CIBSE Guide M 2014

Maintenance engineering
and management
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The Chartered Institution of Building Services Engineers
CIBSE Guide M
CIBSE Guide M
Maintenance engineering and management
222 Balham High Road, London SW12 9BS
+44 (0)20 8675 5211
www.cibse.org
ISBN 978-1-906846-50-3
9 781906 846503
2014
cover.indd 1 07/10/2014 15:55

Maintenance engineering
and management
A guide for designers, maintainers,

building owners and operators,
and facilities managers
CIBSE Guide M
The Chartered Institution of Building Services Engineers

222 Balham High Road, London, SW12 9BS
The rights of publication or translation are reserved.
No part of this publication may be reproduced, stored in a

retrieval system or transmitted in any form or by any means
without the prior permission of the Institution.
© Second edition, November 2014; The Chartered Institution
of Building Services Engineers London
Registered charity number 278104
ISBN 978-1-906846-50-3
This document is based on the best knowledge available at

the time of publication. However no responsibility of any
kind for any injury, death, loss, damage or delay however
caused resulting from the use of these recommendations
can be accepted by the Chartered Institution of Building
Services Engineers, the authors or others involved in its
publication. In adopting these recommendations for use each
adopter by doing so agrees to accept full responsibility for
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Institution of Building Services Engineers, the authors and
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Typesetting and layout by Bonnie Craig for CIBSE Publications
Printed in Great Britain by The Lavenham Press Ltd.,

Lavenham, Suffolk CO10 9RN
Note from the publisher
This publication is primarily intended to provide guidance to those responsible for

the design, installation, commissioning, operation and maintenance of building
services. It is not intended to be exhaustive or definitive and it will be necessary for
users of the guidance given to exercise their own professional judgement when
deciding whether to abide by or depart from it.
Any commercial products depicted or described within this publication are included
for the purposes of illustration only and their inclusion does not constitute
endorsement or recommendation by the Institution.
Foreword
Interests in building performance are high on the agenda for organisations that own or
operate buildings. The key to good performance is good management and maintenance.
This guide is an update to provide best practice for those who have responsibility for the
management and maintenance of the engineering services in a building. It also aims to
inform those who design and construct buildings and raise awareness of the implications
their decisions have on enabling effective management and maintenance.
Our industry is concentrating on performance outcomes and closing the gap between
design and operation. Working together we can help our clients by managing their
expectations and maximising impact from their annual spends on maintenance and
management of buildings.
During the process of updating this guide, other sources of best practice guidance relevant
to our industry have been published. The steering group has supported these guides, as
appropriate, and the information we provide is compatible. The indicative economic life
expectancy table published in this guide (Appendix 12.A1) supports some of these
documents and the data has been thoroughly reviewed and expanded to cover many more
asset types. Feedback to the Maintenance Task Group on the accuracy of this table is always
encouraged, as the absence of hard data makes this a problematic task. We do, again,
highlight that there are a wide range of factors that affect these estimated lives and we
encourage the industry to recognise these factors when recommending life cycle
replacements. There has been much work in the industry since the last edition of this
Guide eight years ago, especially in the field of life cycle assessment, and we hope that
Chapter 12 gives you enough information to make informed decisions.
With the recent developments around Building Information Modelling (BIM) it is the
management and maintenance teams that can benefit the most from the increase in useful
information generated in a BIM project. We encourage you to look at the principles of BIM
and introduce them in your existing buildings as you repair and replace assets, which will
enable you to generate a wealth of information that will support the long-term management
of your buildings.
Joanna Harris
Principal author
Principal Author
Joanna Harris (BSRIA)
Contributors
Neil Ambler (Watson & Sole)
John Armstrong (Armville Consulting)
Neil Earnshaw (Constructing Solutions)
Rob Farman (Abacus FM Engineering Consultancy)
Stephen Gathergood (G4S Integrated Services)
Andrew Green (F&G)
Paddy Hastings (Norland Managed Services)
Steve Hunter (Kaizenge)
Paul Kee (Hurley Palmer Flatt)
Andrew Martin (Lloyd’s Register)
Kate McCormick (SPIE UK)
Geoff Prudence
Dave Robinson (Babcock)
Andrew Saville (Armville Consulting)
David Smith (Datara)
CIBSE Maintenance Task Group and Steering Group

Neil Ambler (Watson & Sole)
John Armstrong (Armville Consulting)
Javier Carnero (MITIE)
Graeme Craig (B&ES)
Neil Earnshaw (Constructing Solutions)
Rob Farman (Abacus FM Engineering Consultancy)
Steve Gathergood (G4S Integrated Services)
Andrew Green (F&G)
Joanna Harris (BSRIA, Chair)
Paddy Hastings (Norland Managed Services)
Steve Hunter (Kaizenge)
Paul Kee (Hurley Palmer Flatt)
Gareth Keller (B&ES)
Andrew Martin (Lloyd’s Register)
Kate McCormick (SPIE UK)
Geoff Prudence
Dave Robinson (Babcock)
Andrew Saville (Armville Consulting)
David Smith (Datara)
CIBSE Referees
John Armstrong
Mike Malina
Phil Taylor
Editor
Bonnie Craig
Editorial Manager
Ken Butcher
CIBSE Head of Knowledge
Nick Peake
CIBSE Technical Director

Hywel Davies
Acknowledgements
This edition of CIBSE Guide M includes material from the first edition, published in 2008.
The Institution gratefully acknowledges the authors and contributors to the first edition:
JH Armstrong, R Farman, A Garside, A Green, M Griffiths, P Hastings, P Hiddleston, S
Hunter, R Jeeves, P Kee, G Keller, Hseih-Min Loy, A Martin, DR O’Bryan, G Prudence,
AG Saville and M Smith.
Contains public-sector information licensed under the Open Government Licence v2.0.
Foreword to the first edition
Publication of this document as CIBSE Guide M demonstrates how operation and
maintenance has gained importance and recognition within the industry. Clients in
particular are becoming more aware of the need to ensure that the many engineering
services within their buildings, on which they rely to continue their businesses, will
continue to function reliably and safely.
The skills needed to run the many different types of buildings, ranging from relatively
simple such as those in the domestic sector to the complex such as hospitals and data
centres, are now being recognised as a profession with defined levels of competency. Such
skills are the key elements in the armour of the property and estate operator when
demonstrating diligent management of the services that provide the environment in which
we all live and work. Failure to maintain these services can result in contravention of health
and safety and other legislation, reduced plant life and increased plant breakdowns affecting
both business and staff performance.
Since the previous version of this document (published as Guide to ownership, operation
and maintenance of building services), issues such as the environment, climate change and
carbon management have all risen significantly up the political agenda. Clients are not only
aware of these issues but wish to be seen to be actively addressing them, due in part to the
realisation that the UK building stock uses some 50 per cent of UK’s energy.
This Guide is the result of the continuing work of the CIBSE Maintenance Task Group. It
is intended to be an authoritative and valuable tool for those involved in the operation and
maintenance of building services. It is also intended to be an important source of reference
for designers, manufacturers, installers and professional advisors.
I would like to record my thanks to all those who have generously provided their time and
shared their knowledge during the preparation of CIBSE Guide M.
John Armstrong
CIBSE President 2007–2008
Contents
1 Introduction 1-1
1.1 Scope and structure 1-1
2 Guidance for building services designers 2-1
2.1 Designer responsibilities 2-1
2.2 Advising and guiding the client 2-3
2.3 Client requirements 2-3
2.4 Installation and maintainability 2-5
2.5 Design parameters 2-5
2.6 First-year operation and maintenance requirements 2-5
Reference 2-6
Bibliography 2-6
Appendix 2.A1: Design guide to maintainable buildings 2-8
3 Maintenance strategy and techniques 3-1

3.1 Client requirements and other considerations 3-1
3.2 Maintenance techniques 3-2
3.3 Service delivery options 3-6
3.4 Developing and implementing an appropriate strategy 3-6
3.5 Selecting the appropriate delivery model 3-8
3.6 Implementation and performance management/improvement 3-9
References 3-9
Bibliography 3-9
4 Maintenance contracts 4-1

4.1 Procurement methods and procedures 4-1
4.2 Contract selection 4-6
4.3 Tender and contract formation 4-8
4.4 Documentation 4-10
4.5 Contract mobilisation 4-11
References 4-12
5 Energy efficiency and maintenance 5-1

5.1 Energy strategy and policy 5-2
5.2 Energy management systems (EnMS) 5-2
5.3 Gaining an overview 5-2
5.4 Analysing energy demand 5-3
5.5 Legislation and codes of practice in UK 5-3
5.6 Investing in energy efficiency 5-3
5.7 The energy-efficient brief 5-4
5.8 Renewables 5-4
5.9 Fuel selection 5-4
5.10 Combined heat and power (CHP) 5-5
5.11 Metering 5-5
5.12 Lighting 5-6
5.13 Heating and hot water 5-6
5.14 Electrical power 5-6
5.15 Controls 5-7
5.16 Refrigeration systems 5-7
5.17 Justification of energy projects 5-7
References 5-7
Bibliography 5-8
Appendix 5.A1: Energy benchmark data 5-9
6 Controls for building services 6-1

6.1 Purpose of controls 6-1
6.2 Maintenance requirements 6-2
6.3 Building management systems 6-3
6.4 Upgrading control systems 6-5
6.5 Need for training 6-6
References 6-6
Bibliography 6-6
7 Commissioning and testing 7-1

7.1 Commissioning management 7-2
7.2 Summary of commissioning requirements 7-2
7.3 Commissioning manager and commissioning specialist 7-2
responsibilities
7.4 Documentation 7-4
7.5 Designer’s checklist 7-4
7.6 System characteristics 7-5
7.7 Post completion testing 7-5
7.8 Continuous commissioning 7-6
7.9 Controls and building management systems 7-7
7.10 Decommissioning and mothballing 7-8
References 7-8
Bibliography 7-8
8 Handover procedures 8-1

8.1 Preparation 8-1
8.2 Sectional completion and beneficial occupation 8-1
8.3 Inspections 8-3
8.4 User training 8-3
8.5 Occupant training 8-3
8.6 Tools and spares 8-4
8.7 Handover information 8-4
8.8 Equipment warranties 8-4
8.9 Defects liability 8-4
References 8-5
9 Operating and maintenance documentation 9-1

9.1 O&M manual content 9-1
9.2 Manufacturer literature 9-2
9.3 Updating 9-2
9.4 Preparation 9-2
9.5 Health and safety file 9-2
9.6 Building user guides 9-2
9.7 BIM information 9-2
9.8 Computer-based information systems 9-3
9.9 Maintenance management systems 9-3
References 9-3
Bibliography 9-3
10 Operational risk assessment and management procedures 10-1
10.1 Assessing the risks 10-1
10.2 Business risks 10-2
10.3 O&M risks 10-3
10.4 Disposal risks 10-4
References 10-4
Bibliography 10-4
Appendix 10.A1: Overall risk checklist 10-5
Appendix 10.A2: Operational risk checklist 10-6
11 Operation and maintenance costs 11-1

11.1 O&M cost data 11-1
11.2 Cost categories 11-1
11.3 Cost data attributes 11-3
11.4 Benchmarking 11-3
11.5 Levels of information 11-4
11.6 Utilisation of labour 11-6
11.7 Backlog maintenance 11-6
References 11-9
Bibliography 11-9
12 Economic life factors and end of economic life 12-1

12.1 Background: what are economic factors and when are they used? 12-1
12.2 Predicted future life expectancy of assets and components 12-2
12.3 Variation factors 12-4
12.4 Applications 12-5
12.5 Other economic life and financial considerations 12-6
References 12-7
Bibliography 12-8
Appendix 12.A1: Indicative economic life expectancy 12-9
13 Maintenance audits 13-1

13.1 Audit document 13-1
13.2 Audit details 13-1
13.3 Audit scoring system 13-3
13.4 Recording comments 13-3
13.5 Audit procedure 13-4
References 13-4
Appendix 13.A1: Maintenance audit checklist for building services 13-5
14 Condition surveys 14-1

14.1 Levels and frequency of survey 14-1
14.2 Non-intrusive testing 14-2
14.3 Consistency of information 14-3
14.4 Priority grading 14-3
14.5 Condition grading 14-3
14.6 Data collection 14-4
14.7 Updating information 14-5
References 14-5
Bibliography 14-5
15 Legislation and compliance 15-1

15.1 Legislation 15-1
15.2 Requirements for inspection and testing 15-5
References 15-7
16 Health and comfort 16-1

16.1 Indoor air quality 16-1
16.2 Thermal comfort influences 16-3
16.3 Air distribution systems 16-4
16.4 Comfort during modifications to existing buildings 16-5
16.5 Recommended assessment schedules 16-6
References 16-6
Bibliography 16-7
17 Training 17-1
17.1 Management 17-1
17.2 Competency 17-1
17.3 Training policy statement 17-2
17.4 Identification of training needs 17-2
17.5 Training plan 17-3
17.6 Means of provision 17-3
17.7 Certification 17-3
17.8 Evaluation 17-4
17.9 Records 17-4
References 17-4
Index I-1
Introduction 1-1
1 Introduction
1.1 Scope and structure Summary
This chapter provides a general introduction to the Guide and outlines its scope and contents.
Building services engineers provide the internal environ

mental conditions that enable business processes to
1.1 Scope and structure
function at an optimum level while providing a safe,
comfortable environment for occupants to achieve their The scope of each chapter of this Guide is summarised here.
maximum performance potential. Effective maintenance
and operation is a key factor in ensuring this continues for Chapter 1 provides a general introduction to the Guide and
the life of the building. outlines its scope and contents.
Chapter 2 provides designers with an insight into what

This guidance is a continuation of work by the CIBSE should be taken into account when preparing their designs
Maintenance Task Group and is intended for the benefit of and issues that should be considered to ensure that a
all those involved in the operation and maintenance of building services installation can be practically installed,
engineering services. It is an update of the 2008 Guide. efficiently maintained and will meet the client’s written and
Principal areas of revision relate to legislation changes and implied aspirations in the short, medium and long term.
changes in best practice.
Chapter 3 provides an overview of operation and
maintenance (o&m) strategy, including guidance on setting
The Task Group has tried to avoid duplicating information up a maintenance strategy. It describes maintenance
that is available elsewhere, and references to useful techniques that should be implemented and highlights
documentation is provided. The Guide identifies current how decisions made during the design of a building can
good practice and addresses topics of particular interest and impact on the maintenance strategy and techniques that
relevance to those involved at all levels in engineering can be used.
services maintenance. This includes designers,
manufacturers, installers, maintainers, building owners, Chapter 4 provides guidance on contracting out
occupiers and operators, professional advisors and specialist maintenance and discusses the use of standard forms of
providers. It is not expected that the reader will read the contracts for procuring maintenance services.
publication from cover to cover; rather that it will be used
for reference and guidance as needs arise. Chapter 5 covers energy-efficiency measures and introduces
renewable energy sources. It emphasises that maintainers
are in a strong position to influence the energy efficiency of
This document is intended to bring maintenance into a a building and that it should be one of their key duties.
sharper focus by helping building and property operators
become more aware of their responsibilities and duties. It Chapter 6 is about controls and discusses their purpose with
will also help services designers to appreciate their role in reference to the importance of providing building occupants
providing installations that are safe, economic to maintain with the ability to regulate their own environment and
and operate, and capable of giving satisfactory performance ensuring they understand how the control system operates.
over their full lifespan. Periodic re-commissioning is highlighted, along with the
benefits of better quality sensors and control equipment.
During the process of updating this Guide the Task Group Chapter 7 is about commissioning, and it discusses the
collaborated with other publishers of best practice guidance scope of a commissioning specialist’s work and the
including RICS (Royal Institution of Chartered Surveyors), commissioning manager’s areas of involvement. The need
B&ES (Building and Engineering Services Association) for comprehensive records is outlined, as is the need to
and BSRIA Ltd to agree a structure for presenting assets keep them updated. A designer’s checklist for
(see Figure 1.1, which provides an overview of how the commissioning is provided, along with guidance on the
documents span the life cycle of a building.). This has decommissioning and mothballing of an installation.
resulted in the economic life data provided in Chapter 12
being structured by system and elements, being numbered Chapter 8 covers handover procedures, which introduces
to match NRM3 and providing maintenance task references the activities relevant at handover, provides a typical
to SFG20. Feedback on the usefulness of this would be checklist and gives guidance on defect liability and
most welcome. equipment warranties. The option of phased handover and
2
2-2 Maintenance engineering and management
the advantages to the client of beneficial occupation are Chapter 14 covers the application of condition surveys to
briefly described. various types of building services installations, as well as
the characteristics of the different types of survey, ranging
Chapter 9 has been updated to reflect developments around from a general overview to a thorough survey. The benefits
capturing and presenting information for o&m manuals. of non-intrusive thermal imaging techniques are explained,
Information storage, retrieval and updates are introduced. as is the need to ensure a consistent approach to surveying
Building information modelling (BIM) is also discussed as a and the presentation of information. To improve the
development that will impact on traditional o&m. usefulness of the results of a survey, the need to prioritise
actions is stressed and categories are proposed.
Chapter 10 discusses risk identification within a business
to determine what dangers can affect operability. Assessing
risk is important to sustaining corporate responsibility, and Chapter 15 is an overview of key UK legislation relevant to
understanding the likelihood of undesired events occurring building services and operational management collected
and their impact (harm or loss) is of significant importance together in one chapter to aid those not subject to UK
to every business. The range of risks that require assessment legislation to read the rest of the document. It does not
are divided into four categories: health and safety; business; claim to be comprehensive, and the duty holder should
design and installation; operation and maintenance. routinely update themselves with current changes and
legislation applicable in their own country. Requirements
Chapter 11 provides information on the financial aspects of for inspection and testing are also considered. A table of
owning and operating building services installations. It legislation and compliance may be downloaded from the
includes information on cost data and its relevance to CIBSE website (http://www.cibse.org/Knowledge/CIBSE-
managing the maintenance of building services. It also Guide/CIBSE-Guide-M) that provides a summary guide of
discusses the importance of benchmarking. Some basic basic requirements for compliance with legislation in the
accountancy is covered, along with cost predictions management of a building.
associated with refurbishment or new construction.
Chapter 12 provides guidance on the practical application Chapter 16 is about health and comfort, and considers the
of predicted economic life expectancy and the variation relationship between the internal environment of a building
factors that need to be applied. The tabulated data in and the health, safety and welfare of its occupants, and how
Appendix 12.A1 comprises estimates of the economic engineering services influence these factors. The guidance
service life of constituent components that have been concentrates on air quality and thermal conditions, but also
aligned to the RICS’s new rules of measurement (NRM) and covers other aspects of occupant comfort.
to the B&ES SFG20 planned maintenance task schedules.
The sources and derivation of the economic life estimates
are detailed and a number of factors that can influence Chapter 17 discusses the achievement and demonstration
service life are explained. of individual and corporate competency together with the
need to have a formal training policy. It emphasises how
Chapter 13 describes a technique for auditing maintenance essential it is to ensure that maintenance engineers keep
delivery. It entails an assessment of performance under the their skills up to date, continue to be aware of health, safety
headings of: management; maintenance; communications; and quality management matters, develop individuals to
health and safety; technical proficiency; financial maximum potential and help promote participation,
management. A qualitative scoring method is proposed and ownership and belonging in a job that can be remote from
a procedure for conducting the audit is outlined. the direct employer.
CIBSE Guide M: Maintenance engineering and management
Design Standards BS 8544: 2013: Guide for life cycle

Plan, do, check, act —
Plan of Work SFG 20 costing of maintenance during the NRM 3
build, maintain, renew
BIM/1192-2, 3, 4 in use phases of buildings
Building operational risk management and compliance through the life of the building
Figure 1.1 Sources of information for effective maintenance strategies and delivery (source: Geoff Prudence)
Guidance for building services designers 2-1
2 Guidance for building services designers
2.1 Designers’ Summary
responsibilities
This section is primarily aimed at building services designers, but it contains information of interest to
2.2 Advising and guiding the all those involved in the management, installation, commissioning, operation and maintenance (O&M)
client of engineering services within buildings.
2.3 Clients’ requirements It outlines a variety of aspects that designers should take into account when preparing their designs
2.4 Installation and and highlights the issues that should be considered to ensure that a building services installation can
maintainability be practically operated and maintained and will meet the client’s written and implied aspirations in
the short, medium and long term.
2.5 Design parameters
The concept of applying an O&M perspective early in the design process is important to achieving
2.6 First-year operation
a successful and effective outcome, regardless of whether applied to a complete new building,
and maintenance
extension or retrofit project.
requirements
References
Bibliography
2.A1: Design guide to
maintainable buildings
A client’s exact requirements with respect to the operation efficiency scheme and Energy Savings Opportunity Scheme
and maintenance (o&m) of engineering services may vary (ESOS) launched in 2014 are aimed at maximising the
but the primary interest in almost every case will be to benefits and minimising the downsides of the environmental
achieve trouble-free usage of the accommodation or impacts of a business; the designer can play a significant
premises. While there will be a general acceptance that role in this important arena.
engineering services need to be operated safely and
efficiently, there will also be an expectation that such There are a number of comparative and quantitative
operation is within the scope of staff who are trained and assessment tools currently available such as the Building
competent and will not require a proliferation of specialists. Research Environmental Assessment Method (BREEAM)
Similarly, clients will not expect the maintenance demands (see www.breeam.org), the Defence Related Environmental
to infringe unduly on their usage of the premises. Assessment Method (DREAM) (see www.dreamassess.com)
and the Leadership in Energy and Environmental Design
Operating costs will typically be understood to include (LEED) (US Green Building Council, 2009) methodology
energy, maintenance and replacing minor plant items, with that can assist in interpreting the environmental aspects of
major plant replacement programmed and budgeted for particular design features, although good designers will be
separately. Client attitudes to running costs, however, may seeking innovative ways to deliver sustainable buildings
be more varied. At one end of the spectrum, a client may beyond these requirements.
view running costs as being marginal when assessed against
accommodation costs and staff wages, and simply accept
o&m expenditure. At the other end of the spectrum, a client
may challenge even modest running costs in order to keep 2.1 Designer responsibilities
these under continuing review and to seek cost-effective
means of improving efficiency and reducing expenditure. Designers’ responsibilities are typically defined by the
What is clear, however, is that with the energy issues scope of duties upon which they are engaged. In many cases
associated with security of supply, costs are unlikely to these are defined in accordance with the Association for
reduce and consequently the onus upon designers to deliver Consultancy and Engineering (ACE); these fall into four
energy efficiency into system designs is likely to become main categories: design; advisory investigatory and other
even higher on the client agenda. services; design and construct; and sub-consultancy. In
each of these the role of the designer is varied and it is
The environmental impact of a building and its engineering incumbent upon the designer to ensure that the client fully
services is another area where client attitudes may vary understands what services have been purchased and what
significantly. The attitude of some clients may be simply to can be expected.
ensure that they ‘stay on the right side of the law’. Others
may be committed to a formal environmental policy, which In each of the above appointments, the general
could include third-party assessment and certification. responsibilities of designers require them to consider all
Current UK Government guidance on corporate social aspects of the design, installation and maintenance in
responsibility (CSR) and changing legislative requirements, relation to specific obligations under health and safety
such as the Carbon Reduction Commitment (CRC) energy legislation to ensure that the designs can be safely installed
Table 2.1 Typical questions to be addressed by designers

Task Question
Briefing Do I clearly understand my role and responsibility for the installation?
Do I really know what the client wants and what the brief is?
Have I examined all the options?
What redundancy is required (i.e. what standby facilities in case operating units fail)?
Materials Have I thought about the materials to be used and their suitability and life expectancy?
Have I selected materials that are safe to work with?
Installation and Have I thought about how practical it is to install my designs?
commissioning
Do I have the necessary information to make that judgement?
Will the installation be easy to commission?
Can tolerances on design parameters be relaxed?
Operation and Will my design work consistently and reliably achieve the design objective under a wide variety of conditions?
maintenance
What is the overall strategy for building services—what will be the requirement/potential impact on business of maintenance/
shutdowns?
Can the installation be operated and maintained safely by personnel with normal skill levels?
Costs Have I established the client’s requirements in respect of:
—— first costs
—— operating costs (including energy and maintenance)?
and maintained, and to identify areas of abnormal risk available throughout the life of the building and, if the 3D
related to these activities. model is also part of the information handed over, any
replacement or change can be cost-effectively modelled
Designers have a key role in the performance of building prior to being constructed.
services systems as a whole and, whether dealing with the
overall concept design for large systems or preparing Figure 2.1 indicates how the designer’s ability to make
detailed drawings for a small part of an overall system, they cost-effective changes to the design, which may also
should begin by addressing a range of questions, which influence life cycle costs, is most advantageous at the
may include those given in Table 2.1. It is the responsibility earliest stages of design. As the process moves to detail
of the designer to be aware of these aspects and to ensure design and eventual construction, the costs of making
that the installation meets its objectives. changes rises dramatically. The adoption of BIM as an
enabler to reduce the costs of change during the concept,
Whether following the RIBA project stages or an alternative outline design and detailed design stages represents a
programme, it is essential to ensure that a pragmatic o&m significant opportunity for the informed client to minimise
expertise is engaged early in the design process to ensure not only maintenance and life cycle costs, but also the total
effective, workable solutions are achieved. Depending on cost of ownership.
the project or client, this may take the form of a member of
the designer team, a specialist/independent consultant or, A useful source of first-hand experience about the o&m
where appropriate, a senior representative from the client implications of the plant and equipment within buildings
or occupier function. Whilst often challenged and seen as is a FM. For projects within an existing building, feedback
an additional cost, this intervention can add real value in should be sought from the FM; for new developments, it
providing an effective final design. may be possible to identify locations with similar
requirements and discuss the design implications with an
The wide range of design responsibilities requires the experienced FM. Early engagement with the facilities
design engineer to have a sound understanding of other
construction disciplines and to be aware of the potential
benefits of sharing ideas with other specialists. Wherever Increasing cost of change
possible, designers should aim to present their proposals to
operators and facilities managers (FM), installers, Ability to influence
commissioning specialists and maintenance engineers, and lifecycle cost Cumulative
to seek their input at an early stage before design proposals expenditure
become too entrenched. This could help to facilitate later
stages of the development and implementation of the design, 10 units 10 000 units
ensure maintainability of equipment and reduce potential
operational/business impact of final design solutions.
Recent advancement in the area of building information Concept Detailed Operation and
selection design maintenance
modelling (BIM) to aid the development of collaborative
designs represents an opportunity for designers to produce Outline Construction Shutdown
better designed, co-ordinated and planned projects that design and start-up and disposal
will allow maintenance and asset information to be Figure 2.1 Increasing cost of change during a project
£100 000s
management team can significantly reduce the costs of poor may include, but not be limited to, those listed in
designs by ensuring design for o&m is fully addressed at Table 2.2. However, designers should develop their own
the beginning of the design process. in-house questionnaires or checklists geared to the way
they operate their design procedures. These approaches
Successful ‘private finance initiative’ (PFI) projects have will help to ensure a more purposeful approach to particular
typically utilised specialist consultants (operating on design development.
behalf of the financial institution) to identify improvements
that will reduce long-term running costs and improve the As with all documentation, user feedback is essential to
profitability of projects/reduce the risk of project costs not ensure that the questionnaire or checklist remains relevant
being able to be paid back. and fully effective. The content of such documentation
should, therefore, be reviewed regularly, taking previous
Appendix 2.A1 provides a design guide to maintainable experience into account. As noted above, FMs can play an
buildings and could be used as a checklist to ensure that important role at this stage.
each stage and item is identified and addressed.
In addition to establishing client understanding of, and
attitudes to, o&m matters, building services engineers
should acquaint themselves with the level of understanding
2.2 Advising and guiding the by other members in the design team. In some instances it
client may be necessary for the building services engineer to take
the lead in such matters on behalf of the team.
A client may seek advice and guidance on o&m aspects as
outlined above, or on related matters, at any stage of the 2.3.2 The brief
design process. In responding to such requests, building
services designers should bear in mind the particular
The design will not only be influenced by the building
requirements and interests of the client and ensure that full
itself, but may also be part of a wider portfolio of sites, type
account is taken of these.
of business or specific process operated by the core business
function, which will influence the building services design.
In presenting the required guidance the designer should:
—— use simple, straightforward language and If the brief is not defined by the client, the designer should
terminology explain the assumptions and the design parameters to the
—— offer options for action wherever possible and client and obtain the client’s agreement. This particularly
outline disadvantages as well as advantages applies to the degree of redundancy associated with the
various engineering elements of a scheme (see Chapter 10).
—— recommend a favoured option and state reasons for It is for the client, not the designer, to decide the amount of
this choice standby capacity, the redundancy built into systems and
the acceptability of likely rectification times in the event of
—— provide an indicative cost forecast for each favoured
failure. Designers, however, have a duty of care to advise
option
the client of these decisions.
—— provide financial models to demonstrate total costs
of ownership and estimated life cycle replacement
frequencies/assumptions (see Chapter 12) 2.3.3 Specifying materials and
—— provide indications of direct environmental components
impacts and opportunities for offsetting.
Selection of systems and choice of equipment are as
important as the basic calculations required in designing
the system. The true test of a designer’s ability is whether,
2.3 Client requirements ultimately, the systems and installation meet the client’s
brief and not simply whether the calculations are correct.
2.3.1 Establishing the requirements Designers must consider the suitability and life expectancy
of materials being proposed in the light of the client’s brief.
It is important for designers to ensure that they fully For example, the solution in a retail outlet where life
understand a client’s requirements at an early stage of the expectation may be five years could be substantially
design. In principle, the requirements should be relatively different to an office development where lease and
easy to define, but most clients will have a limited dilapidation requirements may stretch over 30 years. Clear
understanding of o&m matters. This makes it important for guidance on these matters is important and, where
designers to develop a detailed understanding in conjunction appropriate, designers should carry out whole-life costing
with the client and to ensure that all aspects are clarified at studies (see Chapter 12).
an appropriate stage of the design development (see
Appendix 2.A1). Where this is not achieved, there may be a The reliability of any system is only as good as the weakest
subsequent need for design changes, with adverse effects on part. Designers must be careful, therefore, to avoid specifying
both the programme and costs. or allowing minor elements to be used that could have an
adverse effect on the overall system performance. The
An effective means of targeting and clarifying client analysis should include any intrinsic or environmental
requirements is the use of a questionnaire. Of course, the dangers the designer is aware of, together with any risks
questionnaire needs to be particular to the project but associated with installation of systems and any safety issues
certain core questions will be generally applicable. These associated with maintenance.
Table 2.2 Establishing the client’s requirements covering maintainability

