement for, handling customer complaints:

■ a commitment to respond to all complaints within three working days, and to resolve them in the shortest possible time

■ maintenance of a record book (or similar documented or electronic system) which details all complaints received and the actions taken to resolve them

■ a provision to refer to BESA’s mediation service, for resolving minor disputes without resorting to litigation

■ arrangements to use BESA’s adjudication referral service to resolve more complex issues

■ that employees are fully aware of the provisions of the complaints policy, and how to deal with any complaints received

THE OFFICE VISIT- BUSINESS CAPABILITY

The business capability criteria outlined below are used to establish whether applicants and members have management systems in place that are appropriate to their business and the nature of work they undertake. These include the minimum legal requirements that a good business should achieve.

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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 be disseminated to the workforce, provides requirements which include:

● written estimates with a clear description of the work and the end price to be charged

● 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 management team, are competent and appropriately qualified for the role that they play in the organisation and its future 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 a long-term training plan which addresses:

■ details of the skills, competences and qualifications for each individual including safety and environmental awareness (eg. via an Engineering Services SKILLcard)

■ training priorities for the business

■ labour and skills requirements for the business

■ the formulation of a training budget

■ the existence of a succession plan

■ 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.

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SUSTAINABILITY:Both applicants and members must meet their environmental and sustainability obligations. As part of the assessment there should be a policy, and provisions must be applied in the workplace to reduce significant impacts on the environment such as:

■ waste

■ pollution

■ recycling

■ material procurement

■ noise

■ vapour emissions

EQUAL OPPORTUNITIES:A good equal opportunities policy contains a clear commitment to the legislation governing access to jobs – regardless of e.g. race, nationality or ethnic origin. Indeed, many clients will not contract with service 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 clear commitment to the maintenance of the workforce which, as far as possible, is representative of the local population

● has the clear support of the senior management of the business

● sets out clear objectives for action against discrimination

● contains provisions that are both explicit and measurable – and involves all employees in the achievement of the objectives

CONTRACTS OF EMPLOYMENT:Every employee has a right to a contract of employment, or a written statement stating the main terms of employment and which should include:

● what the business expects the employee to do

● what the employee can expect from the business in return. In the absence of a formal contract of employment, the law requires employers to issue their employees, within two months of their starting work, with a “Section 1 statement” that outlines the key terms and conditions. The assessor will seek evidence to this effect

Contractors who employ operatives under the H&V Operative National Agreement, and staff under the Environmental Engineering Industry Staff Salary Agreement can discharge their responsibilities by using the standard forms produced by BESA (refer to BESA’s publications). These can be accessed at www.besapublications.com.

WORKING TIME DIRECTIVE:The Working Time Directive are regulations put in place to set the maximum weekly working hours. These are set at 48hours on average (unless a worker actively chooses to opt out).

MODERN SLAVERY ACT: The Modern Slavery Act outlines measures to combat slavery and human trafficking in the UK.

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RELATIONSHIPS WITH SUB-CONTRACTORS AND LABOUR AGENCIES:The assessors will wish to be satisfied that work carried out by a sub-contractor, an agency or labour only worker is adequately supervised and checked by the business, and that their work is carried out to the standards set in the Competence Assessment Scheme. Particular attention will be paid to:

■ procedures for the selection of sub-contractors

■ arrangements for controlling sub-contract work

■ verification of the work undertaken

■ ensuring that the sub-contractor has sufficient knowledge to do the job effectively

■ checking that their work is being done safely, without damage to property, health or environment

Similarly, regarding skilled personnel from an agency:

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

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www.besca.org.uk

FOR MORE INFORMATION OR SUPPORT CONTACT:

HEALTH AND SAFETY01768 [email protected]

TECHNICAL01768 [email protected]

BESCA SCHEMES MANAGERStephanie Nolan01768 [email protected]


Building Engineering Services Competence Assessment

Old Mansion HouseEamont BridgePenrithCA10 2BX

T: 01768 80457E: [email protected]: www.besca.org.uk


YOUR GUIDE TO THE BESA COMPETENCE ASSESSMENT SCHEME · Assessment process is unique . in the...

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