Core questions to be asked
1. Is the client to be the building user? If not, is the building user known?
2. Does the client have a maintenance policy?
3. Does the client wish to operate on a total facilities management basis? If so, what are the responsibilities of each design discipline within the
overall strategy?
4. Will the client directly employ a maintenance engineer/premises manager/FM?
5. Will the maintenance workforce be in-house or engaged under contract?
6. Does the client have a maintenance budget in mind?
7. Will the engineering services be operated:
a. continuously
b. intermittently for a five-day-week, multi-shift operation
c. intermittently for a five-day-week, single-shift operation
d. using other operational patterns?
8. What would be the feasible/preferred timing for routine servicing or monitoring attention on daily, weekly, monthly and quarterly bases (e.g. time
of day, day of week, etc)?
9. What would be the most demanding response time for emergency servicing in the event of a breakdown? To what parts of the building or services
installation would this apply?
10. Is any part of the building required to be kept free from entry by maintenance personnel?
11. Does the client have preconceived views of economic life of plant and equipment? What is the investment programme for eventual plant
replacement? (See questions 12 and 13.)
12. What are the client’s preferred (or not preferred) manufacturers or suppliers?
13. If the client maintains other properties, is there a specification with which they wish you to work with regards to providing standardised
equipment, such as a preferred building management system (BMS) manufacturer, pump manufacturer or lighting controls and type of light
fittings/bulbs?
14. Does the client intend to establish and maintain an asset register for plant and equipment items? (Design data schedules can take account of this
and be compiled in an appropriate format.)
15. What are client in-house policies or requirements and the level of client understanding of:
a. health and safety and statutory requirements
b. climate change
c. energy use
d. other environmental considerations
e. quality
f. refrigerants
g. water hygiene
h. energy efficiency
i. other aspects?
Where designers are encouraged to test the market, seek team signs off designs from an o&m perspective.
alternatives or write a performance specification, they Increasingly with cost, space pressures and drive for
should ensure that their requirements are properly specified reductions in project delivery time, ‘value engineering’
and carefully detailed. This is essential in allowing the often results in removal of maintenance considerations and
materials offered by the installation service provider to be resilience aspects, which may have longer-term impacts
checked to ensure that they meet the performance when the building is in use.
specification and do not cause dangers or difficulties that
have not previously been considered. Designers should
make clients aware that in such circumstances there may be
less control over the substitution of material/products, the Care should be taken to consider large components and
consequences of which will need to be fully assessed and critical systems within the design. Generally, design
understood (see Chapter 10). It is the designer’s capability and resilience (N+1 etc) may be addressed, but
responsibility to ensure that the installation service the overall operating resilience and risks of system, controls,
provider has sufficient information to make an informed pumps, strategic spares, manufacturer and service
choice when alternatives are sought. availability may not be evident. What is the defined
maintenance strategy for these key components in the
building design? Specific guidance on high voltage
2.3.4 Final design equipment, combined heat and power (chp) systems and
other key equipment can be found in other CIBSE guides,
Whether or not there has been early engagement in the British Standards, BSRIA publications and other industry
design process, it is essential that a defined person in the best-practice resources.
Finally, what is the projected replacement strategy for these

components during the building’s life? Good practice is
2.5 Design parameters
increasingly judged by the production of an ‘asset
replacement strategy’ that forms part of the design Designers should ensure that, either by specification or
requirement, thus ensuring that for large essential plant written recommendation, they set out general requirements
(e.g. chillers, generators and electrical switchboards), a for maintenance of their installation. This may be by
defined approach has been thought through, is workable reference to recommended standards or procedures set out
and is logistically achievable. in this Guide and in other publications, such as the B&ES’s
SFG20 Standard Maintenance Specification (www.sfg20.
co.uk), to ensure that all important maintenance issues are
fully considered. The preparation of particular, detailed
maintenance procedures may be a separate responsibility.
2.4 Installation and
maintainability In many instances, the designer’s involvement with o&m
does not extend beyond specifying and reviewing the
Engineering systems are an important part of the overall content of o&m manuals for delivery to the client at
construction process and must be practical to install. The handover (see Chapter 15 for UK legislation). The actual
‘buildability’ of the installation (i.e. the extent to which the content of the manual will depend on the specification
design of the building facilitates ease of construction, (usually prepared by the designer). Information should be
subject to the overall requirements for the completed provided to enable building operators to operate buildings
building) and its maintainability should be considered in an energy-efficient manner. Refer to Chapter 5 on
fully by designers when preparing the outline and detailed controls where the importance of the building users’
designs, as improvements are much simpler to implement understanding is also discussed.
at this stage. For example, the equipment should be safely
accessible and special tools or access platforms provided as
necessary to ensure ease of access.
2.6 First-year operation and
It is important that designers ask for and obtain information
on decisions being taken on other constructional elements maintenance
during the design process to ensure that the services design requirements
can be installed. Questions to be asked include:
—— What is the type of structure? In the first year of usage of a new installation it is typical
contractual practice to require installers, as a form of
—— Are holes for services distribution systems to be warranty of their work, to be formally responsible for any
pre-cut or formed in situ? equipment, component or operational defects that may
—— How are items to be suspended from the structure? arise or become apparent. While designers are not directly
implicated in this liability, their professional duty of care
—— What is the permissible floor loading of the plant usually leads to an involvement in some way. This may be
rooms? limited to identifying the true cause of any problem and
—— How is the equipment to be hoisted into position? providing an independent opinion on the apportionment
of responsibility for a defect. In the case of more fundamental
—— Is there a site restraint on dimensions or weight? defects, the designer’s input may entail a review of the
—— What are the delivery times? design itself and, in extreme cases, the recommendation of
design changes.
—— When is the equipment required on site in the
construction process? Details of all such defects should be fed back to the design
—— Are the procurement lead times sufficient? team for formal review. This approach helps designers to
work towards a ‘right first time’ approach and to filter out
Designers need to resolve all these and many other issues at plant, equipment or design features that could lead to
the specification stage. It is also important that the designed potential problems.
and specified installation is robust and will operate under
the variety of conditions likely to be experienced during its It is stressed that the contractual or warranty responsibilities
operational life. for defects in the first 12 months after formal completion
have nothing to do with, and do not include responsibilities
As discussed in section 2.1, the use of collaborative BIM will for, routine maintenance.
assist in the development of designs that, when properly
planned and sequenced, will support improved buildability It should also be noted that the need for maintenance
and will, to a large extent, negate the need to ask some of attention does not lessen because the installation is new.
the questions above.
A possible option for first-year o&m is to enter into a short-
Designers have an obligation during the design process to term (12 month) contract with the installer. This question
consider the methodologies associated with the is more of a contractual than a design nature, but designers
decommissioning and replacement of the installed assets. should be prepared to outline the pros and cons of the
In many cases, this may not be as simple as the reverse of option to the client. Where this course is contemplated, it is
the installation process. In such cases, an asset replacement important for the designer/specifier to arrange for first-year
plan with an associated method statement should be o&m to form part of the actual installation tender; this
developed and included within the health and safety file for ensures true competitiveness for both elements and the
future reference. overall package.
This approach has the advantage that responsibility for —— designers and constructors remaining involved
first-year defects and for routine o&m are vested in the after occupation, during and beyond the defects
same organisation. In addition, there may be advantage to liability period to resolve outstanding issues.
be gained from the knowledge of the installation held by
the installer’s organisation. It is not uncommon, however,
for liaison between the maintenance and installation
divisions of an organisation to be limited so that any Reference
potential benefit may not apply in practice.
US Green Building Council (2009) LEED: Leadership in Energy and
In the event of a defect arising where the first-year o&m Environmental Design (Washington, DC: US Green Building Council)
service is provided by an organisation independent of the
installer, there is scope for the installer to argue that
maintenance attention (or lack of it) was contributory to
the problem. This could be deemed to invalidate the Bibliography
installer’s warranty. For this argument to be acceptable, it
BSI (2010) BS 6626: 2010: Maintenance of Electrical Switchgear and Control
would be necessary to demonstrate that the applied o&m
Gear above 1 kV and up to and including 36 kV: Code of Practice (London:
techniques were not in accordance with the instruction BSI)
manual provided and that the installation suffered damage
as a direct result of this. Conclusive demonstration, one CIBSE (1999) AM 12: Small-scale Combined Heat and Power for Buildings
way or the other, may be difficult. (London: CIBSE)
Designers may suggest to clients that the problems CIBSE (2005) Guide K: Electricity in buildings (London: CIBSE)
associated with defects, operation and familiarisation and
fine tuning of building controls and systems may be lessened HSE (2002) HSG230: Keeping Electrical Switchgear Safe (London: HSE)
by adopting an approach known as soft landings (see
www.bsria.co.uk/services/design/soft-landings/free-guidance/). BSI (2002) BS EN ISO 19011: 2002: Guidelines for Quality and Environmental
Soft landings is a methodology that designers and Management Systems Auditing (London: BSI)
constructors can implement to improve the operational
performance of buildings and provide valuable feedback. BSI (2003) BS 8555: 2003: Environmental Management Systems: Guide to the
Phased Implementation of an Environmental Management System Including
Soft landings involves:
Use of Environmental Performance Evaluation (BSI)
—— achieving greater clarity at the inception and
briefing stages about client needs and required BSI (2004a) BS EN ISO 14001: 2004: Environmental Management Systems:
outcomes Requirements with Guidance for Use (London: BSI)
—— placing greater emphasis on building readiness, by BSI (2004b) BS ISO 14004: 2004: Environmental Management Systems:
designer and constructor having greater General Guidelines on Principles, Systems and Supporting Techniques (London:
involvement during the pre-handover and BSI)
commissioning stages
HSE (1995) Managing Construction for Health and Safety: Construction
—— member of the design team being available during (Design and Management) Regulations 1994 Approved Code of Practice HSE
users’ initial settling-in periods L54 (London: HSE)
Blank page — see over for Appendix 2.A1

Appendix 2.A1: Design guide to maintainable buildings
Development budget
Consider options
Traditional architect-led
Development expertise Building requirement/inception construction team?
Formation of project team including:

• project manager
Speculative building • client representative
or user driven or
• architect
user requirement
• design engineers
• quantity surveyors and consultants
Outline design
brief formulated
Stage 0: Strategic definition* Stage 1: Preparation and brief* Stage 2: Concept design* Stage 3: Developed design*
* RIBA Plan of Work 2013 for project

Drive early in
Engineering services design
design process
1. Feasibility 2. Outline proposals 3. System design
Location of building Minimise services requirement Verify outline proposal report and
Weather/climate Simplify those deemed necessary integrate with all design team members
Air/noise quality required Highlight essential services Ensure facilities representative included
Microclimate for broad assessment of Incorporate changes to feasibility brief (if not previously appointed on design
A/C requirements and possible options team)—challenge design concepts
Future use of building, change of use,
Effect of weather on services equipment service capacity Firm up envisaged maintenance regime,
located outdoors initiate selection of staff/service provider
Plantroom locations
if possible (i.e. management
Electrical/heat/cooling load (estimates) Focus on daylight, max/min temperatures organisation)
Sustainability options/concepts Specific space/weight requirements Design systems to user-agreed
Types of systems and equipment Plantroom/riser sizes specification:
available Services required/specialists? • HV electrical distribution
Possible services (essential) Business systems, IT/telephones etc. • LV system
Reliability/availability requirements Shell and core—fit out? • generators
Associated maintenance requirements Integration of services • UPS system
Cost implications Specific use of floor/spaces • IT power distribution
Services life cycle/building lifespan Lighting and power requirements • lighting systems
Buildability of services Fresh air requirements • lifts/escalators
Adaptability Water system options and consumption • cooling systems
Local issues affecting service designs Control systems for services • heating systems
(e.g. transport/access to site)
Risk analysis/contingencies • water systems/public health
Feedback from previous buildings of
Waste removal/disposal • air systems
same type
Legislation/statutory requirements • acoustic provision
Sick building syndrome considerations
Environmental considerations • handling systems
Highlight/weed out rogue options
Energy categorisation • fuel/energy systems
Consider maintenance resources required
and integrate with user preference (i.e. Access to plant areas and systems • fire systems
on-site/remote, in-house/contracted) Closer investigation of possible services • building management system
Report containing possible options, main Reliability/availability, maintainability • occupant controls?
services requirements, maintenance, Standardisation of services Reconsider possible maintenance
reliability and costs to design team Assist architect in glazing choice implications
Health and safety plan (possible manufacturers/spares) Reconsider:
BIM: format and plan Possible maintenance resource/costs • reliability/availability
Are sufficient skills available to maintain • maintainability
equipment which is deemed necessary? • access
Facilities support on board with • manufacturers/types available
proposals to date?
• availability of spares/services
Environmental impact
• alternatives considered
Alternative options
• compliance of systems with legislation
Keep it simple!
• integration/coordination between
systems and other project disciplines
• identification of plant
Access for maintenance/replacement
O&M documentation requirements
Standardisation of services
Life cycle costing
Early appointment of management commissioning team to test
commissionability of evolving services design Risk assessments/contingencies
Commissionability/retests
Constant feedback to client or known specifier of options, reliability,
maintainability and direct/long-term/alternative costs against service risk Avoid overspecification
Report to design team/client
Continuous awareness to provide an energy efficient, environmentally
Flexibility/growth capacity
considered solution
Energy performance rating
See also Soft Landings and other industry initiatives to support
sustainable/operational buildings
Multidisciplined design/ Design consultant Client and
project team? or contractors? occupier
Operations and maintenance/facilities expertise:

interface communication or member of design team?
Use of building, occupants (number and times), operational culture, workspace use?
How will it be handed over/operated?
What form of O&M documentation will be required?
(Accuracy is important: a poor or loose brief can be disastrous later in project)
Stage 4: Technical design* Stage 5: Construction* Stage 6: Handover and close-out* Stage 7: In use*
4. Detailed design 5. Production information 8. Construction
Review options to date Asset listing Ensure installation is as design drawings

Include feedback from client Assett categorisation to include valves, drain points and access
Detail design/specification of all services Tender/contract information Manufacturers specified are actually used
of system design Specifications Adequate on-site control
Practical application of: Precise O&M documents Commissioning team and facilities/
• reliability Form of handover (guide etc.) operational staff on site to observe
installation process
• maintainability Bill of quantities
Allow adequate time for commissioning
• standby/duplication Work stages/CDM Regulations
Draft O&M documentation handed over
• access/replacement strategy Method of installation
early in construction
• standardisation Commissioning specification and
Year 1: Maintenance contract
• priority assets programme
Maintenance regime/strategy: Expected results of commissioning?
• on site Training requirements and staff available
for training
9. Commissioning
• remote
• in-house O&M regime/format identified Full test of operations to design spec.
• contract Operational and energy regulations Maintainability
Specialist contractors requirement Control and retention of site information All site documentation controlled and
and O&M documents offered at handover
Operational competency required
Operational procedures Facilities team involved with
Legislation and testing possible
Spares requirement commissioning—see it working
Energy Performance in Buildings Directive:
Highlight associated legislation, codes of CBM/vibration techniques used to check
• environmental impact
practice and guides equipment to standards and
• opportunities to utilise renewables specification—baseline/sign-off
Clarify performance service levels
Availability of service Early completion of final handover
Full support of facilities team
Manufacturers/types documentation
Develop service risk management plan
Are components available? 'Stave off' occupation until thoroughly
Identify O&M cost separately
Avoid 'specials' commissioned
Adequate retention specified?
Will design conditions always be met? All defects remedied
Penalties for poor maintenance
How often will they not? What is Facilities team training complete
Complete tender documents
inconvenience/cost? Equipment labelling adequate
Confirmed maintenance
Frequency/convenience of plantroom Energy verification (rating)
access BIM information lockdown
'Design out' problems and excess CAFM system proposal
maintenance 10. Handover
Prefabrication/construction efficiencies
Outline O&M documentation: Legislative items in place
• planned preventive maintenance 6. Tender Maintenance regime in place
• breakdown maintenance O&M/asset information, health and safety
Tender evaluation in place and proven
• corrective maintenance
Presentations to ensure contractors fully Minimal defects to clear
• condition-based maintenance
committed to specification including Building operational risk management
Computerised maintenance required? service level, maintainability, energy and
Isolation points—test facilities environmental requirements
Coordination of services and disciplines
for best overall solutions: BIM/modelling 11. Occupation
Specific service levels identified
BMS 'fine tuned' over 1st year of building
Future expansion
occupation—staged recommissioning
Plant renewal implications 7. Pre-construction
The optimum, energy efficient building
Complete services life costs Method statements to ensure compliance meeting user requirement
Keep it simple! with CDM Regulations and all other Re-check energy/monitor maintenance
Final solutions report to project team requirements strategy
Is client fully aware of what will he/she POE: feedback occupation and
be getting and overall costings? experience, knowledge for benefit
Scope—who will manage, and how? of future projects
Maintenance strategy and techniques 3-1
3 Maintenance strategy and techniques
3.1 Clients’ requirements Summary
and other considerations
The growing importance of the need for building services to operate more efficiently drives
3.2 Maintenance techniques cohesion between the design solution and the O&M of a building. This is underpinned by the
3.3 Service delivery options on-going development of facilities management and the support services sector, which must work
as a combined function to improve the performance of buildings.
3.4 Developing and
implementing an This section provides guidance on setting up a maintenance strategy. It describes maintenance
appropriate strategy techniques and highlights the fact that decisions made during the design of a building impact on the
maintenance strategy and techniques that can be used.
3.5 Selecting the appropriate
delivery model
3.6 Implementation
and performance
management/
improvement
References
Bibliography
Buildings and their associated engineering services play a relevant are mandatory requirements relating to a particular
significant role in an organisation achieving its corporate building, such as tenancy agreements or other conditions
objectives by providing a safe and comfortable working relating to occupancy that may cover the frequency of
environment for building occupants. Their o&m therefore maintenance work or inspection, or the occupant’s
forms a crucial part of the total facilities management responsibilities in the event of assets failing.
responsibility.
The client’s role also extends to ensuring adequate financial
Many organisations are also addressing the impact of their resources and facilities are available for maintenance. This
property on the environment within their commitment to may be in terms of directly employed labour, materials and
corporate social responsibility (CSR). tools or, alternatively, using service providers to provide
the maintenance service. In budgeting for annual costs,
unforeseen extras and breakdowns must be allowed for (e.g.
asset replacement and specialist subcontractors such as lift
3.1 Client requirements and engineers and control engineers).
other considerations When service providers are used, a framework of mutual
trust needs to be established, under which not only does the
service provider demonstrate competence to undertake the
3.1.1 The client’s role specified work, but it also receives assurance that there will
be prompt reimbursement once the obligations are fulfilled.
The most important aspect of the client’s role in
maintenance is to define requirements clearly and to Whether direct labour or service providers are used, the
express these as the management policy. There may be client must be prepared to monitor the work to ensure that
conflicting interests involved when, for example, the it is satisfactory and that value for money is being obtained
occupier is not the client who has responsibility for running (see Chapter 14).
and maintaining the building and its services. The occupier
may have different expectations from the objectives of the
client or even the property owner. In terms of managing the 3.1.2 Maintenance policy
operation, there may be an internal client management
function, or responsibility may be passed to a management The principles with which a client intends to apply asset
agent or direct to a service provider. If quality assurance is management should be set out in a maintenance policy.
to be practised, it is essential to define the maintenance The approach to implementing these principles should be
requirements. Without a rigid specification, the client’s documented in a strategic asset management plan as
needs cannot be understood clearly and there is no measure documented in BS ISO 55000 2014: Asset Management:
against which quality can be judged. Overview, Principles and Terminology (BSI, 2014a).
The detailed maintenance procedures that are required Once issued, the maintenance policy will normally remain
will, in part, be governed by legislation, health and safety fixed until the ownership or use of the building is changed
regulations, codes of practice and advisory literature. Also or there is a significant alteration to the installed engineering
services. The maintenance policy can be considered as the —— likely downtime (repair time as well as the
client’s plan for o&m to provide the necessary environment time required to carry out diagnosis and to
for the occupants within the constraints of the owner’s obtain spares and, where necessary,
objectives and of legal requirements. At the same time, the specialist labour)
policy provides the framework within which the
(c)
requirement for specialist knowledge for
maintenance manager can operate.
maintenance and its availability:
—— specialist versus non-specialist assets
3.1.3 Maintenance strategy
—— local availability of specialist labour and
cost
At the operational level, maintenance strategy is about
improving production economies and the effectiveness of —— local availability of specialist tools and cost
the maintenance organisation. This may require a culture
—— training requirements
change from using traditional approaches such as time-
based activities to maintenance that is linked to essential (d) spares requirement and availability:
assets’ operating conditions and focusing on the business
—— strategic spares—local availability of spare
requirements of the building user and potential
parts, which will impact business
implications of failures.
—— delivery periods
The maintenance strategy for the building needs to be —— cost of spares
addressed at two stages: first within a construction or
refurbishment project and then periodically through the —— obsolescence—the likelihood of spares
operational life of the building, particularly with any availability throughout the life of the assets
change of use or major refit. —— identification and availability of critical
components
3.1.4 Design stage (e) after-sales support from the suppliers of assets and
systems:
‘Designing-out’ maintenance is already happening at asset —— technical support
level, with pumps and motors being maintenance free.
System-level reliability needs to be considered when using —— proximity of the company, agents or
maintenance-free assets. This strategy may have a representatives
significant cost implication, but is far more readily —— financial standing of the supplier
addressed at the design stage than during or after
installation. In practice, manufacturers may claim a (f) standardisation of assets and components to:
component reliability, but it is the overall system reliability —— reduce downtime
that must be considered.
—— minimise stock level of spares
The starting point for a maintenance strategy should always (g) built-in systems for monitoring and feedback of
be at the client’s briefing stage when the operation of the asset status:
building is being defined. This should then be developed
further into a maintenance strategy that the designers —— building management systems
consider when designing the building (see Chapter 2). —— maintenance management systems/
Designers must evaluate the maintenance requirements of computer aided facilities management
different design options. They should also consider the (cafm) systems.
extent to which maintenance can be ‘designed out’ and how
support systems can be built into the installation to —— condition monitoring equipment
facilitate efficient and cost-effective o&m. —— online monitoring
Some key issues that need consideration are: —— web-based technology

(h) designing out maintenance:
(a) positioning and sizing of plant rooms and access to
assets: —— components requiring no maintenance
—— human, vehicular and materials traffic —— reduce failure consequence by distributing
risk (e.g. duplicate services; ready access for
—— access for operation, maintenance, alternative power sources N+1 etc)
refurbishment and replacement/disposal
—— increased mean time between failure
—— storage
(i) ease of maintenance:
(b) asset reliability, availability and the provision of —— accessibility
redundant systems:
—— simplicity
—— user requirements for asset availability
—— established versus new technology
—— reliability of the systems, assets and
components (j) project information
—— BIM
—— care/consideration of the impact of
oversizing assets for cost and inefficiency —— maintenance strategy
—— o&m and maintenance management system —— safeguarding assets.

—— construction design and management
(CDM), health and safety file and building Once the level of o&m required to satisfy the company
log book objectives is understood, it is the responsibility of the
operational management to:
(k) health and safety
—— access for maintenance —— carry out risk assessments to shape the maintenance
approach (see Chapter 10)
—— impact of failure on health and safety.
—— establish the health and safety policy (e.g. level of
It is not normally possible to reduce these factors to a action to achieve the company objectives for health
common denominator such as a monetary equivalent. The and safety, allocation of responsibilities and
decision as to the best design solution to fit maintenance establishing action plans)
and other organisational needs is often a subjective
judgement based on a comparison between qualitative and —— establish the o&m policy (e.g. level of planned
quantitative aspects. versus corrective maintenance, run to failure and
condition monitoring)
3.1.5 Building operation stage —— develop information systems for o&m (such as
method of record keeping e.g which cafm system is
The extent to which a particular type of asset needs to be to be utilised, location of archiving both electronic
maintained can be different from one installation to data and paper records; nature of records to be kept
another. Apart from statutory requirements (e.g. the such as asset registers and planned maintenance log
frequency and nature of competent person examinations), books, backups of software setups; and
maintenance tasks and frequencies need to be selected to responsibilities for maintaining records); PAS
suit the needs of the particular asset. For example, a heavily 1192-3: Specification for Information Management for
loaded electrical installation may need to be inspected, the Operational Phase of Assets Using Building
tested and maintained more frequently than a similar Information Modelling (BSI, 2014b) would be a good
installation that is lightly loaded (see Chapter 11). reference document to consult before setting up an
information management system
Industry-standard maintenance schedules and
manufacturer’s instructions for maintenance usually —— procure and manage o&m activities (e.g. in-house;
specify generic maintenance requirements based on most outsourcing, such as term contracts, lump-sum
likely operational conditions and, these should be reviewed contracts or facilities management contracts; mix
to suit local requirements. BSRIA publication BG54/2014: between in-house and external resources, including
Business-focused maintenance (Harris and Pearson, 2014) bundling of contracts and total facilities
provides guidance on how this can be done. management (TFM) arrangements)
—— set and monitor performance through key

The performance of building services is important to the performance indicators (KPIs) and service level
operation of an organisation. Senior management has the agreements (SLAs) to targets determined by senior
responsibility for setting the strategy for issues concerning management (e.g. cost, asset availability, response
o&m of building services that affect the organisation’s
times) (see BS EN 15341: 2007: Maintenance.
corporate objectives. This involves deciding: Maintenance key performance indicators (BSI, 2007))
—— the level of risk the organisation is willing to
tolerate: e.g. financial, business loss, health and —— set budgets (allocating finance to each function)
safety, employee satisfaction
—— ensure effective operations and link to business
—— method of resourcing maintenance: e.g. in-house, continuity requirements
outsourced, mixed
—— monitor performance regularly by auditing and
—— budgets: e.g. level of finance available for encouraging a culture of continual improvement
maintenance, financial targets (see Chapter 13)
—— benchmarks: cost targets, performance targets.
—— organise improvements or changes to suit evolving
The maintenance strategy needs to establish the level of business needs.
o&m needed to match the expectations of the organisation.
Key criteria that need consideration include: Those given responsibility to ‘facilitate’ the delivery of
maintenance would benefit from some level of knowledge
—— compliance with the requirements of legislation of engineering, otherwise support will be required to ensure
and authoritative bodies delivery of an effective service.
—— meeting the health and safety needs of the building
users and those who operate and maintain the assets
—— ensuring the function, reliability and availability of
assets and equipment that are critical to the 3.2 Maintenance techniques
organisations’ objectives
There are a range of approaches that can be adopted to suit
—— optimising the utilisation of resources
the need of buildings and associated engineering services to
—— satisfying other key objectives of the organisation ensure satisfactory and safe operation.
3.2.1 Typical range of maintenance improve the reliability and availability of equipment by
tailoring the maintenance task to reduce the likelihood of
services failure occurring. In RCM a failure modes, effects and
criticality analysis (FMECA) is undertaken. This involves
An example of the range of services carried out by a direct
establishing what function the equipment is providing and
labour organisation or maintenance service provider is set
the consequences of any failure, from which a criticality
out below; additions may be appropriate to meet particular
level is established. The process identifies the failure modes
requirements.
that can occur (often concentrating on the key failure
(a) Routine inspection and maintenance of engineering modes only) and then establishes maintenance tasks and
assets is where inspection is used to check for frequency to reduce the likelihood of that failure occurring.
conformity by measuring, observing, testing or The approach can be used to establish the most cost-
gauging the relevant characteristics of an asset. effective tasks to minimise the likelihood of a particular
failure occurring. An alternative guide with failure modes
(b) Management of safety based on risk assessment.
already identified in a building services context is set out in
(c) Monitoring of water quality and legionellosis BSRIA BG 54/2014: Business-focused Maintenance (Harris
control. and Pearson, 2014).
(d) First-line response to emergencies, troubleshooting
and pre-agreed critical alarms. Tailoring planned preventative maintenance tasks and
frequencies on the likelihood and consequences of failure
(e) Ensuring compliance with statutory requirements of the asset is referred to most commonly in the UK as
for services installations. business-focused maintenance (BFM). Using the BFM
methodology, assets and their maintenance tasks are
(f) Purchase of engineering assets and equipment
prioritised according to the core business activities, taking
(consumable spares and materials, client-requested
into account business risk, resilience and performance of
items, replacement of minor and major assets).
the installed assets to ensure the function of the business is
(g) Installation of engineering assets and equipment supported within the resources made available.
(minor items including response to client requests
and major capital assets). ‘Run to failure’ is a maintenance decision that can be made
(h) Energy management by: following a BFM review where the consequences are such
that assets can be safely and cost-effectively run to
—— ensuring efficient asset operation destruction without serious loss of service and risk of
—— purchase and storage of fuel (where failing to comply with statutory requirements, but also
appropriate). taking into consideration cost and resource requirements
to replace rather than maintain.
(i) Supervision and control of specialist service providers.
(j) Whole-life planning, including a forward In an unplanned maintenance environment, maintenance
maintenance plan. is carried out in response to a problem; this is called reactive
maintenance. This is maintenance carried out after fault
recognition and is intended to put an asset into a state in
3.2.2 Types of maintenance which it can perform the required function. In this
environment assets may deteriorate more quickly than
Maintenance can be divided into two broad categories: expected.
planned and unplanned.
Whichever overall maintenance technique is adopted, it is
Maintenance is organised and controlled and follows a likely to consist of a mixture of these methods. It needs to
recognisable procedure when it has planned preventative start with an assessment of what is effective and be followed
maintenance scheduled. This is maintenance carried out at by a decision as to what is desirable, as well as a consideration
predetermined intervals or according to prescribed criteria of the resources available in terms of labour, materials and
and intended to reduce the probability of failure or the facilities; together, these should provide a rational basis for
degradation of the functioning of an item. Under this preparing a programme of maintenance.
scheme, backlog maintenance should be monitored.
Backlog maintenance is a term used to describe planned
preventative maintenance tasks that have not been 3.2.3 Control of maintenance
completed to schedule (see sections 11.6 and 11.7) but are
required to bring the condition of a maintainable asset up (See also chapters 4, 10 and 13.)
to an acceptable level of performance.
Controlling o&m is an on-going activity. It is the process of
In a planned maintenance environment, condition-based continually monitoring the maintenance system and its
maintenance is utilised. This is preventative maintenance performance against pre-set goals, and reporting the
based upon performance and/or parameter monitoring of performance to those responsible for managing these
the asset elements. For example, changing filters in air functions. Where performance fails to achieve set targets,
handling units (AHUs) only when the airflow has reduced to changes to the maintenance regime should be made to
a set level rather than just replace on a schedule. correct any deviations. Alternatively, where failure is
consistent, the targets themselves may be unrealistic or
In a planned maintenance environment, reliability-centred unattainable and may need to be reviewed and changed. In
maintenance (RCM) may be introduced. This is a popular addition to routine and specialist maintenance, adequate
technique used for critical facilities that have large numbers consideration must be made for maintenance to ensure
of the same assets, such as factories. It uses failure data to compliance with statutory requirements.
A quality management system for the maintenance function maintenance frequencies continually to achieve an
will define roles and responsibilities and establish optimum or more cost-effective regime.
procedures and reporting formats, thereby helping to
ensure consistent and effective control. It should be noted, however, that where it is apparent that a
manufacturer’s maintenance instructions have not been
Controlling maintenance usually requires two levels followed, this may be claimed to invalidate equipment
of audit: warranties or guarantees. In the event of a premature failure
of a product, therefore, evidence of compliance with the
—— A system audit to check the detailed formal manufacturer’s instructions may be an important
procedures that constitute the maintenance regime consideration.
(e.g. planned maintenance, record keeping and
managerial procedures) and assurance of delivery
performance on-site to ensure that they satisfy legal 3.2.7 ‘Standard’ maintenance
requirements and company objectives. frequencies
—— A performance audit to monitor the performance of
the maintenance regime against set benchmarks Maintenance frequencies are, for convenience, generally
(e.g. cost targets, response times, asset downtime based on calendar increments (e.g. daily, weekly,
and quality of records). fortnightly, monthly, quarterly, six-monthly, annually and
multiples of years). In some instances, the selection of a
frequency for a particular maintenance function is fairly
3.2.4 Maintenance frequencies arbitrary, while, for other applications, extensive statistical
data may be available.
The purpose of regular maintenance of assets, equipment
and services is to sustain their operating efficiency and to The important consideration is that a frequency must be
prolong their economic life. appropriate to the specific application and take account of
all relevant conditions of the usage.
Servicing will incur labour costs and require the provision
of materials such as consumables (e.g. lubricants) or With assets where the operational duty is predominantly
replacement components. The life cycle cost for serviced seasonal (e.g. heating boilers), major servicing requirements
assets (see Chapter 12) will therefore comprise its initial should be scheduled to ensure no interference with
capital cost, any replacement costs and its service costs over availability of the assets when they are most required.
its complete life. There will be an optimum situation where
these cost components combine to offer a minimum life The most popular approach to ‘standard’ maintenance
cycle cost for the assets. frequencies is the industry-recognised maintenance tasks
in SFG20 published by B&ES (www.sfg20.co.uk). B&ES
collaborate with building services industry professionals
3.2.5 Statutory inspection and the tasks are updated regularly; the most comprehensive
frequencies update was in 2013 prior to the launch of the tasks as a web-
based subscription service. The maintenance frequencies
The inspection frequencies for assets and systems where should be appropriate for a wide range of applications and
condition and fitness for purpose are critical in terms of the are a recognised basis for developing building services
health and safety of users (e.g. lift installations, lifting maintenance programmes.
equipment, pressure vessels, electrical installations) are
controlled by statutory legislation such as that relating to
health and safety (see Chapter 15). In the majority of cases,
3.2.8 Condition-based maintenance
the frequency is based on a risk assessment of the particular (CBM)
asset and system related to condition and use and is
undertaken by a competent person. Failure to have These standard frequencies can be tailored by introducing
undertaken appropriate inspections and have the relevant CBM, which initiates a maintenance task by monitoring the
records available could expose the building operator to condition of assets rather than following a set schedule.
action by the Health and Safety Executive. This is increasingly used within building services, as the
monitoring systems have become more cost effective and
clients have become more demanding in terms of asset
3.2.6 Manufacturer reliability. The principle is that key failure (or degradation)
recommendations mechanisms are identified and monitored. Any
deterioration is measured and when it passes a threshold
Manufacturers of assets usually publish maintenance level, maintenance action is initiated to return the item to a
guidance or instructions for issue with their products. This good operating condition.
documentation comprises details of the service or
maintenance attention required together with a Various techniques are available including: visual
recommended frequency of attention. inspections; thermography; oil-wear analysis; ferrography
(a technique for analysing the particles present in fluids
that indicate mechanical wear); temperature; pressure;
In general, manufacturers’ maintenance recommendations
speed; flow monitoring; vibration analysis; acoustics;
are standard lists compiled with no knowledge of the
bearing shock measurement; voltage; current; power and
particular application of the product. For this reason, these
frequency monitoring. The type of asset that justifies
instructions tend to err on the safe side and the maintenance
condition monitoring is typically:
frequencies quoted are often generous. In applying
manufacturers’ recommendations, it is prudent to review —— expensive to maintain
—— expensive to replace if run to failure In some cases, reasons will exist for adopting a combination
of these options.
—— difficult to access for maintenance
—— failure could lead to high consequential costs
Table 3.1 provides a pros and cons comparison between
—— failure could lead to an unacceptable situation service provision by contracted-in labour and directly
(creating a safety hazard or causing an essential employed labour.
building function, such as data processing, to cease
to operate)
As the size of building or property estate increases, so does
—— critical to the overall building operation. the justification for employing a specialist to be responsible
for maintaining the engineering services. Directly
employed labour and maintenance service providers may
sublet work on specialist equipment where they have
3.3 Service delivery options insufficiently detailed expertise.
Maintenance of engineering assets and services within

buildings has traditionally been carried out in a variety of
ways, by a variety of service providers. For buildings with
relatively simple engineering services, for example, small
3.4 Developing and
shops and commercial offices, small schools and industrial implementing an
units, the building operator may view the services
installations in much the same way as those for domestic
appropriate strategy
premises. Basic routine maintenance may be done to meet
statutory requirements with assets and equipment being left
until they break down, on the assumption that adequate 3.4.1 Overview
resources can be called on for action when such an event
occurs. Typical service providers are utility supply companies
or local service providers offering a similar service. o&m is of strategic importance over the life of a building
and should be considered at design stage and initial
Large organisations, such as local authorities, may have operational phase and reviewed at key milestones thereafter.
some form of formal or informal agreement with local or The maintenance policy, strategy and specific delivery
national service providers to respond to such breakdown adopted will be dependent on the organisation and its core
situations at agreed labour rates. Supervision of such work function and specific requirements of the business and
may be by an individual or organisation specifically building services systems installed within a building or
appointed for this purpose by the building operator or the portfolio of sites.
local manager of the property or at the discretion of the
appointed service provider. Key drivers and risks for both the organisation and
maintenance strategy need to be considered strategically
A second option is to make a more formal arrangement for and operationally in financial terms and with regard to
a particular property with service providers. Examples statutory compliance. As always, probability and impact
could be a service and maintenance agreement for gas-fired should be the basis of evaluation, with the growing
equipment or regular testing of the electrical installation; importance of the impact that associated consequences can
such services will be offered by a range of service providers. have on reputation.
A third option is to employ directly a maintenance labour

force that routinely inspects and maintains all the Whilst purely time-based planned preventative
engineering services. For building operators with small- to maintenance (PPM) and ‘run to failure’ regimes may have
medium-sized property, the cost of employing such their place, forward-thinking organisations will have a
personnel cannot usually be justified. Where such staff much more dynamic approach to maintenance strategy to
members are employed, they would probably be expected ensure both effective operations and optimised use of
to carry out additional tasks, such as portering and message resources over the life of a building.
services or waste disposal. They may be regarded as ‘general
handymen’, able to deal with routine problems but calling
on specialist advice when non-routine problems occur. 3.4.2 Building priorities
In larger buildings, such as major office complexes,
shopping centres, hospitals and hotels, where there can be Across a large portfolio, for example 100–500 buildings, an
a variety of engineering assets and services, some perhaps organisation may need to categorise each building or site in
providing essential services, a more formal maintenance terms of type, size or function; for example, offices, factories,
structure needs to be adopted. The principal options are: public-facing buildings (courts, airports, stations, hospitals)
or specialised sites, such as laboratories, data centres or
—— use directly employed labour processing plant, etc. Sites can be categorised in this way to
—— let the work to a service provider allow decisions to be taken on where resources are utilised
first. They can be ranked in terms of risk to the business—
—— combine the above with subcontracts let for either reputational, financial, for health and safety or in any
specialist equipment and services such as fire other category particular to the business. An example of
alarms, chiller plant and water treatment. categorisation is provided in Table 3.2.
Table 3.1 Comparison between contract and directly employed service provision
Service Pros Cons
Contract Flexible service provided Monitoring by client may be necessary

Workforce available immediately to respond to problems Short-term contracts may not inspire full commitment to the client
Large workforce to call on potentially available to get work
done faster
Workforce has skills and experience supported as it is their
core business
Workforce does not have to be reduced in size after major jobs
Versatile workforce; can handle many types of jobs
Special tools and equipment are provided and shared across
the company
Can offer performance guarantees
Productivity may be measured
Can provide asset replacement guarantees or extended
warranties
Direct labour Workforce more familiar with assets and equipment Breakdowns or other emergencies may delay other work
Workforce may not have specific skills (but can hire specialists In-house supervision/management will be required
in) to tackle complicated jobs
Difficult to recruit and make redundant roles, as workload
Potential for greater accountability fluctuates
Greater control of finances Additional or specialist tools need to be provided when required
Responsibility to provide training and career path to this support
team, which is not relevant to core business of the employing
organisation
May not be possible to measure productivity
Table 3.2 Example categorisations —— Priority 1—Statutory maintenance: Legal health

and safety requirements e.g. fire and life safety,
Category A Top priority site: Significant impact to the organisation as electrical testing and inspection, lifts, water
a whole if a building was out of action for more than a few hygiene, asbestos management, etc.
hours to one day or experienced any loss to critical services
(severe reputational damage, security implications or —— Priority 2—Essential maintenance: More than just
inability to complete core business function with no statutory maintenance, this is specific maintenance
backup facility available). that is essential to ensure the building and its core
Category B Core building: Required to function as part of core function and processes operate (e.g. train station,
business function. May contain some critical areas and hospital, laboratory, theatre, call centre).
building services, but could be duplicated in one or more
other sites (could sustain loss of services/building for up to —— Priority 3—Discretionary maintenance: Planned
one month). maintenance intended to increase asset reliability,
Category C Remainder of portfolio: Buildings can be replicated guard against risk and minimise impact of failure.
elsewhere; loss of building and/or services would have Investment in this level of maintenance should be
limited impact on core service function, which could be subject to financial review and could include energy
managed by business continuity plans until the building and efficiency initiatives. The level of activity
was reinstated. would be variable dependent on priority of need
and may be adjusted dependent on budget
restrictions. However, plans would have risk and
impact factors so that organisations can understand
In practice, organisations may decide to have more impact of budget cuts to service.
categories and may even categorise different areas within a
single building or site depending on what is appropriate for
their needs. This could also be introduced to rate specific 3.4.4 Life cycle considerations
building services systems or incidents that would affect the
operation of the building. In developing the maintenance strategy, consideration
must be given to a rolling maintenance replacement
programme. There should be a planned approach, using
3.4.3 Maintenance priorities information from Chapter 12, to replace larger components
and elements of building services systems over a five-year
When developing the strategy further, each group of programme as their performance and the costs required to
buildings, and then particular sites, would be evaluated to keep them in service incrementally increase.
assess prospective requirements for effective o&m. Leading
organisations would base maintenance requirements and This links to the operational maintenance strategy and will
future resourcing on the following best practice. be influenced and reviewed based on changes to planned
maintenance activities, operation times, loading, energy asset, there may be scope for an increase in the intervals
strategy and improvement initiatives together with incident between maintenance.
failures and trends reviewed periodically from maintenance
management or cafm system. Generally, marginal increases in maintenance frequencies
can be made with reasonable confidence and, with a large-
Depending on the industry sector they are used in, these scale operation, can result in worthwhile savings on labour.
programmes may be referred to as five-year rolling Confidence in significant extensions of maintenance
maintenance programmes, capital asset replacement plans, intervals requires supporting considerations, which may
strategic maintenance programmes or long-term take the form of condition monitoring or wide-ranging,
maintenance programmes. Further supportive guidance long-term records of maintenance experience with similar
can be found in BS 8544: 2013: Guide for life cycle costing of assets and equipment.
maintenance during the in use phases of buildings (BSI, 2013)
and NRM3: RICS New Rules of Measurement (RICS, 2014). In reality, due to operational drivers, such as incidents,
reactive requirements and workload changes, maintenance
With a robust plan in place, the operator or FM can have activities may not always be able to be arranged and
meaningful discussions with the finance team within the completed to timescales. This could have a knock-on effect
organisation about requirements and budget projections, overall, but will be of varying importance depending on the
so informed decisions can be made on funding and equipment. The concept of ‘float’ can be used in the
associated impact and the resulting resources needed over maintenance process to address this issue. Float allows a
the planned term. task’s due date to move within set boundaries. Standard
float allowances can be considered based upon risk and can,
in many cases, be addressed simply by the application of a
3.4.5 Specific requirements table similar to the example shown in Table 3.3.
Buildings will have specific occupiers and core services that Whilst ‘standard’ float allowance can be levied on routine
drive the priority for building services and the on-going planned preventative maintenance, the same cannot be said
maintenance strategy, be they an office, factory or data for statutory maintenance tasks, where failure to undertake
centre. These aspects must be considered when developing such maintenance activity will result in increased risk and/
the appropriate maintenance strategy. or legislative infringement.
Non-suppressed tasks are defined as those tasks that are

totally independent of any other task, whilst suppressed
3.5 Selecting the appropriate tasks are linked in series, i.e. a six-monthly task will
suppress a quarterly task, a quarterly task will suppress a
delivery model monthly task, etc. In simple terms, these tasks will never
occur together at the same point in time.
Part of the strategy will include the delivery model for the
building or property portfolio. The specifics will depend on The concept of ‘float’ could be negative for statutory tasks,
individual requirements of buildings, assets and level of thus ensuring that risk of late delivery could be effectively
specialist skills required and will be part of the overall mitigated. If negative ‘float’ is adopted, it is important,
facilities management model. This could include single/ especially for statutory tasks, that the due date for the same
bundled services, in-house or outsourced services or a activity in the next period is adjusted (rolled back) to
blend of both, or total facilities management services, account for any early delivery. ‘Float’ should be considered
which would include engineering as part of the hard as a delivery window within which the maintenance task
services offering. must be undertaken.
Once the strategy is developed, resourcing costs must relate Example:

to the maintenance service being provided and its frequency.
Labour cost implications will probably have the most Standard monthly maintenance activity
significant long-term influence. For further information Due date = 18 June
see Chapter 4 on maintenance contracts. Float = +ve 1 week
Latest target delivery date = 25 June
3.5.1 Adjustment of maintenance Note: This task can be delivered at any time during
frequencies the delivery window between 18 June and 2 July;
next task due 18 July.
Whilst optimisation of on-going performance against risk Statutory monthly maintenance activity
is the key, changing the frequency of individual maintenance
Due date = 18 June
visits may be impractical on a site that is serviced by a
Float = –ve 1 week
mobile engineer due to the logistics of organising the
Earliest target delivery date = 11 June
labour resource. However, maintenance frequencies should
be kept under review. Note: This task can be delivered at any time during
the delivery window between 11 June and 18 June;
If, for example, there were frequent failures of a particular next task due actual delivery date plus one month.
component or mechanism, it may be necessary to review
the maintenance frequency and task being undertaken. When applying ‘float’ on a camm or cafm system, the
Conversely, where there is no loss of performance responsible manager must be mindful of the impact of the
efficiency of a particular mechanism, or little use of the potential risk of over-maintenance of an asset. Where a
Table 3.3 Standard planned maintenance ‘float’ allowances

Period Suppressed task Non-suppressed task
Daily (Not recommended: do not use) Complete on the exact day
Weekly (Not recommended: do not use) Complete within the calendar week
Monthly Complete within the calendar month: one week’s float Complete within the calendar month: one week’s float
Quarterly Complete within the calendar month: two weeks’ float Complete within the calendar month: two weeks’ float
Half yearly Complete within the calendar month: three weeks’ float Complete within the calendar month: three weeks’ float
Yearly Complete within the calendar month: four weeks’ float Complete within the calendar month: four weeks’ float
Two yearly Complete within the calendar month: four weeks’ float Complete within the calendar year: eight weeks’ float
Three yearly Complete within the calendar month: four weeks’ float Complete within the calendar year: eight weeks’ float
Four yearly Complete within the calendar month: four weeks’ float Complete within the calendar year: eight weeks’ float
Five yearly Complete within the calendar month: four weeks’ float Complete within the calendar year: eight weeks’ float
Ten yearly Complete within the calendar month: four weeks’ float Complete within the calendar year: eight weeks’ float
yearly task, for example, is performed in week three and the channel for discussion, monitoring and delivering
following week a new monthly task is activated by the improvement to the maintenance services.
system, there is a risk of over-maintenance. Consideration
must therefore be given to the minimum period between
tasks, i.e. a monthly task should have minimum three-week
gap between its delivery date and that of the subsequent References
annual task.
BSI (2007) BS EN 15341: 2007: Maintenance. Maintenance Key Performance
Indicators (London: BSI)
3.6 Implementation and BSI (2013) BS 8544: 2013: Guide for Life Cycle Costing of Maintenance
performance During the In Use Phases of Buildings (London: BSI)
management/ BSI (2014a) BS ISO 55000: 2014: Asset Management: Overview,

Principles and Terminology (London: BSI)
improvement
BSI (2014b) PAS 1192-3: 2014: Specification for Information Management for
Once the strategy, delivery model and programme have the Operational Phase of Assets Using Building Information Modelling
been agreed, the effective mobilisation and management of (London: BSI)
the maintenance is essential to make the building services
work effectively. Once bedded in, on-going management, Harris J and Pearson C (2014) BSRIA BG54/2014: Business-focused
performance assessment and audits are some of the tools Maintenance (Bracknell: BSRIA)
that will enable the FM and building services engineer to
improve continually the building operation in terms of RICS (2014) NRM3: RICS New Rules of Measurement: Order of Cost
service, reliability and cost. Estimating and Cost Planning for Building Maintenance Works (London:
RICS)
Benchmarking and innovation through use of technology
are additional areas that can be utilised for system and
service improvement under a continuous improvement
cycle of: plan–do–check–act. Bibliography
BSRIA (2009) BG/2009: Design Framework for Building Services (2nd
3.6.1 Monitoring edition) (Bracknell: BSRIA)
Audits (see Chapter 13) are important to quality assure the HMSO (1989) Electricity at Work Regulations 1989 (London: HMSO)
process and ensure effective maintenance is achieved on
site. HSE (2007) Managing Health and Safety in Construction (London: HSE)
Management of services through information systems e.g. TSO (1974) Health and Safety at Work etc. Act 1974 (London: TSO)
cafm, bms or other monitoring systems provides effective
feedback. Customer feedback and regular performance TSO (2007) The Construction (Design and Management) Regulations
management meetings with all parties provide a regular 2007 Statutory Instrument 2007 No. 320 (London: TSO)
Maintenance contracts 4-1
4 Maintenance contracts
4.1 Procurement methods Summary
and procedures
In this chapter, guidance is given on the different types of contracts that can be implemented for
4.2 Contract selection maintenance, and a comparison of various standard forms of contracts that can be used is provided.
4.3 Tender and contract The procurement process is discussed from prequalification to mobilsation including reminders
formation around key legislation based on UK law such as The Sale of Goods Act 1979 and Unfair Contract Terms
4.4 Documentation Act 1977.
4.5 Contract mobilisation
References
4.1 Procurement methods In selecting which of these procurement methods to

include, a client will have to consider a number of factors,
and procedures including the:
—— client’s own in-house capabilities
Various factors surround the selection of procurement
process and type of contract. It is essential that a client —— future property/estate strategy
spends adequate time reviewing how maintenance is
currently carried out and considering what options are —— level of funding available
available to give the best possible outcome before starting —— type and nature of the assets that require
the process. maintaining.
Private sector clients have a great deal more flexibility in

4.1.1.1 Service level agreements
procurement than public-sector clients, however the
objective for both should be the same—to obtain best value
This type of contract can include input or output service
for money. Public sector clients are usually subject to
options. Input service contracts are based on a series of
compliance with EU procurement rules, which bring their
defined tasks to be carried out at certain frequencies.
own constraints, however some features are common to all
Output contracts are based on a series of performance
procurement processes.
standards that must be achieved, for example space
temperature will be between 21 °C and 23 °C during all
The choice of which procurement process to follow will hours of occupancy. The client specifies the required
usually be a balance between the available time and needs standards and the service provider then has the flexibility
of the client and level of risk and complexity involved in to choose an appropriate method of achieving them.
performing the resultant contract.
4.1.1.2 Labour only

4.1.1 Procurement methods
A client may wish to avoid the complication of employing
A variety of commonly used procurement methods have staff directly; under this type of contract the provision of
evolved over the years. These include: labour, including the skills and expertise required, is the
responsibility of the service provider. This may extend to
—— service level agreements site supervision, but the client is responsible for direction,
—— labour only supervision and control of the maintenance workforce.
—— inspection and maintenance A subset of this type of arrangement is also referred to as a

daywork term contract, where the service provider is paid
—— planned preventative maintenance based on agreed rates for labour and material on a cost-
—— caretaker maintenance plus-percentage-fee basis. This method should only be
used where a task cannot be identified and scheduled in
—— measured advance, as it is often more expensive than other options.
—— fully comprehensive
4.1.1.3 Inspection and maintenance
—— semi comprehensive
—— call-out only A large number of contracts with specialist service providers
are of this type. For a fixed sum, the service provider will
—— specialist services. visit a site and look at the item of plant to confirm if it is
working correctly. If the plant is capable of having any and measurement process can equal the cost of the
maintenance carried out on it (such as topping up oil, filters measured work.
checked, etc), this is also completed, possibly with materials
charged as additional costs. Any work of a more specific A subset of this type of arrangement is referred to as a
nature or any repair will have an extra cost associated with ‘measured term contract’, which can be used to procure
it. Thus for, say, £1000 per year, a chiller specialist may visit maintenance activities that are individually priced based
a site four times to check that the chiller is operating and is on a schedule of rates. Industry-standard schedules of rates
performing as expected. Additional costs arising out of are published by a number of organisations, however it is
these inspections (e.g. subsequent repair work) can easily possible to develop a bespoke schedule of rates to cover
double the basic cost. non-standard maintenance activities.
The choice of service provider should be heavily influenced

by their experience and familiarity with the specific plant. 4.1.1.7 Fully comprehensive
Specialist plant manufacturers may be the most suitable
supplier of this service, as they will have access to spares A fully comprehensive contract covers the supply of labour,
and knowledge of the expected operational performance. materials and any other necessary resources to manage the
maintenance of the building services plant over an agreed
period. Should plant items fail under such an agreement,
4.1.1.4 Planned preventative maintenance they will be repaired or replaced as deemed appropriate by
the service provider, at no additional cost to the client.
Planned preventative maintenance (PPM) entails the service
provider carrying out maintenance tasks to an agreed plan A fully comprehensive contract needs an appropriate
or programme with the intention that its proper completion duration to ensure that the premiums taken for full plant
will minimise the risk of loss of service from the plant and replacement risk are likely to be called upon. To have a
optimise its economic life. The detailed maintenance tasks five-year plant replacement contract would appear to be
may form part of the tender documentation or be provided more of an insurance than a business-based plan. A five-
by the service provider within its tender return. Both tend year, fully comprehensive contract placed on a 15-year-old
to be unrelated to a specific manufacturer of plant or building would be a high risk to the service provider, since
installed systems. The maintenance tasks should be site- at least some of the capital plant is likely to need replacing
and usage-specific. during the contract period. Also, it may not be possible for
the true condition of plant and systems to be determined
4.1.1.5 Caretaker maintenance before the price is agreed. This could lead to conflict
regarding the basis of the contract, particularly where the
Caretaker maintenance, sometimes referred to as ‘a actual requirements for plant replacement significantly
watching brief ’ when applied to installations in unoccupied exceed what may have been viewed as a reasonable
buildings, is an undervalued and widely interpreted service. competitive estimate.
In an empty building there is value in looking after the 4.1.1.8 Semi comprehensive
building services in such a way that they will work and can
be readily re-commissioned when the building becomes This is a variant of the fully comprehensive agreement that
occupied. The building insurer may also require that limits the liability of the service provider. For example,
selected systems, such as fire detection and protection, are cover may include replacement of component parts up to a
active and maintained to minimise the risk. Over long stated unit value (e.g. £1000) but exclude complete systems
periods, because water is not being drawn off, it may and major plant items (such as heating, boiler plant, air
become a breeding ground for bacteria, or water traps in conditioning and chiller plant).
drainage systems may dry out and release foul fumes into
the space. The health and safety of security staff who may For both types of comprehensive cover, there should not
be resident in the building for 24 hours per day, and of necessarily be a presumption that comprehensive includes
visiting surveyors and purchasers, may need to be replacement and not just repair.
considered, not just regarding drinking water but also
emergency lighting and the maintenance of passenger lifts.
Some plant may be suitable for mothballing (see B&SE 4.1.1.9 Call-out only
guide SFG30 (B&SE, 2007) where the systems may be
decommissioned or treated to minimise deterioration. It The service provider provides an agreed response service
should not be assumed that an unoccupied building (e.g. to attend to the site and repair or make safe within four
requires no maintenance. hours). The actual cost of attendance plus materials will be
charged at an agreed rate when used. There may be a
minimum attendance time charged or a retainer cost for
4.1.1.6 Measured making this facility available.
Measured contracts for maintenance are not very common
due to the difficulty and cost of measuring the work. The 4.1.1.10 Specialist services
measure may be by completion of tasks or, more often, by
hours worked and materials used. A measured contract Lifts, escalators, complex automatic controls, major
could be the best way of starting a maintenance regime in refrigeration plant, fire alarm systems, security systems,
a badly run down building in order to direct effort and cost uninterruptible power supplies and water treatment are all
most effectively. Once the installation has been assessed examples of specialist services within building services
and brought to a known level of repair, a more traditional maintenance where particular expertise is required. This
type of contract can be applied. The cost of the direction may be obtained through the main maintenance service
provider who arranges subcontracts and incorporates their —— site visits

costs into the charge to the client, or the client may appoint
—— tenderer clarifications
the specialist service provider directly.
—— tender opening procedure
The above descriptions can be regarded as the typical
—— tender evaluation
procurement arrangements found in relation to the building
services maintenance. However there can be many —— interviews
variations to them, with differing combinations of work
and financial arrangements. For example, a service level —— recommendation
agreement may be a part of a comprehensive contract. —— debriefing and contract award
—— contract preparation and signature
4.1.2 Procurement procedures —— start-up, site familiarisation and mobilisation.
These can basically be classified as either informal or In addition, most public-sector clients have to comply with
formal procedures and the choice between them can be EU procurement directives that set out the legal framework
made based on a combination of factors including estimated for public procurement (see section 4.1.5).
contract value, level of risk and/or complexity of the
contract, as mentioned above. Most public-sector clients
are legally required to comply with EU procurement rules, 4.1.4.1 Prequalification
therefore a section on this subject has been included.
Prequalification is a process intended to ensure that
tenderers are capable, suitable and competent to provide
4.1.3 Informal procedures the works or services for which they are being contracted.
This type of procedure involves merely obtaining quotes The client prepares a prequalification questionnaire and
from either one or a selection of possible service providers. issues it to prospective tenderers. The client can select
It is usual for the client to invite the service provider to companies either from their own knowledge of the industry
attend a meeting that involves discussing the client’s or by placing an advert in the press asking prospective
requirements, providing any relevant information tenderers to express an interest in the contract opportunity.
regarding the assets and showing the service provider the
assets themselves. The client can tailor a prequalification questionnaire to suit
its own needs and the needs of the contract. It is important
Based on this meeting, the service provider will submit a to make sure that the prequalification requirements are in
price and possibly a method statement to the client, which proportion to the value/level of risk in the contract. If the
explains what they intend to do. The client then will decide requirements are too complex for the value of contract
to whom to award the contract, primarily based on price. being tendered then companies may choose not to submit a
questionnaire, thus weakening the process. Usually
Either the client or the service provider may also provide questionnaires cover areas such as:
their own standard terms on the assumption that any —— general company information
resulting contract would be based on these terms. Standard
terms need scrutinising carefully by a lawyer so that the —— size of company, e.g. number of employees, annual
risks associated with them can be fully understood. It is turnover, services provided
commonplace for standard terms to favour the party that —— financial record
provides the terms.
—— insurances held
Informal procedures are only suitable for use on low-value —— professional standing of company
and/or low-risk contracts. They inevitably either lead to a
higher price being paid due to the absence of competition —— quality assurance policies and certifications
or to inferior quality as the award decision was based on
—— health and safety policies and record
price alone. Further, with no evaluation of a service
provider’s financial position, track record or technical —— dispute record
ability, there is a higher risk of entering into contract with
—— environmental policies and record
an unstable or unsuitable company.
—— technical ability of employees
4.1.4 Formal procedures —— experience of similar contracts.
This type of procedure offers more structure than an Once the client has received the questionnaires, they are
informal process and can mitigate the risk of entering into evaluated and selected companies are invited to tender. The
contract with an unsuitable company. client can choose whether to make their selection based on
either a fixed number of companies, for example the six
Formal procedures should be followed for all higher-value highest scores, or companies that score over a set mark, for
and/or high-risk contracts and can include: example all companies that score more than 50 marks.
Either way, it is good practice for the client to advise
—— prequalification companies in advance which method will be used.
—— tender period
Clients should be aware that there is a considerable cost
—— asset register associated with prequalifying and tendering for work and
that this cost is ultimately factored into tendered prices by envelopes should be returned unmarked to avoid identifying
companies. Repeatedly having to prequalify and tender for the source and subsequent confidentiality issues. The
work ultimately pushes up the prices being paid by clients tenders should be opened at a formal session in the presence
for the services being provided by companies. of a witness and the salient details recorded and signed by
those present.
A client should satisfy themselves prior to finalisation of the
outcome of the prequalification that all companies invited
to tender will be acceptable to be awarded the contract 4.1.4.7 Tender evaluation
available and are not selected to make up the numbers.
The aim of tender evaluation is to ensure the selection of a
service provider that represents the best value for money
4.1.4.2 Tender period rather than lowest price. Therefore, the evaluation process
should be based on a predetermined award mechanism
The length of the tender period will influence a company’s that reflects quality, performance, delivery, risk and price,
ability to respond to the tender. The period needs to be and their relative importance to the client. There are
long enough to enable tenderers to gain a thorough several documents that can provide examples including
understanding of the client’s requirements and for them to BG 3/2008: Maintenance for Building Services (BSRIA, 2008)
obtain any information necessary from suppliers and and BS 8572:2011: Procurement of Facility-related Services
subcontractors. Four weeks is usually considered acceptable, (BSI, 2008).
except for particularly large or complex tenders that will
need longer. How the tender prices are compiled will depend on the
payment mechanism and contract selected. Therefore, in
A time of day (often noon) should be specified as the latest addition to the total tendered price, the build-up to this
time for tenders to be received on the date fixed. Any could include tendered prices for individual assets/systems/
tenders delivered later than this should be rejected and the building, labour rates (normal and premium), percentage
tenderer excluded from the process. uplifts for materials and subcontractors and percentage
adjustments to published rates, etc.
4.1.4.3 Asset register
4.1.4.8 Interviews
It is good practice to provide an asset condition register of
the plant and equipment to be maintained and included Carrying out interviews with tenderers can help to gain
within the contract. This will assist the tenderers in being confidence in the potential service provider’s abilities and
able to present like-for-like, comparative tenders. to resolve any issues identified from the tender evaluation
stage. The interviews should be conducted by the client
4.1.4.4 Site visits and its professional team and be based on a prepared
framework. Issues that could be covered are:
It is good practice to invite tenderers to attend a site visit —— quality and skills of workforce
during the early stages of the tender period. The site visit
enables tenderers to gain a better understanding of the —— programme of work
client’s assets and operational environment, and helps to
—— responding to additional work requirements
ensure that they fully understand the contract requirements.
This can be done individually or set so that all tenderers —— client reporting procedure
attend at the same time. A simple primary school may, for
example, benefit from a single site visit so they can plan —— out-of-hours response.
who is on site and at what time. A more complex site, like a
large hospital, may need to invite each tenderer separately 4.1.4.9 Recommendation
to enable them to be guided safely into restricted areas.
There are pros and cons to each of these approaches that Following the interviews and any further assessment of
need to be thought through. tenders that may be necessary, the client should be in a
position to decide the successful service provider. If the
4.1.4.5 Tenderer clarifications client has employed a professional team to procure the
contract then it will seek a recommendation from them. If
It is usual for tenderers to generate queries during the the procurement has been conducted internally then
tender period as a means of attempting to clarify what the usually the client’s board of directors or senior management
client’s requirements are. For queries it is essential for the team will need to approve the decision prior to awarding
parity of the tender process that when responding, the the contract.
client communicates all questions raised and full answer in
writing to all tenderers simultaneously. 4.1.4.10 Debriefing and contract award
4.1.4.6 Tender opening procedure Once necessary approvals have been obtained, the client
should notify both the successful and unsuccessful
A formal procedure for opening tenders should be followed tenderers of the decision and provide the opportunity for
to eliminate any suspicion of irregularities. No tender must them to attend a debriefing meeting.
be opened before the latest time for submission. For postal
submissions, it is common practice for the client to provide The purpose of debriefing unsuccessful tenderers is to
a preaddressed envelope clearly marked with the details of inform them why their tenders were unsuccessful. It
the tender to eliminate the of risk accidental opening. The provides an opportunity for them to learn from any
deficiencies in their tender and helps them to improve 4.1.5 EU procurement rules
future submissions.
A private-sector client has the flexibility of being able to
Care must be taken to only debrief a tenderer on its own select a single supplier/service provider and negotiate the
tender submission. Disclosing the relative scores of the terms of a contract with them. However, by not conducting
successful tenderer to the unsuccessful tender is acceptable, a competitive tender process of any kind, how can the client
however any confidential information about other tenders be confident that it has achieved the best value for money?
should not be disclosed.
By comparison, a public-sector client does not have the
same level of flexibility available to it that one in the private
4.1.4.11 Contract preparation and signature sector has. Usually the public-sector client’s governance
procedures only allow it to source from a single supplier/
During the tender process it may have been necessary to service provider for small, low-value contracts. For all other
amend the contract documentation that was initially issued. contracts a competitive tender process has to be conducted,
This may be due to some of the client’s requirements and this process must adhere to EU procurement rules.
changing or as a result of tender clarifications to incorporate
certain aspects of the successful tenderer’s submission. The EU Procurement Directives set out the legal framework
for public procurement. They apply when public authorities
Once the contract has been finalised, the client should issue seek to acquire supplies, services or works (e.g. civil
the documentation to the service provider for signature. It engineering or building). They set out procedures that
should then be signed by the service provider’s authorised must be followed before awarding a contract when its value
representatives and returned to the client whereby the exceeds set thresholds.
client countersigns the document and issues a copy to the
service provider. The EU procurement rules exist to open up the public
procurement market and ensure the free movement of
supplies, services and works within the EU. In most cases,
4.1.4.12 Start-up, site familiarisation and they require competition. The EU rules reflect and reinforce
mobilisation the value-for-money focus of the Government’s
procurement policy. This requires that all public
The final stage of the process, prior to a business-as-usual procurement must be based on value for money, which
situation being achieved, is to mobilise the new contract. should be achieved through competition, unless there are
For the client, if the service has previously been contracted compelling reasons to the contrary.
out, in parallel to this they have to manage demobilisation
of the previous incumbent. Where the contract value does not exceed the thresholds,
there is still a legal obligation to adhere to EU treaty
principles, the most important of these being:
This start-up process could involve:
—— equal treatment
—— security vetting of service provider’s staff
—— non-discrimination
—— gaining access to buildings
—— mutual recognition
—— establishing financial procedures
—— proportionality
—— deciding the service provider reporting process —— transparency.
—— programming work
Amongst other provisions, the rules require the mandatory
—— service provider acceptance of plant condition or exclusion of companies or other bodies whose directors or
reporting need for replacement/remedial works other decision makers have been convicted of certain
criminal offences.
—— provision of storage and workshop facilities
Most maintenance contracts will be mixed in terms of there
—— staff training. being a service element and a works element. Where this is
the case, the contract should be classified according to its
Depending on the type and nature of the contract in the predominant purpose.
UK, TUPE may apply. TUPE refers to the Transfer of
Undertakings (Protection of Employment) Regulations Generally, contracts covered by the regulations must be
2006 as amended by the Collective Redundancies and subject to a call for competition by publishing a contract
Transfer of Undertakings (Protection of Employment) notice in the Official Journal of the European Union (OJEU).
(Amendment) Regulations 2014. The TUPE rules apply to
organisations of all sizes and protect employees’ rights when The regulations provide four award procedures: open,
the organisation or service they work for transfers to a new restricted, negotiated, and competitive dialogue. Most
employer. The future of the employees currently providing maintenance contracts will follow either the open or
maintenance services is an important issue that needs to be restricted procedure:
considered. Early clarification of whether TUPE applies to
the transfer of the maintenance activities is essential to —— open procedure: all interested parties may respond
enable any transfer to take place in a way that minimises the to the advertisement in the OJEU by tendering for
risk of disruption to the continuity of the service. the contract
—— restricted procedure: a selection is made of those Alternatively, a contract may be set out in a letter or other
who respond to the advertisement, usually by use of brief document stating the essential matters agreed upon.
a prequalification questionnaire, and only they are However, these forms of contract are only suitable for very
invited to tender for the contract simple, low-risk activities.
It is recommended that prior to commencing an OJEU Unlike installation contracts, which are for a specific period
procurement, a suitably qualified and experienced to provide a tangible product, maintenance contracts have a
professional advisor is employed to ensure that the specific duration with no easily measurable or deliverable
procurement is legally compliant. product; essentially they are providing a service. At no point
can the parties say that the service is finished or complete
until the end of the contracted period has been reached.
4.1.6 Private finance initiative (PFI)
PFI is a type of public private partnership that was 4.2.2 Bespoke contracts
introduced into the UK as a means of providing privately
funded public infrastructure projects. Major projects are let Many service providers develop their own in-house terms
as a single contract for the anticipated lifespan of the asset, and conditions of contract that they submit when providing
for example 25 years, rather than considering the work in a quotation. These terms and conditions should always be
two stages (initial capital installation followed by operation, approached with caution as they are usually heavily
maintenance and repair). weighted in favour of the party issuing them.
The PFI service provider arranges the finance for the initial
capital cost, constructs the asset and is responsible for its 4.2.3 Standard forms of contract
o&m throughout the contract term. The client makes
regular payments over the lifespan that will cover the initial For most maintenance services, standard forms should be
capital cost and interest plus the subsequent on-going costs. the basis of the contract. These forms have been developed
by various industry bodies, in consultation with the
PFI contracts allocate the risks for design, funding, industry, as an attempt to allocate risks fairly between the
installation and operation to those best able to manage parties. The advantages of using standard forms of contract
them, leaving the client (or service user) to concentrate on instead of bespoke contracts are:
core business activities. The concept puts more onus on the —— Ambiguities and inconsistencies are reduced to a
responsibilities of the development service provider, who minimum.
has to accept the risk of the on-going viability of the
installation over the full life of the contract. —— Rights and obligations on both parties are set out
clearly.
A number of issues are raised under PFI. These include: —— Industry is familiar with the provisions in a
—— performance measurement (e.g. using service level particular form, resulting in a greater degree of
agreements and KPIs) and facility availability consistency in their application.
—— a clearly defined brief for the installation and its —— They take less time and cost to prepare than a
requirements (the infrastructure specification), bespoke contract.
together with its stated purpose throughout its
lifespan Usually the party issuing the tender will have the contract
prepared by a competent professional advisor. Most
—— contract documentation and terminology to ensure publishers of standard forms advise against making
full commitment and risk transfer by all parties for extensive amendments to the provisions on the basis that
the duration of the contract usually these change the balance of risk in the contract and
—— how to predict plant life expectancy to make due have the potential to introduce ambiguities or
allowance in the cost model (i.e. life cycle costs and inconsistencies.
major maintenance funds)
The most commonly used standard forms of contract for
—— protecting the value of the assets during the contract the procurement of maintenance and/or facilities
period (the assets usually transfer to the client at management services are:
the end of the contract).
—— Association of Consulting Architects (ACA)
TPC2005: ACA Standard Form of Contract for Term
Partnering: Amended 2008 (2008)
4.2 Contract selection —— Chartered Institute of Building (CIOB) Facilities
Management Contract (2008)
4.2.1 Nature and form of contracts —— Joint Contracts Tribunal (JCT) Measured Term
Contract (2006)
The parties concerned with provision of maintenance —— TSO GC/Works Suite (1999)
services will need to enter into a contract, i.e. a legal
agreement to discharge certain obligations. In its simplest —— Institution of Civil Engineers (ICE) NEC3: Term
form a contract may be an oral agreement, with the Service Contract (2005).
subsequent actions of the parties providing evidence of the
existence of a contract. Such an agreement is legally Table 4.1 provides a comparison of the different standard
binding, provided it does not concern an illegal act. forms.
Table 4.1 Comparison of standard forms of contract (Source: NEC)

Item ACA TPC2005: ACA CIOB Facilities JCT Measured Term TSO GC/Works Suite ICE NEC3: Term Service
Standard Form of Management Contract Contract (2006) (1999) Contract (2005)
Contract for Term (2008)
Partnering: Amended
2008 (2008)
Can be used for any type of Yes Yes No—limited to Yes—depending on Yes
FM/maintenance service? maintenance and contract selected
new works
Provides for service provider Yes Yes No No Yes
design?
Different methods of pricing Yes—but not defined in Yes—lump sum or cost No—schedule of rates Yes—depending on Yes—lump sum, target
and payment? the contract reimbursable contract selected cost or cost
reimbursable
Choice of risk allocation? No Yes—limited to No No Yes—multiple options
inflationary increases
Designed for and used No No No No Yes
internationally?
Demands collaboration/ Yes Yes No Yes Yes
partnering?
Early warning of anything Yes No No No Yes
affecting the cost or
performance?
Contract plan/programme Yes No Yes No Yes
allows monitoring of
performance?
Stated reasons for decisions? No No No No Yes
Provides for multiparty Yes—integral No No No Yes—optional
partnering?
Service provided No—orders issued to Yes No—orders issued to Yes—under GC/ Yes
continuously over the period instruct works instruct works Works/9 and 10
of the contract?
KPIsfor continuous Yes—integral No No No Yes—optional
improvement?
Provides for instructing Yes—integral No Yes—integral Yes—integral Yes—optional
one-off projects?
It should be noted that the GC/Works contracts are no forms of contract offer one mechanism, whereas others
longer supported by its publishers and as such will no provide options. Choosing the right mechanism is a balance
longer benefit from revisions and amendments. They are between achieving cost certainty and appropriate allocation
therefore likely to become increasingly obsolete. of financial risk between client and service provider based
on the level of asset information available at the time.
4.2.4 Specialist service providers
The most commonly found payment mechanisms are:
Specialist service providers, for example refrigeration plant,
water treatment, controls and ductwork cleaning, normally —— cost reimbursable
fulfil their duties on a visiting basis and should not be asked
to operate plant in the day-to-day sense. They may require —— lump sum
attendance from other personnel, for example the on-site
technician who knows the building, to be able to work —— schedule of rates
safely or to open work areas for access.
—— target cost.
When selecting the form of contract, clients need to decide
whether the service provider is to maintain a particular
item of plant or a system or have an overall responsibility 4.2.5.1 Cost reimbursable
including multiple plant and systems, for example chillers,
automatic controls, the building management system, fire
alarms and lifts, perhaps involving specialist subcontractors. This mechanism involves the service provider being paid
the actual cost of the work it carries out plus a fee percentage
to cover overheads and profit. For the client, this mechanism
4.2.5 Payment mechanisms represents the greatest amount of financial risk, as it offers
no financial certainty. A cost reimbursable contract should
As part of the contract selection process the client must only be considered where little or no information exists
decide on preferred payment mechanisms; some standard about the client’s assets or where scope of work is undefined.
4.2.5.2 Lump sum given by the client is the price paid (or the promise to pay),
and by the service provider it is the carrying out of works or
This is the most commonly found mechanism. The service the provision of services (or the promise to do so).
provider tenders a lump sum price to defined assets to
predetermined standards. This mechanism provides the Certain other elements must exist in order to create a valid
most financial certainty for clients, however they will contract.
usually pay a premium at tender stage as a consequence,
as most of the financial risk is being transferred to —— Contractual capacity: neither party is of a type of
the service provider. whom advantage might be taken (e.g. minors or
infants, aliens, bankrupts, persons of unsound
mind).
4.2.5.3 Schedule of rates
—— Legal formalities: contracts for the sale of land or
Where the precise scope of work may be unknown but the guarantees must be in writing; deeds must be
type of work likely to be required is known, a schedule of signed in the presence of a witness who attests the
rates could be employed. The client could develop its own signature.
schedule of rates or use a published one. Where the client —— Illegality: performance of the contract, the
uses a bespoke schedule, the service provider will price this contract’s object or the consideration for
at tender stage; however, where the client uses a published performance must not be illegal, or the contract is
schedule, the service provider will tender percentage void.
adjustments to the published rates.
—— Fraud or misrepresentation: this exists if neither
Although this mechanism provides some certainty over the party gave consent to the contract by fraud, deceit,
price being paid per unit quantity of a particular item, this duress or misrepresentation, either deliberate or
has to be balanced against the additional labour costs of otherwise.
having to measure and value every item of work required.
—— Mistake: there must not be a mutual mistake about
some serious fundamental matter of fact.
4.2.5.4 Target cost
With the exception of the special types of contract mentioned
A target cost mechanism shares financial risk between the above, contracts can be established on a verbal basis, but it
client and the service provider in defined proportions. It is preferable to make arrangements in writing because
incentivises efficient use of resources and can motivate verbal agreements cannot easily be verified at a later date.
both parties to seek innovative ways of saving money. It
also provides some financial certainty to the client.
4.3.2 Confirmation of contracts
The service provider is paid its actual costs plus a fee
percentage (as in the cost reimbursable mechanism) A service provider may make an offer in writing that may
against a tendered target cost. If the service provider can be accepted verbally. The verbal acceptance may, in reality,
deliver the contract below the target cost then the client be in the form of ‘Yes, but...’. Unfortunately, the ‘but’ may
shares a proportion of the saving; often this is up to 50 per not be obvious nor thought to be that important and, being
cent of the difference between the target cost and the actual verbal, will not have been recorded. The contract will
cost. However, if the service provider delivers the contract therefore be based upon the written evidence of the service
above the target cost then it shares a proportion of the provider’s offer.
overspend with the client, thus limiting the financial
impact on the client. A formal acceptance frequently comprises the issue of a
company’s standard order, often with company conditions
on the back. In the event of a dispute, these company
conditions may be interpreted as a counter offer, invalidating
4.3 Tender and contract the service provider’s bid. If confirming an otherwise
formation variable estimate (compared with a fixed quotation), the
issue of such an order consolidates that estimate into a fixed
Maintenance contracts are governed by the general law of price and cannot be revised later when it is recognised that
contract. There are also some statutory rules on payment the estimate was higher than needed.
and the settlement of disputes that apply only to
construction and maintenance contracts.
4.3.3 Limitation of actions
4.3.1 Elements of contract Signatures are not essential to form a contract. The carrying
out of the service can be taken to prove that the agreement
A maintenance contract, like any other contract, is a legally exists, particularly if a payment has been made to the
enforceable agreement. An agreement is usually defined in service provider. The contract will be based upon the last
terms of an offer made by one party and an acceptance of exchange of understanding between the partners. This
that offer by the other, turning the offer into a promise. allows counter offers to replace the tender document
Further, the law requires that in order for the promise to be requirements or other means of explaining the client’s
enforceable, the party seeking to enforce it must have given needs. Counter offers may consist of the service provider’s
some consideration (something of legal value), unless the response to the tender inquiry in a letter where the body of
promise was given by deed (as many maintenance contracts the letter contains qualifying comments and the standard
are). In most maintenance contracts, the consideration terms and conditions are on the back.
It is important to be aware of the standing of these The first is where the contract itself expressly provides it to
exchanges. If both parties carry out the intentions of their be done. The second is where the terms declare to confer a
agreement and both are content with the outcome, it is benefit on the third party unless it appears on a true
unlikely that the terms and standing of the contract will be construction of the contract that the contracting parties did
examined. When things go wrong and the contract is not intend him to have the right to enforce it.
brought into play to determine the way forward, the
situation changes. If legal opinion is sought, it is then that
the client and professional advisor who prepared the 4.3.4.2 Housing Grants Construction and
contract realise the true quality or otherwise of the contract Regeneration Act 2011
put in place. This is usually too late and the eventual
apportionment of blame and cost may not be placed in the This Act is aimed at construction activities but may still be
way intended by the person drafting the original contract. applicable to maintenance provision. It introduced
statutory provisions that concern the system of payment,
Those producing contract documents should recognise the right to have all disputes settled though a process called
their own limitations, particularly in understanding the law adjudication and the right to suspend work until full
and arriving at a contract agreement. This is not to say that payment is made. It was introduced to ensure that payments
a lawyer is needed on every occasion; standard forms of are made promptly and disputes are resolved swiftly. The
contract are relatively safe to use provided that they are not provisions of the Act include:
heavily amended and the procedures are properly understood
and followed. Where contract conditions are specially —— the dates for payments must be set out in the
written, or amendments are made to existing contract terms, contract
the client should be advised to obtain legal advice.
—— the right to be paid in interim, periodic or stage
payments
4.3.4 Express and implied terms —— the right to be informed of the amount due or any
amounts to be withheld
The contents of a contract are known as terms. There are
three types of contractual term: those express terms that are —— the right to suspend performance for non-payment
contained in the main contractual document itself, those
(also express terms) contained in other documents to which —— the right to adjudication
the main contract document refers and those that are
implied by law. —— disallowing pay when paid clauses.
The terms, whether express or implied, have varying The Act applies to all contracts for construction operations
degrees of importance attached to them and the remedies as defined by the Act. The term ‘construction operations’
for the breach of these terms will also vary accordingly. extends beyond construction work itself to work of
alteration, repair, maintenance, decoration and demolition,
In maintenance contracts, most implied terms are implied and even to cleaning carried out in the course of such
as a matter of law due to the provisions of statute. The main works. If contracts fail to comply with the Act, then the
UK legislature that affects maintenance contracts is: Scheme for Construction Contracts applies.
—— Contracts (Rights of Third Parties) Act 1999 (TSO,

2009) 4.3.4.3 Supply of Goods and Services Act
1982
—— Housing Grants Construction and Regeneration
Act 2011 (HMSO, 2011)
The Act covers legal requirements for three types of
—— Supply of Goods and Services Act 1982 (HMSO, contracts related to the supply of goods and services, i.e.
1982) contracts for transfer of property other than by sale or hire
purchase, contracts for the hire of goods and contracts for
—— The Sale of Goods Act 1979 (HMSO, 1979) the supply of services. It deals with goods that hire,
—— Transfer of Undertakings (Protection of exchange or barter as well as with services. The goods used
Employment) Regulations 2006 (TSO, 2006) as part of the service also may be included, so the Act is
very pertinent to maintenance contracts.
—— Unfair Contract Terms Act 1977 (HMSO, 1977).
It requires the goods to be as described, of satisfactory
4.3.4.1 Contracts (Rights of Third Parties) Act quality and fit for purpose. Fitness for purpose maybe taken
1999 as the purpose for which the goods are commonly used or a
purpose that the seller has said they will perform.
The Act makes provision for the enforcement of contractual
terms by third parties. It reforms the rule of privity of contract In relation to services it requires:
and abolishes the old rule of contract law under which a
—— services to be carried out with reasonable skill and
person can only enforce a contract if he is a party to it.
care
It sets out the circumstances in which a third party is to —— services to be carried out within a reasonable time
have the right to enforce a term of contract. It sets out a
two-branch test for the circumstances in which a third —— the party contracting with the supplier to pay a
party may enforce a term of a contract. reasonable charge.
4.3.4.4 The Sale of Goods Act 1979 are to be returned, address for return and name of contact
for enquiries regarding the tender. They will usually contain
The Act (as amended) contains provisions relating to the provisions that protect the client’s position with regards to
sale and hire purchase of goods. It provides a description of any liabilities that might arise during the tender process.
what constitutes a sale and provides provisions for:
—— the title: the buyer is entitled to assume that the 4.4.2 Conditions of contract
seller has the right to sell the goods and will be able
to pass the legal title to the buyer This document sets out the rights and obligations of the
—— sale by description: where there is a contract for the parties and the detailed conditions under which a
sale of goods by description, the goods shall subsequent contract will operate. If a standard form of
correspond with that description contract is used, it will not be sent out with the invitation
to tender. If the standard form of contract is amended,
—— quality details of the amendments are issued. Typical conditions of
—— fitness for purpose. contract cover the following subjects:
—— definitions
4.3.4.5 Transfer of Undertakings (Protection —— service provider’s responsibilities
of Employment) Regulations 2014
—— start date and duration of the contract
These regulations (known as TUPE) preserve employees’ —— testing and defects
terms and conditions when a business or undertaking, or
part of one, is transferred from one owner to another. Any —— payment
provision of any agreement (whether a contract of —— variations
employment or not) is void so far as it would exclude or
limit the rights granted under the Regulations. —— insurance
—— termination
Employees of the previous owner when the business changes
hands automatically become employees of the new employer —— dispute resolution and adjudication.
on the same terms and conditions. Their continuity of
service and any other rights are all preserved. Both old and Regulating the implementation of the contract and, where
new employers are required to inform and consult employees necessary, enforcing it is an important consideration when
affected directly or indirectly by the transfer. writing the contract. When a service provider fails to do
something that is written into the specification, it is
4.3.4.6 Unfair Contract Terms Act 1977 important to know what the contract allows. The more
detailed the requirements at tender, the easier it is to discuss
The Act imposes limits on the extent to which civil liability the difference between expectation and delivery.
for breach of contract, or for negligence or other breach of
duty, can be avoided by means of contract terms or otherwise. The service provider may have been asked to keep records
of maintenance. If the record forms, or examples of the
A person cannot by reference to any contract term restrict forms, have been included as part of the tender
his or her liability for death or personal injury resulting documentation it will be easier to discuss departures from
from negligence. The Act requires a party who seeks to rely the specified requirements with the service provider and to
on an exemption or limitation clause to prove that the make a decision to either accept the departure or take some
clause meets a standard of reasonableness. action (see also Chapter 13).
4.4.3 Specification
4.4 Documentation This purpose of this document is to convey the relevant
information that is necessary for the service provider to
The number and nature of the tender documentation will understand the nature and extent of the client’s requirements,
vary with the type of contract. They will include some or all and the extent of any constraints attached to their delivery,
of the following: such as site constraints, and performance assessments. It is
—— instructions to tenderers usually incorporated into the contract by reference in the
conditions of contract. The specification details the
—— conditions of contract technical requirements, performance requirements and
—— specification standards to which those requirements are to be carried out.
—— price submission Specifications for maintenance can be either input based
—— quality submission (client-specified means, such as technical requirements and
resource levels, for achieving a work activity) or output
—— form of tender. based (service performance levels) or a combination of both.
The specification will usually be bespoke for each

4.4.1 Instructions to tenderers contract, however the following are generic headings that
may be used:
This document describes the rules that govern the tender
process. It will give such details as the date by which tenders —— scope of works
—— description of works a series of questions that are designed to test the tenderer’s
understanding of the client’s requirements.
—— type of maintenance regime
—— hours of work/access
4.4.6 Form of tender
—— response and repair times for call-outs.
This is a formal statement, often in the form of a standard
Writing a specification that describes what is needed can be pro forma, in which a tenderer enters, in the blank spaces,
the start of a long journey. Where the person drafting the his or her name, address and the sum of money for which
specification is well versed in what the marketplace can he or she offers to carry out the required service.
provide and can compile a specification that asks for exactly
what the service provider normally and routinely does, this
should result in a competitive and realistic price for the
work. The service provided should be properly and 4.5 Contract mobilisation
satisfactorily delivered.
Once the successful service provider is selected, the contract
Further guidance on preparing specifications can be found needs to be formally executed by the parties and mobilisation
in FMS08/2003G: Guidance for the Procurement of Building can then commence.
Services Operation (BSRIA, 2003) and BG 3/2008:
Maintenance for Building Services (BSRIA, 2008). As a result of discussions and negotiations during the
tender process, the contract documents issued at tender
Typically, the description of works will define the client’s stage may need updating to include any agreed amendments.
requirements in detail; headings may include:
—— plant operation Although contractual disputes in maintenance contracts are
not as commonplace as they are in construction contracts, it
—— planned preventative maintenance is still essential that the contract documents accurately
represent the intentions of the parties. When contracts run
—— emergency call-outs and emergency maintenance
into difficulties, statements made in the documents come
—— rectification of defects and carrying out repairs under close scrutiny. Ambiguities, discrepancies or
contradictions may lead to disputes between the parties.
—— minor alterations
—— taking over new facilities for maintenance It is conventional practice for the client (or its professional
advisor) to prepare the final contract documents and issue
—— providing attendance during competent person them to the service provider for signature. Once the service
examinations provider has signed them, they are returned to the client
—— help desk services for execution (counter-signature); at this point the
agreement between the parties is crystallised in the contract
—— condition surveys and the preparation of a forward documents and any previous discussion or negotiations
maintenance plan and its annual update have no legal standing if they are not incorporated.
—— portable appliance testing
The client’s attention can now turn to mobilising the
—— statutory examinations and competent person contract; the following matters may need to be discussed
duties with the service provider:
—— release of persons trapped in lifts —— service provider review period to accept plant
—— identification of maintenance needs, planning, condition or report need for replacement or
controlling and managing the maintenance regime remedial works
in compliance with best industry practice and —— financial procedures
statutory requirements.
—— method of gaining access to building
—— reporting procedures
4.4.4 Price submission
—— review of client requirements
The client usually provides a blank template for the service —— security procedures
provider to price and return; this could be in the form of a
spreadsheet. The nature of the prices will depend on the —— security vetting of service provider’s staff
contract strategy chosen; there could be lump sums, rates,
—— storage and workshop facilities
and/or fee percentages. Usually the client will provide
guidance to tenderers on how to complete the price —— timetable for future meetings.
submission and what should be included or excluded from
the prices.
4.5.1 Damages
4.4.5 Quality submission Liquidated and ascertained damages refers to the ability of
the employer in the contract to recoup losses from the
It is now widely recognised that awarding contracts based service provider (insured or not). Liquidated damages are
on lowest price alone often does not provide value for money, where the employer has set a fixed sum to represent the loss
therefore most contracts are awarded based on a combination it might suffer. In the event of a claim, it will not have to
of both price and quality. The quality submission consists of prove the loss but merely claim the agreed sum. Ascertained
damages are where the loss must be proven. Such a concept ‘Public liability’ provides insurance cover for an incident
is normally associated with failure to complete a affecting a member of the public due to the work being
construction contract. The application of liquidated and undertaken by the service provider.
ascertained damages to maintenance contracts is far more
difficult and requires clear criteria for a claim. Damage to people and property is relatively straightforward.
Most building owners are already insured through their
own insurance for damage caused by service providers while
4.5.2 Withholding payment on their premises. Many service providers can offer
£2 million or even £5 million of damage cover for each
A contract is a two-way agreement. Each party is promising claim, but if a client insists on more extensive cover, it may
to provide something to the other, and both have obligations. be easier to obtain this directly rather than seeking it from
Withholding payment is not an automatic right of the the service provider. It can be difficult and expensive for
purchaser and may even be a direct breach of the contract. service providers to obtain more than £5 million of damage
Payment is an important issue. ‘Pay when paid’ became cover, and sums of, say, £20 million may be unobtainable. It
illegal in 1998 and other attempts at delaying payment should be remembered that the client pays for the insurance
unfairly may also be subject to legal constraints. Payment in the end, as it is an element of the service provider’s price.
may have to take place, and reclaiming of money dealt with,
by taking legal action; legal advice should be sought. ‘Professional indemnity’ refers to claims against the service
provider in the event of faulty advice or design. In the past,
service providers have not been asked for this form of
4.5.3 Insurances insurance, but as they change their market position from
contracting to design/build or providing more than
Insurances are always mentioned in the contract conditions.
maintenance services (e.g. energy management, small
There are several types of insurance and the engineer
works design and project management, plant inspections),
should consider their relevance.
clients will expect such insurance. Depending on the levels
of competence of their staff, maintenance service providers
The absence of insurance or the inability to obtain it has may have difficulty obtaining this type of insurance at
other implications. Insurance against particular events is acceptable rates.
meant to provide recompense to the client or a third party;
obtaining that recompense directly from a service provider
will be more protracted than an insurance claim. However, Some consideration should be given to defining who the
requesting too high a level of insurance can be self-defeating. beneficiary of any insurance should be. The common
assumption is that the beneficiary will apply the funds to
the reparation of the insured loss, but this does not
The insurance companies are prepared to underwrite a
necessarily follow. Insurance in joint names is often referred
service provider’s risk if they know the risk record for the
to, and proper advice should be sought and understood to
particular circumstances. Hence, professional indemnity
ensure that the intention is achievable in practice.
insurance may be expensive for a service provider, whereas
accidental damage for similar sums of risk may not.
On-going proof of insurance is essential. For professional
There are many different types of insurance. It is important indemnity insurance it will be necessary for the insurance
to understand the types of insurance requested and offered to be in place at the time of the claim, which may be several
in response. The recipient of the payout also needs to be years after the original appointment has concluded.
identified, as well as how the level of insurance is set. If
there are multiple insurances for the same event and various
companies could share the payout, there may be no worth
in the final settlement to the client. References
Typical insurances referred to in contracts are: ACA (2008) TPC2005: ACA Standard Form of Contract for Term Partnering:
Amended 2008 (Bromley: ACA)
—— employers’ liability (a legal requirement)
B&ES (2007) SFG30 Guide to Good Practice: Mothballing and Re-
—— public liability Commissioning of Buildings (London: B&ES)
—— damage to persons and property
BSI (2008) BS 8572:2011: Procurement of Facility-related Services (London:
—— professional indemnity BSI)
—— consequential loss including loss of profit
BSRIA (2003) BSRIA FMS08/2003G: Guidance for the Procurement of
—— fire. Building Services Operation (Bracknell: BSRIA)
There is also the question of plant insurance for unexpected BSRIA (2008) BG 3/2008: Maintenance for Building Services (4th edition)
events such as catastrophic boiler failure (note that this (Bracknell: BSRIA)
does not provide cover for gradual degradation).
CIOB (2008) Facilities Management Contract (Bracknell: CIOB)
If the service provider is not insured, it does not mean that
they cannot be asked to pay for damage caused; it merely ICE (2005) NEC3: Term Service Contract (London: ICE)
means that they may not have the resources to pay.
JCT (2006) Measured Term Contract (London: TSO)
‘Employers’ liability’ refers to the liability the service
provider has to its employees (a legal requirement). HMSO (1977) Unfair Contract Terms Act 1977 (London: HMSO)
HMSO (1979) The Sale of Goods Act 1979 (London: HMSO) TSO (1999) GC/Works Suite (London: TSO)
HMSO (1982) Supply of Goods and Services Act 1982 (London: HMSO) TSO (2014) Transfer of Undertakings (Protection of Employment)
Regulations 2014 (London: TSO)
HMSO (2011) Housing Grants, Construction and Regeneration Act 2011
(London: HMSO) TSO (2009) Contracts (Rights of Third Parties) Act 1999 (London: TSO)
Energy efficiency and maintenance 5-1
5 Energy efficiency and maintenance
5.1 Energy strategy and Summary
policy
This chapter outlines techniques by which a maintenance team might improve energy efficiency. It
5.2 Energy management includes information on improving the effectiveness of artificial lighting, routine boiler efficiency
systems (EnMS) checks for heating and hot water services systems are recommended and it suggests that the merits
5.3 Gaining an overview of variable volume pumping be considered for some water distribution systems.
5.4 Analysing energy Renewable sources of energy are introduced, along with the legislation, taxation and subsidies
demand promoting energy efficiency in the UK.
5.5 Legislation and codes of
practice
5.6 Investing in energy
efficiency
5.7 The energy-efficient brief
5.8 Renewables
5.9 Fuel selection
5.10 Combined heat and
power (CHP)
5.11 Metering
5.12 Lighting
5.13 Heating and hot water
5.14 Electrical power
5.15 Controls
5.16 Refrigeration systems
5.17 Justification of energy
projects
References
Bibliography
5.A1: Energy benchmark data
Most of the buildings that will exist in 2050 already exist. the maintenance specialist to tap his or her overall
With rising energy prices and ambitious carbon reduction knowledge of the building services.
targets for the UK, operating and maintaining the existing
building stock with energy efficiency in mind has never To meet such a request for advice and guidance, maintenance
been more important. engineers need to move beyond keeping the assets in good
working order, although this is important in itself. As a
All organisations use energy in some way in their operational minimum, they should be able to comment on the scope for
regime, and improving energy efficiency can offer a ready varying the operational modes of systems to match the
means of making cost reductions. The maintenance team actual usage of the building more closely.
can have a significant impact on energy consumption,
although for any drive towards improved energy efficiency
10
to succeed, there must be unreserved commitment from the 9
building user’s top management. Buildings consume nearly 8
half the energy used in the UK, and energy prices have risen 7
Price / kW·h
significantly over the last few years, generating more interest 6 Electricity
in energy efficiency (see Figure 5.1). All building 5
professionals have a responsibility to reduce this through 4
good practice, much of which is set out in CIBSE Guide F: 3 Gas
Energy efficiency in buildings (CIBSE, 2012). 2
1
0
Any organisation seeking to improve its operational energy 2004 2005 2006 2007 2008 2009 2010 2011
efficiency would probably initially look for in-house Figure 5.1 Price of energy in the UK for non-domestic consumers,
leadership from its FM. The FM, in turn, is likely to consult including climate change levy (source: DECC, 2011a; Crown copyright)
Computing —— set energy targets and continually monitor

3%
Cooling and performance in order to keep consumption under
ventilation control.
Catering 5%
Other 10%
7%
5.1 Energy strategy and

Hot water policy
Lighting 9%
21% The main purpose of an energy strategy and policy is to
reduce energy use and carbon emissions by reducing
demand and through energy efficiency. An effective policy
and strategy will identify realistic targets and provide a
plan to deliver the improvements.
Heating The Carbon Trust has published guidance on

45% developing energy management strategies and a checklist
for creating an energy policy is available in CIBSE
Guide F (CIBSE, 2012).
Total 16 273 thousand tonnes of oil equivalent 5.2 Energy management

Figure 5.2 Typical UK energy use in non-domestic buildings in 2009 systems (EnMS)
(source: DECC, 2011b; Crown copyright)
EnMS’s are designed to provide a framework in which
The energy used by a building is broadly determined by the organisations can develop and implement an energy policy,
building fabric, the building services and the management and establish objectives, targets and action plans that take
of the building. See Figure 5.2 for a typical non-domestic into account legal requirements and information related to
building’s use of energy: 45 per cent goes on heating in the significant energy use. An EnMS enables an organisation to
UK. The influence of management and occupant behaviour achieve its policy commitments and take action as needed
on energy consumption is commonly underestimated to improve its energy performance.
(CIBSE, 2004). Although improvements may be made to
the fabric and services, the management of the building There are a number of formal schemes available that
often has the greatest impact on day-to-day energy companies may wish to be accredited by. The key benefit of
consumption. It is common to find well-designed buildings accreditation is the independence of the assessment, which
operating badly due to poor management. Conversely, provides credible evidence that the organisation is
poorly designed buildings can be optimised to a great managing their emissions well. However, formal
extent through good management practice (CIBSE, 2004). accreditation may be expensive.
Even where all technical measures have been considered An ISO standard, BS EN ISO 50001: 2011 (BSI, 2011) is
and implemented, there is often considerable scope for now available for energy management.
improving energy efficiency by adopting changes in the
management and o&m. The key to energy-efficient In the UK, the Carbon Trust has a scheme that certifies
management of existing buildings is to: organisations that achieve real reductions in carbon
emissions from their buildings and transport. The Carbon
—— gain a sound understanding of how the building is Trust Standard (www.carbontruststandard.com) requires
meant to work, at both strategic and detailed levels organisations to track and report on their carbon emissions
and to demonstrate good management systems and real
—— understand how energy is currently consumed in reductions in energy consumption.
the building
Other carbon management schemes include CEMARS
—— compare the energy performance of the building (Certified Emissions Measurement and Reduction Scheme)
with published benchmarks and Carbon Saver.
—— set out a clear energy management policy alongside

a clear maintenance policy for the building and its
engineering services, and implement these policies 5.3 Gaining an overview
rigorously
To establish how the building is intended to be used and
—— put into place organisational structures to ensure how this relates to the overall heating, lighting, ventilation
that responsibilities are clear, regular reporting/ and control strategies, the following points need to be
feedback is taking place and the necessary resources clearly established through auditing by suitably qualified
are made available and experienced specialists:
—— encourage occupants to use the building correctly —— occupancy levels, including cleaners, late working,
and motivate them to reduce energy consumption etc
—— any different uses of particular areas within the requirements aimed at improving energy efficiency in both
building domestic and non-domestic buildings. Building
Regulations Approved Documents L (HM Government,
—— gross and treated floor areas broken down into use
2010) (and their equivalents for Scotland and Northern
and tenancies
Ireland) offer various means for meeting these requirements.
—— landlord/tenant agreements (who is responsible for In summary the intent is to provide:
what)
—— energy-efficient and properly commissioned fixed
—— key assets, what they supply and which areas they building services with effective controls
serve
—— operators with sufficient information about the
—— means of heating and cooling, areas served and building and its engineering services to operate and
means of control maintain them using no more fuel and power than
is reasonable in the circumstances.
—— means of ventilation and its control
—— types of lighting, areas served, methods of control, The requirements include:
availability and use of daylight
—— limiting the heat loss and gains through the fabric
—— how the building is managed, maintained and the of new and refurbished buildings
operation monitored.
—— providing space-heating and hot-water systems that
Tangible benefits from energy efficiency range from the are energy efficient
individual to the national level and include: —— providing lighting systems with appropriate lamps
—— improved design and operation of buildings and sufficient controls so that energy can be used
efficiently
—— better working environments
—— limiting exposure to solar overheating
—— life cycle cost savings
—— minimising use of mechanical ventilation and air
—— environmental impact reduction conditioning
—— added market value of buildings. —— providing sufficient information so that the
building can be operated and maintained in such a
manner as to use no more energy than is reasonable
in the circumstances.
5.4 Analysing energy
demand In the UK, it is intended that all new dwellings must be
zero carbon by 2016 and non-dwellings must be zero carbon
Consumption data is readily available from utility suppliers. by 2019 (DECC, 2011b).
Information that may be available includes energy
consumption and cost data from utility bills and half hourly Approved Documents reflects the requirements of the
electricity and gas consumption data. Where sub-metering European Directive on Energy Performance of Buildings
is installed, the understanding of how energy is used can be (EPBD) (Commission for the European Communities,
greatly improved. 2003), which requires:
—— a common methodology for calculating energy
The use of smart metering technology is now common; performance
these devices allow real-time analysis of energy consumption.
—— minimum standards of energy performance of new
Simple techniques for analysing energy demand and rules and some existing buildings
of thumb on consumption are available in CIBSE Guide F —— certification schemes when buildings are sold or
(CIBSE, 2012). Monitoring and targeting software systems rented out with display of energy performance
are available to support building managers in understanding certificates in buildings providing public services
and evaluating their energy use and identifying oppor greater than 500 m2 gross internal floor area
tunities for energy reduction.
—— inspections at least every five years of air
Energy consumption can also be estimated using installed conditioning systems for comfort cooling with an
loads, estimated hours run and simple diversity factors. installed capacity greater than 12 kW
Benchmark energy data for a representative range of —— advice on the energy efficiency of boilers.
buildings are provided in Appendix 5.A1. These data are
reproduced from CIBSE TM46: Energy benchmarks (CIBSE,
The EU Emissions Trading System and Carbon Reduction
2008).
Commitment (CRC) Energy Efficiency Schemes are
compulsory carbon trading schemes for large users of
energy. Participants of the schemes must report on their
annual energy consumption and purchase carbon credits to
5.5 Legislation and codes of cover their emissions. The Energy Savings Opportunity
practice in UK Scheme (ESOS) is being introduced in 2014.
The Building Regulations for England and Wales (TSO, Requirements were introduced in 2013 to require FTSE
2000/2001/2006) and their equivalents for Scotland (TSO, 100 listed companies to report on their carbon emissions as
2004) and Northern Ireland (TSO, 2000a) impose part of their annual company reports. The building services
manager may be required to provide information regarding consumption should be eliminated wherever possible.
building energy consumption as part of this report. Where this is not possible, energy demand should be
reduced. Finally, renewables should be considered.
5.6 Investing in energy
efficiency 5.8 Renewables
Cost savings usually drive energy efficiency. Savings in Renewable energy occurs naturally and repeatedly in the
operating costs will flow directly into the building user’s environment, for example, from the sun, wind, rain, oceans
profits or mitigate the impact of energy price increases. and plants. It also includes energy from waste and clean
Well-managed organisations tend to reinvest some of the technologies such as fuel cells. There are a wide range of
savings in further energy efficiency measures. renewable energy sources and technologies, which vary in
technical and commercial viability, including:
Such measures should generally be considered in their —— wind power
order of economic payback, complexity and ease of
application. Measures will fall into three broad types. —— hydroelectric power
—— No/low cost, requiring no investment appraisal, e.g. —— wave and tidal power
general occupant awareness of closing windows and
—— photovoltaics
doors, switching off lights and electrical appliances
when not required, provision of a building users’ —— active solar heating
handbook to ensure the occupants know how to
operate the engineering services as efficiently as —— passive solar design
possible, instituting an energy monitoring and —— waste heat generation
targeting scheme.
—— landfill gas
—— Medium cost, requiring only a simple payback
calculation, e.g. replacement of 20+ year old boilers —— geothermal energy
could provide significant savings on energy
—— agricultural and forestry wastes
consumption and repay the installation cost within
two years. —— energy crops
—— High capital cost measures, requiring a detailed —— ground source heat pumps.
design and full investigation appraisal.
Renewable energy produces few if any harmful emissions.
Exploiting renewables also reduces the rate at which other
energy sources are consumed. The UK Government has a
5.7 The energy-efficient brief legal obligation to provide 15 per cent of the UK’s total
energy supply from renewable sources by 2020, as part of
An existing or new building should have an energy-efficient the wider EU commitment to delivering 20 per cent of
brief, which needs to be no more complex than is appropriate energy from renewables by 2020. In 2010, 3 per cent of the
for the type and size of the building. It should incorporate: UK’s energy was generated from renewables. To encourage
—— the client’s intentions, requirements and investment the growth of renewables, subsidies are now available in the
criteria form of Feed-in Tariffs and the Renewable Heat Incentive,
which improve the commercial viability of renewable
—— energy targets, e.g. for each fuel and individual end technologies. Further information on the schemes can be
users obtained from the Department of Energy and Climate
—— environmental targets, e.g. BREEAM (www. Change (DECC) and Ofgem.
breeam.org), CIBSE TM46: Energy benchmarks
(CIBSE, 2008) For further information on renewable technologies, see
TM38: Renewable energy sources for buildings (CIBSE, 2006b)
—— life cycle costs (see Chapter 12 for information on and BG1/2008: The Illustrated Guide to Renewable Technologies
asset life expectancy data) (BSRIA, 2008a).
—— specific operational requirements for energy-
efficient equipment.
For new build and major refurbishments, Good Practice 5.9 Fuel selection
Guide GPG287: The Design Team’s Guide to Environmentally
Smart Buildings (Carbon Trust, 1996) is particularly helpful Fuel selection is a strategic decision usually taken early
in considering the available options. For refurbishment in the design process. During the life of a building there
projects, KS12: Refurbishment for energy efficiency: an may be opportunities to review the original decisions that
overview (CIBSE, 2007a) provides information on the are often dominated by practical issues such as the
refurbishment challenges and options. Information on availability of fuels to the site, access for delivery, space
internal and external design conditions is available from and cost of storage. Typical fuel specifications and
CIBSE Guide A: Environmental design (CIBSE, 2006a). combustion details are shown in Chapter 5 of CIBSE
Guide C: Reference data (CIBSE, 2007b) and Chapter 1 of
When considering energy-efficiency projects, the energy CIBSE Guide B: Heating, ventilating, air conditioning and
hierarchy should always be followed. First, energy refrigeration (CIBSE, 2001–2002).
5.9.1 Fuel prices effective in a wide range of buildings where there is a year-
round demand for heat (see section 5.3.1 of CIBSE Guide
The price of fuels remains an important factor affecting F (CIBSE, 2012)). Small-scale chp is being used in
choice and life cycle cost. Current energy prices and trends hospitals, hotels, leisure centres, universities, residential
are available online, for example on the DECC website buildings and defence establishments. Large-scale chp
(www.gov.uk/government/organisations/department-of- installations are being successfully used at major hospitals,
energy-climate-change/about/statistics). airports and universities.
Key features of chp:

5.9.2 Environmental emissions of —— provision of on-site electricity generation with heat
fuels recovery
The use of energy affects the environment both at the point —— typically over 80 per cent efficient
of use and indirectly through the ‘upstream’ activities —— generally applicable to locations with year-round
associated with production, conversion and delivery, heat demand
having detrimental impacts locally on air quality and acid
deposition and causing global climate change, primarily —— generally economic if run for more than 4500 hours
through CO2 emissions. Carbon conversion factors are used per year
in the Building Regulations (TSO, 2000/2001/2006), the —— an independent feasibility study is essential, based
CRC Energy Efficiency Scheme and to produce Display on reliable and realistic demand profiles
Energy Certificates. These conversion factors are not all
aligned yet, and care should be taken to use the correct —— avoidance of Climate Change Levy for gas consumed
factor depending on the application. DEFRA produces an by the prime mover and possibly some of the boiler
annual update of carbon conversion factors, available as an plant provides a major financial incentive for chp
online toolkit (www.ukconversionfactorscarbonsmart.co.uk). —— chp should always be the lead ‘boiler’
—— economics of chp improve if standby generation or
5.9.3 Factors affecting fuel choice boiler replacement is being considered
Where a mains supply of natural gas is available, it is likely —— sizing chp somewhat above base heat load (normally
to be the preferred option given its advantages of clean in the region of 10 to 15 per cent) usually provides
combustion and low price. Reliability of supply may the best economics, although a feasibility study will
become an issue as traditional resources close to the UK be required to determine the optimal size for a site
cease to be available. Other options are district heating —— oversizing can lead to excessive heat dumping
schemes, oil, LPG and solid fuel. Biomass fuels are becoming which undermines the economics.
more widely available, but require significant on-site
storage space. Electricity is generally a premium fuel but is Further information is provided in CIBSE Guide F (CIBSE,
relatively expensive. It is the most versatile form in which 2012) and can be found on the DECC CHPQA website
energy is delivered and may serve almost any energy end (www.chpqa.com).
use. Further information on fuel selection is provided in
Chapter 5 of CIBSE Guide F (CIBSE, 2012).
The impact of the following documents should be taken 5.11 Metering

into consideration in the storage and usage of liquid fuels,
as they demand that only certain lower sulphur fuels may Metering is a key part of the feedback mechanisms that are
be burnt after certain dates: essential to monitor the status and operation of a building
—— The Sulphur Content of Liquid Fuels (England and allow the building manager to determine whether
and Wales) Regulations 2000 Statutory Instruments energy consumption is greater than expected. A good
2000 No. 1460 (TSO, 2000b) maxim is: ‘If you cannot measure it, you cannot manage it.’
—— The Sulphur Content of Liquid Fuels Regulations Good metering is fundamental to the monitoring
(Northern Ireland) 2002 Statutory Rule 2002 No. and targeting process that is, in turn, an essential part of
28 (TSO, 2002) energy management.
—— The Sulphur Content of Liquid Fuels (Scotland)
Regulations 2000 Scottish Statutory Instrument Improved sub-metering and benchmarking of end uses will
2000 No. 169 (TSO, 2000c). help building operators to understand and manage their
buildings better, resulting in energy savings. Sub-metering
is particularly important where there are large process
loads, such as a computer suite or a kitchen, which may
mask the true performance of a building. It will also allow
5.10 Combined heat and fair billing for energy use where a building is subdivided
power (CHP) for occupation by more than one organisation or where one
occupant has a variety of cost centres. A meter that identifies
chp can offer a highly economic method of providing heat pumps being left on 24 hours a day, seven days a week, may
and power that is less environmentally harmful than save 60 per cent of the energy passing through it.
conventional methods. Where applicable, chp is the single
most effective means of reducing building-related CO2 Amendments to Approved Documents L1B and L2B 2010
emissions and running costs. chp has proved highly cost editions, published in November 2013 and coming into
effect April 2014, include recommendations for sub- Requirements include:

metering in non-domestic buildings. Reasonable provision
—— minimum efficacies of lamps
of energy meters would be to enable at least 90 per cent of
the estimated annual energy consumption of each fuel to be —— minimum efficiencies of lamp/luminaire/control
assigned to the various end-use categories and for the gear combinations
output of any renewable energy system to be separately
—— maximum power consumption of high-efficiency
monitored. Buildings with a total useful floor area greater
control gear
than 1000 m2 must have automatic meter reading and data
collection facilities installed. Metering provisions should —— minimum controls
be designed to facilitate the benchmarking of energy
—— energy metering.
performance in CIBSE TM46 (CIBSE, 2008).
Starting with the simplest and most economic options,
Owners/occupiers should be given sufficient instruction, every effort should be made to ensure the best use of
including an overall metering strategy that shows how to daylight. This may require action to minimise solar gain
attribute energy consumption to end uses and how the and to ensure glare does not cause a nuisance to occupants.
meter readings can be used to compare operating Automatic dimming control of luminaires near to windows
performance with published benchmarks. CIBSE Guide F can be used as part of the daylight regime. Provision for
(CIBSE, 2012) provides detailed guidance. lighting switching should be arranged to match the usage
of the accommodation. For cellular layouts this would
Reasonable provision of meters would be to install incoming entail individual switching. In open-plan areas, switching
meters in every building greater than 500 m2 gross floor arrangements should ideally coincide with departmental
area. Reasonable provision of sub-metering would be to ‘boundaries’. Where the switching match is poor, wiring
provide additional meters so that the following circuit provisions should be investigated to see if there is
consumptions can be directly measured or estimated: scope for improvement.
—— electricity, gas, oil and LPG to each separate tenanted Maintenance routines can improve lighting efficiency by
area greater than 500 m2 using a regular programme of cleaning for lighting
diffusers and by replacing lamps as they become less
—— energy consumed by assets with input power greater efficient with age.
than that shown in Table 5.2
—— heating or cooling supplied to separately tenanted There may also be advantages in replacing older type
space tubular fluorescent lamps with modern, improved efficiency
units with an equivalent lighting output. LEDs now provide
—— any process load to be discounted from the a viable alternative to traditional lamps.
building’s energy consumption when comparing
measured consumption against published
benchmarks.
5.13 Heating and hot water
Further guidance on how to develop an energy metering
strategy is available in CIBSE TM39: Building Energy Periodic boiler efficiency tests, checks on boiler cycling,
Metering (CIBSE, 2006c). ensuring that system air venting is good, distribution
temperature checks to highlight insulation deficiencies and
monitoring of control set-points all have a contribution to
Table 5.2 Size of assets for which separate metering would be reasonable make to energy efficiency.
(source: TSO, 2000/2001/2006)
Assets Rated input power/ The calibration of the set-points for frost and condensation
kW protection should be checked routinely to ensure that
actuation temperatures are kept as low as practicable. As
Boiler installations comprising one or more boilers or 50
most buildings have a high thermal capacity and take a
CHP plant feeding a common distribution circuit
long time to cool, the actuation setting for condensation
Chiller installations comprising one or more chiller 20 protection systems should be experimentally reduced so
units feeding a common distribution circuit that the true need is established.
Electric humidifiers 10
Motor control centres providing power to fans and 10 Temperatures of hot water systems need to be kept at
pumps appropriate levels to minimise legionellosis risk, but there
Final electrical distribution boards 5
is usually some scope for timing the operating hours.
Variable speed pumping should be considered wherever the

heating load profile shows this to be worthwhile.
5.12 Lighting
Building Regulations Approved Document L2 (HM 5.14 Electrical power
Government, 2010) states that lighting systems should be
reasonably efficient and make effective use of daylight Large and small electrical power loads form a significant
where appropriate. It suggests that the initial efficacy part of the total energy use in buildings. Office equipment
averaged over a whole building should be not less than 40 can typically account for more than 20 per cent of the
lumens per circuit. energy used in an office (lighting can be up to 25 per cent).
In larger offices, significant energy is consumed by the expertise. Even these operatives should be instructed to
power systems supplying the IT equipment. Careful design modify control settings only in accordance with proposals
and selection can result in large energy savings. that have been properly discussed and agreed. Unauthorised
Transformers found on larger sites (usually taking supplies tampering with controls must be avoided.
at 3.3 kV or 11 kV) will typically produce losses of about
1 per cent, which, although small, can again be significant Specialist controls companies offer services to monitor and
and selection of the most efficient is important. optimise energy efficiency of controls systems.
Uninterruptible power supplies (UPS) provide ‘clean’ power
to critical IT equipment. They have fixed losses, which Further information is available in KS04: Understanding
become a larger proportion of output as the load falls, thus controls (CIBSE, 2005), CIBSE Guide H (CIBSE, 2009) and
reducing their efficiency. Computer room air conditioning in Chapter 6 of this Guide.
is often wasteful, using as much energy as the computer
equipment, although current best-practice installations use
some 65 per cent of the computer power. In air-conditioned
offices, it can take 50 per cent more energy to remove heat
generated by the installed equipment than that used to run
5.16 Refrigeration systems
the equipment itself. Oversized assets will reduce operating
efficiency. Catering equipment (e.g. hot water boilers, It is important that the o&m of refrigeration systems be
kettles, refrigerators and vending machines) can contribute carried out only by trained personnel with the appropriate
significantly to heat gains. expertise. Skill and expertise are essential for effective
monitoring of the factors that influence the efficient
Much electrical power is used by electric motors, and their operation of a refrigeration system, including refrigerant
rating should be appropriate to the required duty. The use charge levels, compressor cycling and pressures and
of variable speed drives should be considered wherever temperatures throughout the refrigeration system circuits.
feasible and cost effective. To put this into perspective, a fan
or pump drive motor operating at half speed reduces power Water treatment needs to be applied and maintained to
consumption by more than 85 per cent. Further information keep heat exchange surfaces clean to maximise efficiency.
on motor control and variable speed controls can be found This applies particularly to units with evaporative cooling
in CIBSE Guide H: Building control systems (CIBSE, 2009) where water treatment is crucial to the control of algae and
and CIBSE Guide F (CIBSE, 2012). microbial and bacterial activity including legionellosis.
Refrigerating efficiency can be improved significantly by

allowing the condensing pressure to vary on a seasonal
5.15 Controls basis. Where this facility is not included in the installation,
advice should be sought from the manufacturer.
Control systems can have a fundamental effect on the
energy efficiency of building services. As well as trying to
ensure that a control system is performing its function
effectively, FMs need to ask whether they fully understand 5.17 Justification of energy
the system and determine if it is manageable. Controls
need to be managed and maintained efficiently and
projects
economically. Where this is not possible, the need for a
change is indicated. Perhaps the control system should be Energy-efficiency measures may have higher capital costs
simplified or, possibly, the FM and maintenance team than less efficient technologies. Specialist technologies may
should be given better training. require specialist maintenance, although in some cases the
extended life expectancy of the assets can more than
Calibration of control sensors is a critical factor in compensate for any additional maintenance costs.
ensuring that a control system functions properly. In some
instances, recalibration of controls is a demanding For high capital cost measures it is essential that a full
requirement consuming a significant proportion of the feasibility study is undertaken to identify all additional
system maintenance costs. The replacement of sensors costs and benefits. Whole-life costing will capture all costs
with better quality components can reduce, or even associated with the project to encourage decisions to be
eliminate, the problem of set-point drift, as well as taken on the basis of the total cost of the asset rather than
improving energy efficiency. the immediate upfront cost.
Simple disciplines can exert a strong, positive influence on Guidance on whole-life costing is available in BG5/2008:
energy efficiency. Routine maintenance checks are Whole Life Costing Analysis (BSRIA, 2008b).
important on time switches and optimiser controls to
ensure that the settings are as intended and appropriate to
the operational regime.
References
Where occupants are provided with control interfaces, it is
important that they appreciate the mode of operation that BSI (2011) BS EN ISO 50001:2011: Energy Management (London: BSI)
will give the best results. This information should be given
in a user’s handbook. BSRIA (2008a) BG1/2008: The Illustrated Guide to Renewable Technologies
(Bracknell: BSRIA)
For centralised system controls, access should be restricted
to authorised personnel with the appropriate training and BSRIA (2008b) BG5/2008: Whole Life Costing Analysis (Bracknell: BSRIA)
Carbon Trust (1996) Good Practice Guide GPG287: The Design Team’s HM Government (2010) Building Regulations 2000 Approved Document
Guide to Environmentally Smart Buildings (London: Carbon Trust) L: Conservation of Fuel and Power (London: HM Government)
CIBSE (2009) CIBSE Guide H: Building control systems (London: CIBSE) HM Government (2013) Government GHG Conversion Factors for
Company Reporting [online] https://www.gov.uk/measuring-and-
CIBSE (2001–2002) CIBSE Guide B: Heating, ventilating, air conditioning reporting-environmental-impacts-guidance-for-businesses (accessed
and refrigeration (London: CIBSE) August 2014)
CIBSE (2012) CIBSE Guide F: Energy efficiency in buildings (London:

TSO (2000/2001/2006) The Building Regulations 2000 Statutory
CIBSE)
Instruments 2000 No. 2531, as amended by The Building (Amendment)
Regulations 2001 Statutory Instruments 2001 No. 3335 and The Building
CIBSE (2005) KS04: Understanding controls (London: CIBSE)
and Approved Inspectors (Amendment) Regulations 2006 Statutory
Instruments 2006 No. 652 (London: TSO)
CIBSE (2006a) CIBSE Guide A: Environmental design (London: CIBSE)
CIBSE (2006b) TM38: Renewable energy sources for buildings (London: TSO (2000a) Building Regulations (Northern Ireland) 2000 Statutory
CIBSE) Rules of Northern Ireland 2000 No. 389 (London: TSO)
CIBSE (2006c) TM39: Building energy metering (London: CIBSE) TSO (2000b) The Sulphur Content of Liquid Fuels (England and Wales)
Regulations 2000 Statutory Instruments 2000 No. 1460 (London: TSO)
CIBSE (2007a) KS12: Refurbishment for energy efficiency: an overview
(London: CIBSE) TSO (2000c) The Sulphur Content of Liquid Fuels (Scotland) Regulations
2000 Scottish Statutory Instrument 2000 No. 169 (London: TSO)
CIBSE (2007b) CIBSE Guide C: Reference data (London: CIBSE)
TSO (2002) The Sulphur Content of Liquid Fuels Regulations (Northern
CIBSE (2008) TM46: Energy benchmarks (London: CIBSE)
Ireland) 2002 Statutory Rule 2002 No. 28 (London: TSO)
Commission for the European Communities (2003) ‘Directive 2002/91/EC

of the European Parliament and of the Council of 16 December 2002 on TSO (2004) The Building (Scotland) Regulations 2004 Scottish Statutory
the energy performance of buildings (‘The Energy Performance of Instruments 2004 No. 406 (London: TSO)
Buildings Directive’)’ Official Journal of the European Communities L1/65
(Brussels: Commission for the European Communities)
DECC (2011a) Digest of UK Energy Statistics (DUKES): Energy

Consumption in the UK [online] https://www.gov.uk/government/
Bibliography
publications/energy-chapter-1-digest-of-united-kingdom-energy-
statistics-dukes (accessed August 2014) Action Energy (1997) Good Practice Guide GPG 119: Organising Energy
Management: A Corporate Approach (London: Action Energy)
DECC (2011b) The Carbon Plan: Delivering Our Low Carbon Future
(London: DECC) BCO (2006) Guide to Environmental Management (London: BCO)
Appendix 5.A1: Energy benchmark data

Table 5.A1.1 Energy data (from Table 1 of CIBSE TM46: Energy benchmarks (CIBSE, 2008))
Building type Annual energy consumption good practice benchmark kW·h/m2
Electricity typical benchmark Fossil-thermal typical benchmark
(kW·h/m2) (kW·h/m2)
General office 95 120
High street agency 140 0
General retail 165 0
Large non-food shop 70 170
Small food store 310 0
Large food store 400 105
Restaurant 90 370
Bar, pub or licensed club 130 350
Hotel 105 330
Cultural activities 70 200
Entertainment halls 150 420
Swimming pool centre 245 1130
Fitness and health centre 160 440
Dry sports and leisure facility 95 330
Covered car park 20 0
Public buildings with light usage 20 105
Schools and seasonal public buildings 40 150
University campus 80 240
Clinic 70 200
Hospital (clinical and research) 90 420
Long-term residential 65 420
General accommodation 60 300
Emergency services 70 390
Laboratory or operating theatre 160 160
Public waiting or circulation 30 120
Terminal 75 200
Workshop 35 180
Storage facility 35 160
Cold storage 145 80
Table 5.A1.2 Separable energy uses (from Table A2.1 of TM46: Energy benchmarks (CIBSE, 2008))
Separable energy use description Benchmark categories
Regional server room General office
Trading floor General office
Bakery oven Large food store
Sports flood lighting Dry sports and leisure facility
Furnace, heat treatment or forming process University campus
Hospital clinical and research
Laboratory or operating theatre
Workshop
Blast chilling or freezing Cold storage
Controls for building services 6-1
6 Controls for building services
6.1 Purpose of controls Summary
6.2 Maintenance This chapter discusses the purpose of controls. Reference is made to the importance of providing
requirements building occupants with the ability to regulate their own environment and ensuring that they
6.3 Building management understand how the control system operates. A user’s handbook is recommended.
systems The maintenance of controls is discussed, including examples of contract options particular to controls
6.4 Upgrading control maintenance and the need for periodic re-commissioning.
systems Typical routine maintenance checks for controls are outlined, with particular reference to building
6.5 Need for training management systems.
References Finally, the scope for exploiting the continual development of controls technology to effect viable
upgrading of control systems is discussed.
Bibliography
Controls and control systems are an essential part of that buildings are operated in an energy-efficient manner.
buildings and the management of the internal environment. They operate by measuring and adjusting specific variables
KS04: Understanding controls (CIBSE, 2005) provides a such as temperature, flow rate, pressure and electrical
useful source of reference to the understanding of resistance. These then alter the system output to enable the
terminology, functions, limitations of controls and how conditions required by the occupant to be satisfied (see
clients and building users can explain their requirements. Figure 6.1).
Detailed information is provided in CIBSE Guide H:
Building control systems (CIBSE, 2009). Experience suggests The three main functions of building control systems are
that many buildings do not work as well as intended or do to:
not satisfactorily meet the occupants’ requirements;
—— switch equipment on and off
appropriately designed and commissioned controls can
solve this problem. —— adjust the output of equipment to maintain the
required operating conditions
Controls can also make a significant impact on combating
—— provide monitoring and metering functions.
excessive energy consumption. Some common problems
recorded are inappropriate controls concept, poor design of
The terms ‘controls’ and ‘control systems’ are often used
the control system, poor equipment selection (e.g. low-
interchangeably but, although they mean the same for most
quality sensors, oversized control valves or dampers),
practical purposes, there are some minor differences.
incorrect commissioning or inadequate maintenance. Any
‘Controls’ is a generic term used for a collection of individual
one of these shortcomings is capable of producing serious
control elements, from sensors, valves and timers to control
adverse effects.
panels. A ‘control system’ performs the control function and
in its simplest format comprises a sensor, a controller and
Maintenance of controls plays an important part in
the controlled device (see Figure 6.2).
managing the performance and operational efficiency of
the building services installation.
The sensor detects or measures a variable, such as
temperature, and transmits its value to the controller,
which acts on the information. Generally, any control
6.1 Purpose of controls
System input Sensor
The fundamental purpose of building engineering services
controls—whether automatic or manual—is to regulate the
performance of systems to meet operational and
environmental requirements in accordance with the design
Controller
intent. In most instances, the designer takes account of Controls
energy efficiency in selecting control sequences and set- Feedback
point parameters. Output
Controls are needed to ensure safe operation and to achieve Controlled device
Maintained
the required output from the building services systems, and condition
as such they act to achieve and then maintain a specific
condition, for example temperature or lighting level. The Figure 6.1 The principle of Figure 6.2 Schematic of a basic
controls of the building services play a key role in ensuring controls control system
Manually operated controls indicate reasonable ranges of adjustment to facilitate

resetting by authorised personnel where this is shown to be
appropriate. Such a schedule should also include comments
Inc
rea
on the likely effect of set-point adjustments on operational
sin
Simple automatic controls energy efficiency as well as occupant comfort.
g
cap
a
Ideally, the designer should provide a users’ handbook to
bili
guide the building occupants on how to gain maximum
ty,
Direct digital controls (DDC)
benefit from the environmental systems.
cos
ta
nd
com
Building management systems (BMS)
6.2 Maintenance
ple
x
ity
requirements
Integrated control systems
Mechanical maintenance of manual controls and automatic
control actuators is necessary to ensure that these operate
Figure 6.3 Relative capability and complexity of key control systems smoothly over their complete range. It is also important to
check the set-points and calibration of all control sensors to
ensure satisfactory operation of the control system. In
addition, the performance of the system should be
system is only as good as its sensors and the quality and monitored, for example to ensure key temperature and
accuracy of the information they provide. Ideally, the other set-points are satisfactorily achieved and energy-
simplest control system that meets the needs of the building efficiency targets are met. The result of this approach is, in
operator, has sufficient capability and efficiently delivers effect, a continuous fine-tuning of the control system. For
the required quality of system operation should be selected. this to be fully effective, a written record of all changes and
adjustments must be kept and the building log book
Figure 6.3 shows the relative capability and complexity of (CIBSE, 2006) annotated accordingly.
key control systems (De Saulles, 2002).
It should be good practice within maintenance of the
Surveys of building users have shown that occupants accept control system to check on the energy consumption of the
building services installations more readily where they are installation. Energy targets should be set by the designer
able to intervene in the control system to some degree and and, where measured performance falls outside these, some
to exercise their own preferences. In its simplest form, this form of reporting and further investigation should be
may entail opening a window to increase ventilation or carried out. The energy targets and subsequent performance
adjusting a thermostatic radiator valve to influence space data should be included in the building log book (CIBSE,
temperature. Similarly, it can be beneficial to offer occupants 2006). Example energy benchmarks are included in
a measure of influence on automatic control set-points. Appendix 5.A1.
The original design intent should be made clear to building As occupant satisfaction is one of the main aims of a control
users and occupants. For simple building service system, it would be reasonable for the client to consider the
installations, such as low temperature hot water (LTHW) operation of a system of user reports compiled by the
heating systems, this may be self-evident. Other building occupants. Where appropriate, the user reports
installations, such as air conditioning systems, may be would be passed to the controls maintenance service
quite complex with various operating modes and providers for them to consider and recommend appropriate
sophisticated control sequences. The ‘good practice’ courses of action.
approach is for the system designer to provide a full design
description covering all building services systems and their
control concepts. This should describe the way the systems Clients should consider routine review meetings with the
are intended to operate and may be supported by schematic controls maintenance service provider. The object of the
diagrams to clarify particular operational details. This will meetings would be to monitor maintenance performance
help define the performance requirements of the control and to seek continuing improvement. Where independent
system. Control sequences to regulate the operation of the maintenance contract performance monitoring is
system and to specify design set-point parameters may be employed, the monitoring consultant should be present at
included within the design description or presented as a review meetings.
separate document.
The design description should be aimed primarily at the 6.2.1 Periodic re-commissioning
building user and compiled in everyday language. For the
sake of clarity and comprehension, it is important to avoid With some systems, monitoring may show a progressive
jargon, to define engineering terms and to ensure that the deterioration of performance to a degree where
complete document is relevant to the particular installation. re-commissioning eventually becomes necessary.
Care should be taken to describe fully the scope that the It is also recommended that consideration be given to
building occupier has to adjust the operation of the systems re-commissioning the controls installation when a major
to suit the specific requirements. In this respect, it may be change of use or refurbishment takes place or when a new
helpful to schedule all system control set-points and to energy management policy is implemented.
6.2.2 Control component influences —— penalty clauses for control system failure or for
other proven shortcomings
Design provisions can aid the maintenance task. For —— incentives to rearrange maintenance schedules to
example, the provision of high-quality sensors can reduce minimise unnecessary service duties (e.g. ‘shared’
the tendency for set-point ‘drift’ and, thus, the need for savings arrangements).
regular recalibration or even replacement. Intelligent
controls can be arranged for self-monitoring; this can be a
valuable asset in maintenance, provided that not too much
faith is placed in this facility. The truly significant factor in 6.3 Building management
system performance is that the maintenance engineer must
always challenge and cross-check self-monitoring features. systems
For example, the particular location of a monitoring sensor
in a fluid distribution pipework or ductwork system can A building management system (bms) is a control system
influence the reading and result in a misleading indication. that performs the overall control and monitoring functions
for some or all of the building’s plant and systems (see
Figure 6.4). It is a networked system with one or more
operator stations providing the user interface. For most
6.2.3 Contract options applications, the sensors and actuators are linked into
outstations, which gather data, act to provide the form of
The form and terms of the contract agreement for the control and transmit information to the operator terminal.
maintenance of the control system and the selection of the
service provider can influence performance. Examples of The building services system designer will have devised
maintenance service provision include: the controls concept that the bms is intended to fulfil.
However, the designer may have only a limited
—— manufacturer-based contracts: the service provider understanding of how the actual bms functions. A full
has an implicit incentive to ensure effective understanding of the bms is generally confined to the bms
maintenance to support the reputation of that manufacturer and it is not uncommon for a thorough
manufacturer’s products; they would normally understanding to be further limited to the specialists
have input into the design of the control system responsible for constructing the system software. Industry-
standard algorithms (Martin and Banyard, 1997) for
—— contract maintenance: this arrangement can range particular functions are available; these can be adapted to
from simple inspection and checking to the suit a particular application. The extent to which the bms
responsibility for full repair of the control system manufacturer’s maintenance team understands the system
for a specified contract period, which may also operation depends to a large degree on the quality of the
entail performance targets. back-up documentation provided by the installer.
Performance-related incentives may be included in the 6.3.1 IT services integration

terms of the contract; these may be based on:
As buildings become more intelligent and complex,
—— energy-consumption performance targets integration of building managements systems have become
more prevalent. Examples include the aggregation of
—— for process applications, including computer room building services functions such as energy management
environmental systems, the consistent achievement systems, power monitoring systems and bms relating to
of control parameters with penalties for deviation heating and ventilation.
Site-wide
Fire and life safety
Building services Specialist services communications
system
applications
Heating, cooling and

Power monitoring
ventilation control Security system Laboratory systems Paging system
systems (PMS)
(HVAC)
Energy management Lighting control Hospital nurse call

Fire alarm system Telephony
system (EMS, SCADA, PLC) systems systems
Flight information
Corporate email system Radio system
display services
Corporate email system
Figure 6.4 Various monitoring systems found within a building

Field devices Automation (including outstation) —— Decisions on whether the point is a digital input/
output or a function controller: a full points list
needs to be maintained to ensure that the input and
outputs are fully catalogued.
—— Topology of the structured cabling system to be
considered, including patch cabling to enable
communications between end devices, servers and
central supervisory computers: the outstations or
floor distribution cupboards need to be labelled
well to ensure the destination of each port is known
and drawings are documented. The configurations
could be radials, rings, redundant rings or mesh,
depending on the criticality of the network
infrastructure. A diagram should be provided to
illustrate the physical topology and IP addresses,
and subnets of all devices should be tabulated.
—— Switching may be needed to enable network
segregation to ensure that bandwidth and security is
maintained between distinct systems. This is
normally achieved using virtual private networks
(VPNs), and each virtual network is given dedicated
network bandwidth and prevents other services
from interfering with the specific services.
Figure 6.5 BMS with intelligent outstations (two-level system) Sometimes a VPN is insufficient separation between
services. Critical services (such as HV switching
Integration can occur on many levels (Open Systems processes) should be physically separated if it is
Interconnection model is a good starting point in analysing determined that security, response time or reliability
the different levels of integration) and each of the following may be compromised. Protocol integration and
needs to be taken into consideration: database connections (open protocol connections)
should be recorded to capture service connections,
—— physical layer (the digital input/output points, RS- points and exchange data types. Gateways may also
232, RS485) be required to enable translations between different
protocol types, for example between an in-built
—— data/network layer (for example virtual private chiller controller and the bms.
networks)
With the plethora of intelligent services available,
—— transport layer (using either transmission control multiple central supervisory computers may be the
protocol (TCP) or user datagram protocol (UDP) simple solution but it may become cumbersome to
manage and maintain the various services.
—— application layer (connecting using Modbus or Middleware may be required to integrate services to
BACnet etc) a single central supervisory computer, which will
provide the user with a single human interface to
—— the way it is presented to the operative on the review the overall health of the whole building.
central supervisor unit. External interfaces to service providers and remote
connections back to a central location are becoming
The increasing complexity in both the technical and more popular. Service providers can give customers
contractual execution requires management and co- a faster response time and obtain more fault
ordination between the facilities management team, IT diagnostic information to enable correct parts to be
specialist and controls specialists. delivered as soon as a fault occurs.
Companies with a large campus or even international
offices may elect to connect sites to a single control
6.3.2 Construction of the BMS centre to enable delivery of high-level expertise
from a single location. Other advantages include
The effectiveness of a bms depends directly and the ability to manage and benchmark multiple sites
fundamentally on the software that is the controlling in one location. Security needs to be considered
mechanism for the system. It is not unusual for bms when establishing external connections, as any
manufacturers to be cautious in disclosing details of their external public connections will be vulnerable to
systems and software; the reasons stated for this generally malicious attacks.
concern commercial sensitivity. Co-ordination of shared IP addressing between
building services and IT services is needed to ensure
There are several areas that will require design and that integrated networks operate cohesively,
maintenance considerations, including: maintaining security and reliability. Corporate
gateways and proxy servers need to be
—— Correct location, positioning and calibration of co-ordinated to ensure that external interfaces
each control sensor: incorrect positioning or are achieved whilst corporate security measures
calibration will result in spurious readings. are maintained.
6.3.3 BMS commissioning Real-time monitoring of the network is required to ensure

that the network capacity and resilience is maintained.
The commissioning of a bms is often undertaken by the There is commercially available software that can
manufacturer. The degree of monitoring of this process, continuously monitor the health of the network, including
which can be applied by the designer, the commissioning measurements of the network utilisation to identify any
specialist or manager, or the witnessing authority, will network congestions and unauthorised moves, adds and
depend on their terms of appointment. changes. This monitoring software needs to be
complemented with managed switches to ensure that the
CIBSE Commissioning Code C: Automatic controls (CIBSE, health of the network can be assessed with clarity.
2001) provides a good framework for the commissioning of
bmss, as does Chapter 12 of Design Considerations for Datacom Close co-ordination between the facility management team
Equipment Centers (ASHRAE, 2009). Although it is part of a and IT team will aid better integration and management of
data-centre centric specification, the basis of a bottom-up a fully functional bms.
approach allows small portions of the system to be verified
before the overall system is commissioned. This simplifies
component troubleshooting and provides clear milestones 6.3.5 Logging, reporting and back-up
for commissioning of a large-scale bms. AG10/2001: Effective
BMS (Pennycook, 2001) also provides useful guidance. The outcome of all these checks should be recorded in
the bms log book, with the entries being kept under
6.3.4 BMS maintenance continuing review by the maintenance engineer for
indicative trends. Any indications, such as deterioration in
Maintenance of a bms is generally undertaken by the reliability of any components, should be reported promptly
manufacturer or systems house. Maintenance is typically to the client, together with supporting evidence, and acted
separated out into functional checking (e.g. control loop upon as appropriate.
tuning) and checking the hardware operation (e.g. valve
and damper actuator operation, sensor accuracy). AG4/2003: Energy consumption checks and recording or graphical
BMS Maintenance Guide (Martin, 2003) provides guidance plotting of control variables may be a suitable means of
on bms maintenance. Software system access is controlled assessing the effectiveness of control performance.
by password and may be arranged to permit varying levels
of access for different personnel. Typically, ascending order bmss are becoming more sophisticated in the way they can
of access would be arranged for the system operator, the log information and provide high-speed recording during
controls specialist maintenance engineer and the controls critical failure events. The amount of data can be
specialist design team. As noted above, there is no guarantee overwhelming for the operator. At the establishment of the
that the bms manufacturer’s maintenance technicians will bms or during maintenance visits, the site operating team
have a thorough understanding of the software. They can, should assess their reporting needs and use the bms recording
however, reasonably be expected to be fully familiar with services to facilitate their day-to-day operations. Reports
the hardware components used in the bms installation. should be accompanied by design criteria target values to
provide a meaningful assessment of the building performance.
Ideally, the bms maintenance engineer should retain a
measure of scepticism regarding the capability of the Back-up procedures should be put in place to ensure that
system. To foster this approach, bms maintenance routine historical records are kept and housekeeping procedures
schedules should include checks on control elements on a are in place to delete data that is no longer needed.
rolling programme basis. These should comprise checks of
sensor location and calibration, ensuring that these are
measuring true conditions and are not adversely influenced
by fluid turbulence or incomplete mixing of fluid streams.
Actuator operation should be checked over the complete 6.4 Upgrading control
control range movement. Most important of all, however, is systems
the need to check the ‘end result’ of each control element,
i.e. that the control is meeting its design intent efficiently Developing technology tends to provide continuing
and effectively. opportunities for improvement of control systems, for
example by enhanced capabilities of the system
It may be difficult to draw distinct lines of responsibility components, enhanced software or by improvements in
between a services provider that installs and maintains the the original concept. The cost effectiveness of any
bms system with those that support the structured cabling, prospective improvement, however, should be assessed
IT hardware and software. It is sometimes very difficult to carefully by comparing the cost of the replacement or
untangle this integration when a fault occurs and multiple upgraded controls against the benefits likely to be achieved
suppliers may be required to resolve the issue. A bottom-up by more efficient operation.
approach will be required to ensure that the device is
providing the expected output and tracing this all the way
to the control process up to the central supervisory system. To provide an incentive for change, it may be necessary to
make allowances based on the economic life expectancy of
Each layer of integration will need to be tested and the existing control components (see Chapter 12).
commissioned at regular intervals. This will normally be Individual components may benefit from upgrade. In
incorporated as part of the periodic testing and particular, the installation of better quality sensors may be
re-commissioning process. As each point is exercised, each beneficial, especially where these provide a controlling
point to point is verified from the device to the central function rather than just monitoring. Some sensors are
supervisory system. prone to ‘drift’ and may require frequent recalibration.
Another motivation for controls replacement could arise if understanding of controls principles. Ideally, this
the existing system proved to be too sophisticated, to an knowledge should extend to an appreciation of controls
extent where it was not understood by the users and was too concepts. Where the maintenance technician does not have
complex for the maintenance service provider to manage this knowledge base, arrangements should be in place to
effectively. Such a situation would require a frank review, provide ready access to technical back-up and the
involving all the parties with an interest in the issue, taking technicians encouraged to make proper use of this.
account of all relevant factors and deciding on an Without this knowledge, the maintenance technician will
appropriate course of action. Cost control of this action be unable to effect improvements to the control system and
would be an important consideration. would be unlikely to identify deterioration in control
system performance.
IT hardware life cycle can be a driving force for the upgrade
of bms components. IT has a rolling four to six year life From the viewpoint of the controls maintenance service
cycle. Although this may be helpful to ensure that the provider, the skill of its workforce is probably its major
equipment is up to date and security vulnerabilities are asset. In view of this, it is not unreasonable to expect the
addressed, older controllers (often never renewed in their service provider to develop and promote these skills. The
services’ life) may become incompatible. The building service provider should also recognise individual operative
services network should be maintained by the facilities skills. In addition to continuing formal training, it is likely
management team with consultation with the IT team to be cost effective to provide staged opportunities for
rather than exclusively managed by it. cross-fertilisation of skills and techniques between
operatives. Innovations and suggestion schemes or other
Some corporate networks may require head-end machines forms of incentives may offer appropriate means of deriving
to be provided by it and building management software to corporate benefit from this source.
be installed by a third party. Unfortunately, due to the long
life cycle for building control software compared with It is implicit in the terms of any maintenance contract that
commercial operating systems, compatibility issues the workforce will be skilled, experienced, properly trained
between the building controls software and operating and fully competent. It is, however, incumbent on the
systems may arise. Many software manufacturers produce customers to monitor the service they receive and to ensure
web-based software to overcome this problem. It is that the contract standards continue to be achieved. Where
worthwhile requesting compatibility tables between customers are unable to effect this monitoring from their
building controls software and operating system before it own resources, it may be advantageous to retain the services
attempts to upgrade head-end machines. of an independent auditor to carry out assessments of
contractual performance on their behalf.
It is not uncommon for new technology to fall short of its
initially predicted capabilities and performance. For this
reason, the user should be cautious of revolutionary or
‘panacea’ proposals from the controls manufacturer or
References
maintenance service provider. Even apparently successful ASHRAE (2009) Design Considerations for Datacom Equipment Centers (2nd
track records in other applications may have limited edition) (Atlanta, GA: ASHRAE)
relevance to the user’s system.
CIBSE (2009) CIBSE Guide H: Building control systems (London: CIBSE)
The speed of development in the bms field lends some
credibility to the claim that a system is obsolescent the day CIBSE (2001) CIBSE Commissioning Code C: Automatic controls (London:
after it is installed. The improvement between successive CIBSE)
versions can be very marked. There may be some scope for
CIBSE (2005) KS04: Understanding controls (London: CIBSE)
users with an existing bms to negotiate an arrangement
with the proprietary supplier to provide version updates at CIBSE (2006) TM31: Building log book toolkit (London: CIBSE)
reduced costs.
De Saulles T (2002) AG15/2002: Illustrated Guide to Mechanical Building
Services (Bracknell: BSRIA)
6.5 Need for training Martin A (2003) AG4/2003: BMS Maintenance Guide (Bracknell: BSRIA)
Controls manufacturers and systems houses have an Martin A and Banyard C (1997) AG7/97: Library of System Control Strategies
obligation to provide training in the installation, commis (Bracknell: BSRIA)
sioning and maintenance of their own products for their
own workforce. Some manufacturers also provide training Pennycook K (2001) AG10/2001: Effective BMS (Bracknell: BSRIA)
for individuals other than their own personnel.
The low level of skills in some organisations in the building Bibliography

engineering services sector of the construction industry has
led to trade organisations introducing operative certification CIBSE (2012) CIBSE Guide F: Energy efficiency in buildings (London:
to provide some reassurance to customers. The Building CIBSE)
Controls Industry Association (BCIA) has developed a
BSI (2004) BS EN ISO 16484-2: 2004: Building Automation and Control
training scheme for controls personnel, leading to a
Systems Hardware (London: BSI)
certificate of competence. It would be prudent for
prospective customers to enquire at tender stage about the Building Performance Group (2000) Building Services Component Life
competence of the operatives to be dedicated to their work. Manual (Oxford: Blackwell Science)
In addition to manual and craft skills, it is important for a TSO (2007) The Construction (Design and Management) Regulations
controls maintenance technician to have a good technical 2007 Statutory Instrument 2007 No. 320 (London: TSO)
Commissioning and testing 7-1
7 Commissioning and testing
7.1 Commissioning Summary
management
This chapter refers to the scope of work of a commissioning specialist and describes the areas of
7.2 Summary of involvement of a commissioning manager.
commissioning
requirements The need for comprehensive documentary support is stated and the various record requirements are
outlined. The need to update records is noted.
7.3 Commissioning manager
and commissioning The process of fine-tuning the performance of an installation is outlined and details are given of
specialist responsibilities troubleshooting investigations and operational situations where repeat commissioning may be
appropriate.
7.4 Documentation
7.5 Designer’s checklist A designer’s checklist for commissioning is provided and guidance on the decommissioning and
mothballing of an installation are given.
7.6 System characteristics
7.7 Post completion testing
7.8 Repeat testing and
commissioning
7.9 Controls and building
management systems
7.10 Decommissioning and
mothballing
References
Bibliography
The commissioning and testing functions are defined and the building occupants with a safe, good-quality,
explained fully in the series of CIBSE Commissioning comfortable internal environment using heat and electrical
Codes. energy (whether generated on-site or obtained from public
networks) cost effectively.
—— CIBSE Commissioning Code A: Air distribution
systems (CIBSE, 1996/2004)
Historically, the importance of good-quality commissioning
—— CIBSE Commissioning Code B: Boiler assets CIBSE,
has been understated and, by virtue of its position within
2002a)
the construction programme, has too often been sacrificed
—— CIBSE Commissioning Code C: Automatic controls to achieve practical completion. It is positive however, that
(CIBSE, 2001) where buildings are required to achieve environmental
assessment under BREEAM, there are credits awarded
—— CIBSE Commissioning Code L: Lighting (CIBSE, from commissioning management that are recognised as a
2003a) contributing factor to the delivery of environmentally good
—— CIBSE Commissioning Code M: Commissioning performing buildings. These credits are as follows.
management (CIBSE, 2003b)
—— Depending on the BREEAM rating (Pass, Good,
—— CIBSE Commissioning Code R: Refrigerating systems Very Good, Excellent or Outstanding) the
(CIBSE, 2002b) requirement is to engage a commissioning agent.
—— CIBSE Commissioning Code W: Water distribution (Man 1 Management).
systems (CIBSE, 2010)
—— Credit 1 (1 point): Where evidence provided
Commissioning is the advancement of an installation from demonstrates that an appropriate project team
static completion to working to specified requirements. member has been appointed to monitor
Testing is the measurement and recording of system commissioning on behalf of the client to ensure
parameters to assess specification compliance. commissioning will be carried out in line with
Commissioning of buildings and their engineering services current best practice.
is very important to their safe and energy-efficient
operation. This key stage in the construction process —— Credit 2 (1 point): Where, in addition to the above,
enables the installed systems to be operated according to evidence provided demonstrates that seasonal
the design intent. When coupled with good maintenance commissioning will be carried out during the first
practice, commissioning, seasonal commissioning and, year of occupation, post-construction (or post-
where appropriate periodic, re-commissioning help provide fit-out).
The main factors influenced by the commissioning of building log book (CIBSE, 2006) and other record
building services are: documentation must be updated as appropriate.
—— assets operation within the specified design
parameters, including internal and external A similar exercise should be completed when a tenant
carries out ‘category B’ fit-out in a building that has been
conditions
finished to ‘category A’ fit-out standard.
—— maintenance of internal design parameters within
defined tolerances at all load conditions
—— minimising energy consumption
—— future maintenance requirements.
7.2 Summary of
commissioning
Good commissioning of building services requires specialist
skills and knowledge. It also requires consideration at the
requirements
outset of the project, especially at design stage, and when
key decisions relating to the construction process are taken. Building services assets and systems should be inherently
Commissioning must not be considered as a ‘bolt on’ to the commissionable. This is most likely to be achieved if the
systems at the end of the project; it is a continuous process requirement is in the brief from the outset and specialist
and must be integral to the design development if it is to commissioning advice is sought early in the design process.
deliver value. The following summarises the key requirements for
successfully commissioned building services.
—— The service provider and client should allow sufficient
time for the complete commissioning process and
7.1 Commissioning ensure integration into the overall programme.
management —— Cost of fuel for testing and commissioning should
be allowed for.
The main objective of commissioning management is to
manage the overall pre-commissioning and commissioning —— A commissioning management team should be
activities, including programming and co-ordination of formed early in the design phase and a
energising the installation, to achieve the project completion commissioning plan, as discussed above, should be
date. All major projects should be assessed to see if there is created at this time. This should include a roles and
justification for appointing a commissioning manager. responsibilities matrix. The commissioning
manager should review the construction process to
To help achieve effective commissioning planning and advise on buildability and commissionability.
execution, a commissioning plan should be prepared that
organises the process from the early phases of the project —— Maximum use should be made of off-site
through to completion. The plan should cover the pre-commissioning activities.
following stages:
—— Manufacturers of equipment should be involved in
—— Stage 1: Preparation the commissioning process.
—— Stage 2: Design —— Thorough commissioning procedures should be
—— Stage 3: Pre-construction adopted.
—— Stage 4: Construction —— Documentary evidence that the requirements of the
Building Regulations have been met must be
—— Stage 5: Commissioning of engineering services provided, as well as environmental assessment
—— Stage 6: Pre-handover credits.
—— Stage 7: Initial occupation. The plan can be used to —— User feedback should be obtained to confirm the
cover a further stage if a soft landings framework is performance of the installed systems and the
employed on the project: attainment of required internal environmental
—— Stage 8: Post-occupancy aftercare. conditions.
Further detail surrounding the implementation of such a

model is published in BG44/2013: Seasonal Commissioning
(BSRIA, 2013). 7.3 Commissioning manager
and commissioning
A detailed consideration of commissioning management
is also provided in CIBSE Commissioning Code M specialist responsibilities
(CIBSE, 2003b).
The responsibilities of the commissioning specialist can
A number of buildings are built to ‘shell and core’ status be extensive and various depending on how early they are
and a set of commissioning parameters must be set out by appointed and the extent of the brief. If appointed early
the designers and agreed prior to contract commencement. enough, the commissioning specialist’s input at the
It is to be expected that the final performance of the design stage can make a significant contribution to
building will change as fit-out is completed and the building ensuring the success and timely completion of a project.
comes fully on line. These changes in system performance Good-quality commissioning can have a positive impact
must be recorded by the commissioning specialist and the upon asset life cycle.
If the brief extends to a commissioning management role —— witnessing of site testing

then the commissioning manager should create the
commissioning plan, as discussed above, and this should —— witnessing the flushing and cleaning of pipework
include a roles and responsibilities matrix. The distribution systems
commissioning manager’s responsibility is to interface all —— witnessing commissioning
the activities of the work package to produce complete
operational systems on time. The commissioning manager —— witnessing interface testing
should be appointed to the project/management team as —— witnessing environmental testing
early as possible so that the interfacing can happen in a
proactive manner. —— co-ordinating record documentation
—— organising client training.
The commissioning manager would normally be expected to
be appointed to the project management team with a separate
The benefits of commissioning are unfortunately not
contract to the ‘hands-on’ commissioning specialists to
always fully understood, and it is not uncommon for
enable them to report objectively to the management team.
systems to be ‘part’ commissioned on a sample basis. This
is normally a client decision and a result of value
The hands-on commissioning specialists are often
engineering. It is recommended that all buildings are
mono-disciplined specialists and employed by the relevant
100 per cent commissioned.
subcontractors as part of their contract of supply.
The function of the commissioning manager is to bring All installations, irrespective of size, need to be properly
together each of the specialist operations into a focussed commissioned and the following general principles will
delivery team by ensuring co-operation, consensus and apply. The appointed organisation must also have an
co-ordination and dealing with any or all the following: understanding of the implications of relevant regulations
and a policy and strategy for working to meet those
(a) Electrical services: regulations.
—— high voltage and low voltage
Commissioning specialist responsibilities may include
—— uninterruptible power supply/generators some or all the following activities, depending on whether
—— security and fire systems the appointment is for system commissioning or for a wider
commissioning management role.
—— audio and IT systems.
(a) Design stage:
(b) Mechanical services:
—— review commissionability of design
—— air and water systems
—— review maintainability of design
—— all mechanical assets and systems.
—— review commissioning and testing content
(c) Control systems: of specification.
—— lighting control systems (b) Post-design stage:
—— field controls and panels —— produce a project-specific commissioning
—— bms plan
—— software. —— produce project-specific commissioning
and testing method statements
(d) Specialist equipment (normally commissioned by
the equipment/system supplier): —— prepare an integrated commissioning and
testing programme.
—— lifts and escalators
—— sprinkler systems (c) On-site duties:
—— car park barriers etc —— monitor and review installation in line with
specified requirements
—— large refrigerating and boiler assets.
—— co-ordinate, oversee and witness system
Terms of appointment vary, but the scope of works for a pre-commissioning
commissioning manager, which could apply to all the above —— co-ordinate, oversee and witness
for a complete project or to one specific element, would be: progressively the testing and commissioning
—— design review —— monitor commissioning and testing
—— drawing review (including buildability, commis programme and report progress
sionability and maintainability) —— collate test data
—— planning/programming for commissioning —— oversee/co-ordinate production of o&m
—— witnessing works testing manuals and record drawings
—— monitoring services installation against the —— co-ordinate client training
specification and programme
—— co-ordinate demonstrations of the safety
—— co-ordinating commissioning and maintenance systems to the local authorities, fire officer,
documentation district surveyor and building insurer.
Where the above duties are excluded from the terms of referencing by hyperlinks. It also makes updating and
reference of the commissioning engineer, the appropriate archiving a simple, one-step process.
responsibilities must be delegated to other suitably qualified
members of the building services team. At practical completion, the following tabulated
commissioning information should be available:
Where the employer uses the skills of a commissioning
—— main asset performance results
manager, it is expected in the first instance that they will be
working alongside the mechanical and electrical (M&E) —— air and water (flow regulation) results
design consultant. The commissioning manager can be
—— specialist asset commissioning/test results
directly appointed by the client or main service provider,
but ideally not by the M&E service provider. —— pipework and ductwork pressure test certificates
—— fire alarm test certificates and supporting
commissioning information
7.4 Documentation —— security/CCTV test certificates
—— sprinkler/dry riser test and insurance certificates
Comprehensive documentation to support commissioning
and testing activities is important. Such records will show —— check-sheets recording systems interface
that statutory requirements have been met both
—— check-sheets recording the commissioning of
mechanically and electrically, allowing the building to be
building management/controls systems including
certified as safe for occupation.
points lists and descriptions of operation
Of much greater importance in the longer term, the —— electrical completion and inspection certificate
commissioning documentation should provide a record
—— emergency lighting test certificate
that the commissioned systems operate in accordance with
the design intent and in an efficient manner. These records —— lightning protection test certificate
will also be invaluable in ensuring that the performance of
—— test sheets recording the progressive testing of the
the system is kept up to standard. Additionally, they
electrical installation
provide an essential basis for the logical adjustment of
system performance or for the re-commissioning of systems —— chlorination certificate
following modifications or adaptations of the
accommodation or its services. —— district surveyors’ approvals
—— statutory authorities’ approvals
Original commissioning documentation is also the primary
—— as-fitted record drawings (indicating location of
information source upon which an installation service
test points)
provider or designer will draw upon in cases of litigation or
other claim associated with construction or design defects. —— o&m manuals
Any gaps in commissioning documentation therefore cast
doubt on the suitability or capability of the original design. —— flushing and cleaning, water treatment regimes.
There is an onus on the building owner to maintain the

building in the optimum condition for energy consumption.
It is also a requirement that a building log book be
7.5 Designer’s checklist
provided and kept up to date. The final commissioning
results for energy utilisation will need to be entered into The following checklist is applicable to all sizes of
the log book prior to handover. See CIBSE TM31 (CIBSE, installations.
2006) for information relating to the development of —— Has the appointment of a commissioning specialist
building log books. been considered?
—— Can the systems be commissioned in accordance
It is essential that the completed documentation is kept
with the specification and the CIBSE
safe and made readily available to everyone involved with
Commissioning Codes (CIBSE, 1996/2004, 2001,
the o&m of the building and its services. This documentation
2002a, 2002b, 2003a, 2003b, 2010)?
will form a permanent record and reference manual to
which interested parties can refer when checking the on- —— Can the installed building services be adequately
going performance of the building services. It is essential and safely maintained after handover?
that any changes, modifications or investigations carried
out are undertaken in a controlled and logical manner and —— Have validation checks at manufacturers’ works
that a thorough audit trail of these events is kept with the been allowed for on the major assets?
original commissioning and testing records. —— Have the patented systems been checked or tested
rather than just assumed to be working?
In many cases, system re-commissioning may be necessary,
for example where the design is being asked to work outside —— Has sufficient detailed design information been
of its original design intent i.e. increased cooling load. provided, especially in respect of control regimes,
including set-points, system flow rates and asset
capacities?
Producing o&m manuals, health and safety files and
building log books in an electronic web-based format is —— Is the specification definitive in its content of the
time and cost effective as it reduces the need for production commissioning responsibilities and acceptance
and/or duplication of hard copies and provides simple cross criteria and tolerances?
—— Is the specification adequately detailed in respect of the actual operational requirements of the building
the protection of assets and equipment during occupier. The design provision may either exceed or
transportation, installation, commissioning and underestimate the eventual requirements.
testing?
In the early stages of building occupation, these imbalances
—— Has a feedback procedure been implemented to
recognise and address design problems that emerge may lead to adjustments to flow rates in the air and water
during commissioning and testing in order to distribution systems to accommodate the occupier’s
prevent repetition on future projects? requirements. The need for amendment to the flow rates
should be assessed, the revised flow rates decided,
—— Have BREEAM or LEED requirements been appropriate adjustments made to the system and the actual
considered and accounted for? modified flow rate measured and recorded. Additionally,
the commissioning record documentation should be
amended as necessary and, as with any installation
modification, checks made to measure and record any effect
7.6 System characteristics on the remaining fluid distribution in the adjusted system.
In the course of their work on a system, commissioning The concept of fine-tuning is discussed in more detail
specialists learn a considerable amount about its operating under the heading of ‘soft landings framework’ (see Chapter
characteristics. Commissioning specialists should be 2 and www.bsria.co.uk/services/design/soft-landings/free-
encouraged to include anecdotal notes on record guidance/.
documentation to highlight system characteristics and
peculiarities that become apparent. Similarly, maintenance
engineers should be encouraged to add written notes of 7.7.2 Seasonal commissioning
their experiences in operating and servicing the system. In
this way, documentation will be compiled on: Seasonal commissioning recognises that some aspects of
—— accessibility the systems need to be commissioned when the external
temperatures are in accordance with the parameters used
—— modifications and/or upgrades to assets, equipment during the design.
or systems
—— system report Whilst values such as flow rate in the case of hydronic
circuits, can be measured and set during commissioning at
—— system description any time of the year, the true performance of the system can
—— experiences and observations made during periodic only be determined at full design conditions when actual
maintenance. operating temperatures can be recorded. Whatever time of
year the systems were initially commissioned, further
Such details often provide a valuable starting point in works—seasonal commissioning—can only be carried out
troubleshooting exercises. at particular times of the year.
Commissioning of assets and systems can also be done at a

mid-season condition in order to check the operation at
7.7 Post completion testing part-load conditions. Systems are typically designed to
operate correctly at full-load conditions and assets and
Once the building is completed and occupied and the equipment are selected accordingly. However, for the
service providers have left, on-going commissioning should majority of the time, most systems operate at part load, and
continue to be considered. This may fall into three it is important to establish that they operate correctly at
categories: these conditions.
—— fine-tuning A particular issue that may occur at part-load conditions is
—— seasonal commissioning the operation of the controls systems. Whilst the full-load
conditions may provide a very clear heating or cooling load,
—— continuous commissioning. depending on the space and system arrangements, a part-
load condition may leave the requirement for the space
somewhere between heating and cooling
7.7.1 Fine-tuning
The function of commissioning is to set a system into the It is possible to gain extra credits towards a BREEAM
required mode of operation, as envisaged by the designer. rating for conducting seasonal commissioning; further
Fine-tuning is the function of adjusting the operation of a guidance can be found in BG44/2013: Seasonal Commissioning
commissioned system to match the actual need of the (BSRIA, 2013).
building occupier more closely. In certain instances this
may include some form of remedial action to mitigate any
adverse operational effects of overdesign. 7.7.3 ‘Recommissioning
commissioning’
The design of a building services system is normally based
on the interpretation of the client’s requirements and a Depending on the precise requirements of the occupants,
series of criteria assessments made by the designer. the commissioning carried out to the original design may
Inevitably, the specified parameters against which a system need to be readdressed if the final requirements differ from
is commissioned do not generally coincide precisely with those envisaged in the initial design. This could justify a
separate commissioning process to fine-tune a system to 7.8.1 Modifications to building

match the occupants’ specific needs.
services
If a building is designed as a speculative building and is not Where there has been a change of use of a specific area
bespoke for a particular client, there would be significant
within a building, it is important to consider the
benefits in including a retuning commissioning process as implications of local changes for the performance of the
part of the original installation contract or as a separate overall system. Where modifications are made to part of an
instruction issued subsequently, such as: air or water distribution system, the system characteristics
may be affected and, consequently, the volume flow rates
—— in-built flexibility to meet a range of tenant needs and power consumption of the fan/pump. Consideration
—— reduction in post-contract problems evolving from should be given to modifying the fan or pump to better
inadequate control of environmental conditions match the new performance requirement.
—— reduced risk of the building user tampering with It is not possible to increase the flow rate to a particular area
pre-set damper, grille, valve and control positions without reducing the flow by the same amount elsewhere in
and settings affecting the system characteristics the system. Where an increased total flow rate is required,
the fan or pump must be uprated or changed. Equally,
—— potential for cost savings due to accumulated site where a reduced flow rate is required, the fan or pump must
and systems knowledge. be down-rated or changed. Any implications regarding
electrical loads relative to the fans and pumps should be
reviewed at the same time.
7.8 Continuous Local changes within variable air volume (VAV) systems
may be less disruptive, because the VAV terminals
commissioning throughout the system will automatically self-compensate
to a degree, provided that they are not ‘starved’ of air and
There are a number of situations where continuous do not suffer significant reduction in static pressure.
commissioning should be considered during the life of a
building including: When additions or changes are made to water distribution
systems, it is important that the new pipework is
—— changes of use within a building resulting in pre-commissioned, thoroughly flushed, cleaned and
physical modifications to a system and/or certified before being connected to the main system.
amendments to the design information that Corrosion inhibition should also be considered, as any new
necessitate the proportional adjustment of air and/ pipework or components would be more vulnerable to
or water volume flow rates and the effect that this corrosion than the existing system.
may have on central assets relative to fan/pump
power consumption At a less prescriptive level, where systems are designed to
—— a period of non-occupation and/or prolonged cater for a future energy transfer load that is not yet available
system shutdown (i.e. in excess of three months) but has been anticipated within the design—for example a
depending on the complexity of the system and modular array of chillers or cooling towers—it is extremely
assuming that caretaker maintenance has been difficult to adequately commission, as the asset may not yet
carried out during the shutdown exist. In such cases, provision should be made to fully re-
commission the system as part of the commissioning plan in
—— complaints from the building users regarding the future. This should be written into the design statements
environmental conditions, which, in turn, could and recorded within the o&m documentation. Such an
result in a troubleshooting survey being required; approach is the only way to fully prove the designer’s intent
this may indicate the need for aspects of the services at the point the assets are added to the system.
installation to be re-commissioned
The designer responsible for any changes to an existing
—— a periodic validation: regular testing and recording system would benefit from discussing the proposals with a
of particular specified aspects of the performance of commissioning specialist. Such discussion would normally
an installation take account of the existing commissioning records and
would ratify any re-commissioning that may be necessary.
—— following the periodic chemical clean of pipework
—— following a periodic ductwork cleaning operation; 7.8.2 Non-occupation or system

for details refer to Guide to Good Practice TR19:
Internal Cleanliness of Ventilation Systems (B&ES
shutdown
(2013).
If a building has been unoccupied but properly
commissioned and caretaker maintenance has been
Each of the above situations requires different provided, allowing water systems to be circulated and air
re
commissioning techniques and logical approaches as assets to be ‘spun over’ at regular intervals, the services
detailed in the following sections. should continue to operate efficiently and air and water
volume flow rates should remain in balance. This can be
Continuous commissioning or other means of system checked by comparing a sample of air and water flow rates
performance checks may indicate that assets and equipment or fan/pump power consumption with the original
are oversized for their required duty. commissioning data.
It is important, however, that any prospective tenant or were intended to interact and operate as a whole to achieve
building user carries out a health and safety risk assessment the required environmental conditions within the building.
for the premises before the M&E services are inspected and
re-commissioned. The inspection should ensure that the
services are in good, safe, working condition prior to being Any alterations or modifications made as a result of
operated and that they are proven to be operating and these investigations must be fully documented and
performing correctly and efficiently. the commissioning records and o&m manuals must be
revised accordingly.
This can be achieved by confirming that the documentation
is in place, visually inspecting the installation and
undertaking random tests to ensure that the services have 7.8.4 Periodic validation
remained as originally commissioned. Chemical and
biological water samples should be taken at various
locations in closed hydraulic systems and sent for analysis The requirement for periodic system validation will depend
to check water quality, including the iron/mineral content on a number of factors, from the building use to commercial
as an indication of the suitability of corrosion inhibitor considerations. Within the pharmaceutical industry, for
treatment levels as well as total viable counts and example, regular validation checks as part of good
pseudomonas etc. With all open water systems, biological maintenance are now mandatory under the requirements of
analysis should be undertaken to check for health hazards, the US Food and Drug Administration.
for example legionellosis. This would, as a minimum,
include condenser cooling water, and hot and cold water
services systems. With the growing concern about and increasing statutory
requirements for providing a healthy working and process
A full report written in layman’s terms should be issued to environment, regular checks should be undertaken to
the prospective tenant summarising the findings of the ensure that buildings and services systems remain within
survey together with recommendations for the operational state required by the occupier. To achieve
re-commissioning and any water treatment needs. this, a schedule of routine tests of building services should
be set up as part of the planned preventative maintenance
regime. Where appropriate, fine-tuning should be
7.8.3 Troubleshooting undertaken and an audit trail kept of any changes made.
In the event of complaints or suspicion of incorrect

operation of the services within a building, the cause should As the operational history of an installation is built up,
be investigated. It is important not to be too hasty in changes in the system performance will become apparent
drawing conclusions. A logical and systematic approach is and an optimum frequency of validation tests will evolve.
essential to ensure any recommended remedial works are
directed at the true source of the problem and do not make
the situation worse. Before the investigation starts, the
following should be undertaken:
7.9 Controls and building
—— Check that the original commissioning and testing
records are available.
management systems
—— Check that the services have been maintained
correctly. The commissioning specialist and the controls
commissioning engineer need to liaise at the earliest possible
—— Listen to the occupants. stage in a project to agree an integrated programme and
ensure that the necessary interface between the two
—— Talk to the building user and consider the
disciplines is agreed as early as possible. Both will need each
complaint.
other to bring a system forward to a point where it can be
—— Check the status of systems and undertake advanced or completed. Furthermore, both will need
preliminary tests. exclusive time on a system with no interference from others.
—— Consider how the services are designed to operate
(an overview) and what particular problems may Close liaison is imperative for the protection of the system
have led to the situation being experienced. components. More important, however, is the need for the
engineers to co-operate fully when safety systems are being
—— Review control functions and set-points and check
brought to operational status.
their correct operation.
Only when the above course of action has been followed It is increasingly possible with the use of web-based
and preliminary tests carried out can a suitable solution technology to link electronically the bms with the o&m
and a corrective action approach be decided. Assume manuals, the health and safety file and the building log
nothing; only preliminary testing will provide definitive book in order to keep all of these entities updated in real
evidence of flow rates, temperatures etc. time. The same system may be used to produce reactive
maintenance requirements to better control overall
It is not possible to recommend a common approach to building maintenance and thus performance.
troubleshooting. What is most important, however, is that
the engineer leading the investigation is able to maintain an
overview of the systems and understands how the systems See also Chapter 6 for guidance on maintenance of controls.
7.10 Decommissioning and —— save energy
mothballing —— maintain the building in a state of readiness to meet

a change in circumstances promptly.
Decommissioning and mothballing are two distinctly
different processes, and the precise requirements of the
client in respect of the building need to be established
before detailing a plan of action. Each building will need to References
be assessed individually.
B&ES (2006) Guide to Good Practice SFG 30: Mothballing and Re-
Commissioning of Buildings. (London: B&ES)
7.10.1 Decommissioning
B&ES (2013) Guide to Good Practice TR19: Internal Cleanliness of
This is the systematic process of isolating, draining down Ventilation Systems (2nd edition) (London: B&ES)
water systems and purging all M&E assets and equipment,
including specialist assets and equipment and services BSRIA (2013) BG44/2013: Seasonal Commissioning (Bracknell: BSRIA)
(lifts, escalators, medical gases, fume cupboards, etc). This
should be carried out through a planned sequence of events CIBSE (1996/2004) CIBSE Commissioning Code A: Air distribution systems
supported by method statements and permit-to-work (London: CIBSE)
procedures, as appropriate.
CIBSE (2001) CIBSE Commissioning Code C: Automatic controls (London:
The decommissioning may be carried out as part of the CIBSE)
process to demolish the building or to carry out a large-
scale refurbishment. Alternatively, its purpose may be to CIBSE (2002a) CIBSE Commissioning Code B: Boiler assets (London:
render the building eligible to be zero-rated by the local CIBSE)
authority. This may be achieved by following the above
process, plus disconnecting certain assets to a point such CIBSE (2002b) CIBSE Commissioning Code R: Refrigerating systems
(London: CIBSE)
that the building is rendered ‘incapable of beneficial
occupation’ and would require an unreasonable amount of
CIBSE (2003a) CIBSE Commissioning Code L: Lighting (London: CIBSE)
expenditure to make it suitable for reoccupation.
CIBSE (2003b) CIBSE Commissioning Code M: Commissioning
However, there are other considerations and implications
management (London: CIBSE)
that need to be taken in to account, including:
—— interrelationship of the building services with CIBSE (2006) TM31: Building log book toolkit (London: CIBSE)
neighbouring premises
CIBSE (2010) CIBSE Commissioning Code W: Water distribution systems
—— integrity of the fire, security and safety systems
(London: CIBSE)
—— provision of temporary lighting and emergency
lighting on staircases and hazardous walkways
—— possible retention of an in-service lift (which may
be prudent in high-rise buildings) Bibliography
—— possible need to maintain in running order essential Bunn R (2013) BG35/2013: How to Procure Soft Landings: Specifications and
assets and equipment, e.g. sump pumps, sewage Supporting Guidance for Clients, Consultants and Contractors (Bracknell:
ejectors, sprinkler pumps, dry riser or ventilation BSRIA)
plant.
CSA (1999) TM1: Standard Specification for the Commissioning of Mechanical
The maintenance of certain systems may be necessary, even Engineering Services Installations for Buildings (Horsham: CSA)
in decommissioned buildings, to obtain even the most
basic cover from an insurance company. Gill P (1983) ‘The art of constructive vandalism (decommissioning)’
Building Services 15 (11) 33–35
7.10.2 Mothballing Parsloe CJ (2001) BG 49/2013: Commissioning Air Systems (Bracknell:

BSRIA)
This is the preparation of the building services to provide
only essential environmental requirements in an Parsloe CJ (2010) BSRIA BG2/2010: Commissioning Water Systems:
unoccupied or unlet building. This includes frost Application Principles (Bracknell: BSRIA)
protection, fire, security and safety features to maintain the
safety and integrity of the building, and minimising the Brown R and Parsloe CJ (2012) BG29/2012: Pre-commission Cleaning of
input required to restore all services to full running order. Pipework Systems (Bracknell: BSRIA)
A caretaker maintenance regime should be set up to turn
moving parts and run specific assets periodically (further Parsloe CJ and Spencer AW (1996) AG20/95: Commissioning of Pipework
guidance for maintenance activities can be found in Guide Systems: Design Considerations (Bracknell: BSRIA)
to Good Practice SFG 30: Mothballing and Re-Commissioning
of Buildings (B&ES, 2006)). Teekaram (2002) AG16/2002: Variable Flow Water Systems: Design,
Installation and Commissioning Guidance (Bracknell: BSRIA)
Mothballing enables the client to:
Wild J (2002) TM 1/88.1: Commissioning HVAC Systems: Guidance on the
—— minimise o&m running costs Division of Responsibilities (Bracknell: BSRIA)
Handover procedures 8-1
8 Handover procedures
8.1 Preparation Summary
8.2 Sectional completion In this chapter, activities that are relevant to handover are listed, the need to make preparations for
and beneficial this is noted and a typical checklist provided. The importance of commissioning is discussed and
occupation the necessary arrangements for inspecting the works, including inspections required by statute, are
8.3 Inspections outlined.
8.4 User training Whilst this element follows construction, the preparation and shape of handover/documentation
will be considered earlier in the project process and is an essential part of the design/operation
8.5 Occupant training
consideration. However, at final handover stage, there should be a clear understanding of how
8.6 Tools and spares the building, particularly engineering services, should be effectively operated and maintained.
8.7 Handover information Provisions for user demonstrations and training are recommended and arrangements for the
8.8 Equipment warranties handover of tools, spares and keys for the services installations are referred to.
8.9 Defects liability The typical contents of handover information is detailed and guidance is given on defects liability
and equipment warranties.
References
The option of phased handover and the advantages to the client of beneficial occupation are
Bibliography briefly described.
Handover follows on from project completion, which is the

point in the construction process when the architect or
8.1 Preparation
project manager determines that the project is complete General preparations for the handover proceedings are
and ready for the client. Once completion has been certified, co-ordinated and supervised continuously by the lead
the service provider gives up occupation of the site to the project manager in close liaison with the other members of
client, who takes over responsibility for security, insurance the design team. While the events surrounding handover
and o&m. The other contractual actions normally triggered occur at the end of the construction process, a co-ordinated
by completion are: programme of activities should be drawn up well in advance
—— commencement of the defects liability period to help ensure minimal complications. A programme of pre-
handover activities should be agreed, including allocating
—— release of a proportion of the construction contract
responsibility for all inspections and issuing certificates.
retention fund
These activities can then be monitored and controlled.
—— commencement of the architect’s final review
—— opening of any reference to arbitration, mediation The pre-handover checklist may assist in creating such a
or other method of dispute resolution programme of activities. The relevance, timing and
responsibility for carrying out the activities will be
—— cessation of the service provider’s liability for determined by the nature of the project and associated
liquidated damages contracts.
—— cessation of the service provider’s liability for
subsequent frost damage.
8.1.1 Pre-handover checklist
In practical terms, the handover of building services
systems is a gradual process, involving numerous inspec Before the scheduled completion date, it should be ensured
tions, user demonstrations and witnessing of commissioning that the activities in Table 8.1 have been completed. The
and tests. The main parties involved will typically be the table can be used to record when the task is completed.
M&E service providers, the designer and the client’s
maintenance personnel or nominated maintenance service
provider. Good communication is especially important
during the final stages of construction; ideally the 8.2 Sectional completion
maintenance personnel or service provider should be
involved early in the handover process. Where a commis
and beneficial
sioning manager is appointed, one role of their appointment occupation
may be to ensure all the stages of handover are carried out
and appropriately sequenced. Sectional completion (also referred to as phased handover)
is the term given to distinct phases of the works being
Whilst this section of the Guide is predominantly aimed at completed sequentially where provision is made for this in
new building project work, the concepts, procedures and the contract. The purpose of including such a provision is to
checklists used are also relevant for refurbishment works allow the client to occupy a particular area (or areas) prior to
handover and sale/disposal of buildings. practical completion so that specific equipment and services
Table 8.1 Typical activities to achieve completion
Activity Date completed

Air pressure leakage testing has been satisfactorily completed for L2 Building Regulations.
All commissioning work has been completed and witnessed.
The commissioning report(s) and associated information have been issued.
All necessary statutory examinations have taken place (e.g. fire systems, means of escape, pressure systems, emergency lighting, lifts,
lifting equipment).
The client is informed of any likelihood of change to the scheduled completion date.
Verify contractual obligations regarding witnessing of commissioning and testing, failure defect and deficiency inspections and
outstanding items of work (snagging) are clarified.
The client is made fully aware of their post-handover obligations including the need to arrange insurances and contracts for
maintenance during the defects period to ensure asset warranties are maintained.
Arrangements are made to recruit O&M personnel as required.
Relevant authoritative bodies have been approached to determine any necessary inspections/approvals; this may include Building
Control (i.e. the local planning authority), the Health and Safety Executive and the fire authority.
The client is consulted regarding the format and required procedures for the handover meeting(s).
Pre-commissioning cleaning of the heating, ventilating and air conditioning systems is carried out.
Utilities suppliers selected, tariffs for the utility supplies negotiated and a contract with a meter operator arranged.
The construction design management contractor (CDMC) issues general details of the structure’s equipment, maintenance facilities and
procedures, construction methods and materials for inclusion in the health and safety file.
Project information and O&M manuals to be handed over are being assembled and the programme is in place to review and accept
Inspection of works commences in accordance with inspection policy and programme.
If required, an engineer is appointed to assist the client during the initial period of occupation.
Licences are obtained for the storage of hazardous chemicals (if necessary).
On-going inspections are carried out in accordance with inspection policy.
A schedule of any outstanding work is agreed.
Any additional works that are required are arranged.
All utility supplies are inspected, approved and signed off.
User demonstrations and training sessions have taken place, detail recorded of those in attendance and certificates of competence
awarded, as appropriate.
Occupant demonstration, training sessions and any targeted user guides being compiled have been completed (if required).
All the required test certificates have been issued.
Final inspections have been completed as required.
Water treatment appropriate to the installed services has been carried out.
All warranty documentation has been issued.
The completed O&M manuals and record drawings have been issued and approved.
All the required tools, spares, consumables etc have been assembled and an inventory provided.
Waste/surplus materials have been removed from the site.
The health and safety file has been checked and issued.
Re-lamping, filter changing and cleaning have taken place as required by the specification.
The listed outstanding defects have been rectified to acceptable standards.
All meter readings and fuel stocks have been recorded.

relating to the client’s business can be installed without 8.3.2 Statutory inspections
delay. As each phase of the works is completed, a certificate
of section completion is issued. Only one certificate of There is a legal obligation for lifting equipment and
practical completion is issued for the complete contract. pressure systems to undergo a statutory examination before
they are put into service. These examinations must be
This has the same contractual significance as practical carried out by a competent person who will typically be a
completion, including the commencement of the defects surveyor from a specialist insurance or maintenance
liability period, the client’s responsibility for o&m and the organisation. Further examinations of the pressure systems,
release of part of the retention fund. lifts and lifting equipment are required at regular intervals.
The frequency of pressure system examinations will be
specified in a written scheme of examination drawn up by a
pressure-systems examiner based on the conditions of use.
8.3 Inspections Pressure vessels such as boilers and air receivers will
undergo an initial examination at their place of manufacture
and will be dispatched with the appropriate certification.
From a building services perspective, completion requires
This does not, however, preclude a further site examination
that all systems except for very minor items are installed
by a competent person.
and commissioned in accordance with the works contract.
Any outstanding items must not pose a health and safety
risk or interfere with the operation of the engineering Other assets and systems requiring inspection and
system to which they relate. Furthermore, they should certification before being put into service can include (but
cause no more than very minor disruption to the activities are not limited to) the electrical installation, emergency
of the building operator. The client can help to ensure that lighting, fire protection systems, smoke extraction, means
this requirement is satisfied by indicating to the architect/ of escape and portable appliances.
project manager any items of particular importance to its
business that must not be outstanding at completion. Further details of statutory requirements are referenced in
Chapter 15.
Typically, the design team will have a contractual duty to
undertake a final inspection of the works for deficiencies
and defects before completion. This will be preceded by a
comprehensive inspection by the installing service
8.4 User training
providers and subcontractors. To help ensure that
inspections can be conducted effectively, an inspection Arrangements for familiarisation training should be made
policy should be drawn up between all parties detailing the well in advance of handover to ensure attendance of all
standards that must be achieved, the sequence of inspections relevant stakeholders. Familiarisation should include:
and any specific access requirements. —— system overview
—— site walking tour of the building, during which the
8.3.1 Defect/snag status sheet or use of systems are fully explained
software system —— controls philosophy
—— building log book (see TM31: Building log book
The use of a defect/snag status sheet or system will help toolkit (CIBSE, 2006)), a building manual and a
keep track of outstanding items and enable rectification to building user guide (see BG26/2011: Building
be prioritised as appropriate, particularly where there are Manuals and Building User Guide (Harris, Wilson
health and safety implications. The defects status sheet can and Deramchi, 2011))
take the form of a simple table with columns for:
—— review of the site o&m documentation.
—— inspected item
This is an essential part of the handover process and must
—— location
be given priority and planned/co-ordinated appropriately
—— date of inspection in a structured manner.
—— description of defect It may also be advisable to make provision for the

familiarisation training sessions to be recorded. This would
—— responsibility for rectification provide a visual account of operating procedures, which
can enhance the information provided by the o&m manual
—— date of defect clearance
and assist in the training of future operators or the
—— date of re-inspection. arrangement of refresher courses.
Alternatively, full software applications for defect/snag

tracking are available.
8.5 Occupant training
There will always be pressures to hand over a building, Where appropriate, occupant training on environmental
floor or areas, to achieve early occupation. Strong control of controls is desirable. Training should combine one or more
snagging list, repairs, testing and sign-off is essential, presentations covering:
especially when associated with systems covered by
statutory requirements. —— an overview of the project and design intent
—— importance of good occupant control 8.8 Equipment warranties

—— methods of control during each season.
Equipment warranties normally run from the date of
delivery or date when the equipment is first operated. The
Involvement in this activity of the members of the design
latter is particularly useful in situations where the timespan
team can be beneficial.
between purchasing the equipment and handover is likely
to be significantly protracted. Where cover is required
beyond the standard period, an extended warranty can
usually be arranged through payment of an additional
8.6 Tools and spares premium to the supplier and ensuring that appropriate
storage protection is provided and operational requirements
Provisions may have been included in the contract for the are satisfied. The precise terms of a warranty can often be
supply of spares and specialist tools. Checks must be made tailored to suit the particular needs of the client.
to ensure that these have been provided by the service
provider and that all items are accounted for. To ensure that a warranty remains valid, it is essential that
the equipment is maintained in accordance with the
Specialist tools and spares should be suitably packaged to supplier’s instructions or other specified requirements.
prevent corrosion or damage and be easily identifiable. Before completion, this will be the responsibility of the
Examples of specialist tools include bearing extractors, installation service provider; following completion,
alignment jigs and calibration equipment. responsibility passes to the client unless specific contractual
arrangements have been made for the service provider to
continue maintaining the assets. A comprehensive record
A complete description of all the spares should be provided of all maintenance work should be kept.
including, where appropriate:
—— drawing number
—— item and part number 8.9 Defects liability
—— details of size and type While many of the defects that occur after handover can be
—— manufacturer’s name and reference number for all corrected towards the end of the defects liability period,
items supplied by a specialist manufacturer. some may require immediate attention. An arrangement
between the client and service provider for dealing with
such defects should be established in advance of handover
There may be specific or specialist equipment that may so that they can be rectified with minimal delay.
require specialist service contracts, access/repair tools or
strategic spares. These would be defined in the operating It is important that the client keeps a detailed record of any
strategy/documents for the systems. work carried out by the service provider(s) during the
defects liability period in case of any subsequent disputes.
This record should include details of:
8.7 Handover information —— nature of the defect(s)

—— any consequent or subsequent damage to other
Requirements for handover information will need to be assets and systems resulting from the defect(s)
agreed well in advance of the expected date of completion
and will need to take account of individual responsibilities —— correspondence between client and service provider
for producing information and dates for the completion of
—— action taken by service provider
specific items including drafts that require approval. The
building services service provider is usually responsible for —— dates of all events, actions and correspondence
coordinating the handover information for building
services. Information for handover is in four levels of detail: —— details of maintenance work carried out.
(1) Building user information. It should be noted that failure on the client’s part to ensure
that the building services are operated and maintained in
(2) An important document to be passed to the client at an effective manner during the defects liability period may
handover is the health and safety file (see Chapter reduce the responsibility of the service provider to make
15 for further guidance). good latent defects.
(3) Detailed o&m manuals: BG1/2007: Handover,
O&M Manuals, and Project Feedback (Hastings, When the end of the defects liability period is reached—
Pennycook and Bunn, 2007) contains comprehensive typically one year after completion—the final account
guidance on the broad range of documentation and details can be agreed, including the adjustment of prime
drawings that should be provided at handover. It costs, provisional sums and variations. When all listed
also provides detailed guidance on specifying and outstanding defects have been made good, the remainder of
procuring o&m manuals. the retention fund is released and the final certificate issued.
At this point, the right of both parties to pursue new claims
(4) Building information modelling (BIM): where BIM comes to an end with the exception of further claims relating
has been implemented, some or all the model can be to defects. Liability for defects normally runs for a period of
handed over to the building owner for on-going use. six years from the date of completion (see section 4.3.3).
An organisation procuring a building for business use has Hastings P, Pennycook K and Bunn R (2007) BG1/2007: Handover, O&M
good protection afforded against defective building Manuals, and Project Feedback (Bracknell: BSRIA)
performance by the contract. However, owners/occupiers
who are not responsible for building procurement will not
have any form of contractual relationship with the architect Bibliography
or consulting engineer and will consequently need to
protect themselves against financial loss resulting from ASHRAE (2008) Guideline 4: Preparation of Operating and Maintenance
defects that may appear in the structure or building services Documentation for Building Systems (Atlanta, GA: ASHRAE)
after completion. An example of this would be tenants with
full repairing liabilities and organisations that purchase CIB (2002) Code of Practice for Project Management for Construction and
buildings from property developers. Development (3rd edition) (Ascot: CIB)
For building services systems, this protection is likely to CIBSE (1996/2004) CIBSE Commissioning Code A: Air distribution systems
take the form of a collateral warranty, which will be a (London: CIBSE)
contract between the consulting engineer, who is the
warrantor, and the recipient, who is the warrantee. The CIBSE (2001) CIBSE Commissioning Code C: Automatic controls (London:
warranty can either be in the form of a ‘simple contract’, CIBSE)
which allows the injured party to sue up to six years after
the breach of contract or a ‘contract under seal’ for which CIBSE (2002) CIBSE Commissioning Code B: Boiler assets (London:
the period is extended to 12 years (see section 4.3.3). CIBSE)
Consulting engineers should never enter into a collateral
warranty contract without first carefully checking the terms CIBSE (2002b) CIBSE Commissioning Code R: Refrigerating systems
of their professional indemnity insurance and ensuring (London: CIBSE)
that these are compatible.
CIBSE (2003) CIBSE Commissioning Code L: Lighting (London: CIBSE)
An alternative to collateral warranties is latent defects
insurance which does not require the recipient to prove
negligence or breach of contract, enabling cover to be CIBSE (2010) CIBSE Commissioning Code W: Water distribution systems
(London: CIBSE)
provided on a ‘no fault basis’. Sources of further reading
on the subject of warranties and insurance are included in
the bibliography. Cornes DL (1994) Design Liability in the Construction Industry (Oxford:
Blackwell Science)
Department of Business, Innovation and Skills (2011) A Report for the

References Government Construction Client Group Building Information Modelling (BIM)
Working Party, Appendix 11 Handover Information (London: Department of
CIBSE (2006) TM31: Building log book toolkit (London: CIBSE) Business, Innovation and Skills)
Harris J, Wilson A and Deramchi S (2011) BG26/2011: Building Manuals RIBA (2001) Architect’s Handbook of Practice Management (7th edition)
and Building User Guide (Bracknell: BSRIA) (London: RIBA Publishing)
Operating and maintenance documentation 9-1
9 Operating and maintenance

documentation
9.1 The importance of o&m Summary
information
This chapter highlights the composite parts of good O&M information and documentation.
9.2 o&m manual content
The constituent parts suggested in BSRIA Application Guide BG1/2007 are presented as a suitable basis
9.3 Manufacturers’ literature
for O&M manuals. The need for service providers and manufacturers to provide clear, concise, explicit
9.4 Updating and relevant instructions is noted.
9.5 Preparation This chapter discusses computer-based systems for information storage, retrieval and updates at
9.6 Health and safety file interplay with BIM and maintenance management and facilities management systems.
9.7 Building user guides

9.8 bim information
9.9 Computer-based
information systems
9.10 Maintenance
management systems
References
Bibliography
The engineering assets and services installed in buildings,

for example those required to provide close control of
9.1 o&m manual content
environmental conditions, are of increasing technical
complexity. If the requirements of the building user are to BSRIA guide BG1/2007: Handover, O&M Manuals, and
be satisfied, detailed, comprehensive and well-presented Project Feedback (Hastings, Pennycook and Bunn, 2007)
information covering the exact assets installed, the design provides detailed guidance on the content and quality of
o&m manuals. The presentation of information within the
operating parameters and maintenance instructions must
be available to those responsible for o&m. The preparation manual does not need to follow a rigid format but should
and presentation of a well-prepared o&m manual and cover the range of topics listed in BG1/2007 (Hastings,
information should be an essential part of any building Pennycook and Bunn, 2007). All manuals, however small,
services installation contract. should contain a contents list and a comprehensive index.
BG1/2007 suggests the following presentation of
information:
A properly prepared manual and other information can be
expected to produce cost benefits to offset the initial outlay —— how to use the manual
on its preparation, such as:
—— contractual and legal duties
—— providing the basis for correct and efficient asset
operation —— overall purpose (including design parameters)
—— providing an information base for effective —— system descriptions, including control concepts
maintenance —— equipment schedules and reference numbers
—— providing a comprehensive reference source —— spares policy and recommended spares lists
—— providing a reference for the standards used during —— commissioning records and data
design and installation
—— operation instructions
—— ensuring the most economic use of energy
—— maintenance instructions
—— helping to create and develop safety awareness
—— modification information
—— providing a basis for staff training
—— disposal instructions
—— providing a basis for maintenance tendering
—— record drawing schedules (including the location of
—— providing a reference point for emergency the drawings)
procedures. —— emergency information
Table 9.1 provides a list of activities and responsibilities —— manufacturers’ literature relevant to the installation
for the procurement of o&m manuals and provides some (including directory of names and addresses).
ideas for the client, employer/occupier, design team,
main service provider, services installation service provider BG1/2007 also gives recommendations on the depth of
and specialist authors. detail required when preparing o&m manuals.
9.2 Manufacturer literature o&m manual) must be kept in a safe location, preferably
off-site.
Manufacturers’ literature is often unavailable or not
sufficiently explicit. It should be a condition when placing A model specification for preparation of o&m manuals is
orders that explicit and specific o&m instructions for the provided in BG1/2007: Handover, O&M Manuals, and
item of equipment will be supplied. This will avoid the Project Feedback (Hastings, Pennycook and Bunn, 2007).
issuing of basic and general literature covering ranges and This includes a table identifying the division of
types of equipment other than that supplied. It should also responsibilities for procurement of information required
be a condition that date-stamped and certified ‘as built’ within the manuals, which is reproduced here as Table 9.1.
drawings are provided, together with recommended spares
lists and disposal instructions. The manufacturer’s
literature and certified ‘as built’ drawings should both be
available in electronic format.
9.5 Health and safety file
A health and safety file should be a record of information
9.3 Updating user that focuses on health and safety for the client or the
end. The information it contains should alert those who are
There has always been a need to update documents if responsible for the installation to the key health and safety
engineering assets are to be properly operated and risks that will need to be dealt with during subsequent
maintained to take account of developments in maintenance, repair and construction work. The amount of
knowledge and technology. The UK CDM Regulations detail needed in the health and safety file and the time and
2007 (TSO, 2007) (see Chapter 15) include a duty to update effort required to prepare it should be in proportion to the
documents during the life of the installation. The updates scale and complexity of the installation.
should also take into account knowledge gained through
operational experience. Information contained in the file needs to include that
which assists persons carrying out construction, operation
Furthermore, the UK Health and Safety at Work etc. Act or maintenance work on the structure at any time after
1974 (TSO, 1974) (paragraph 2.1.c) refers to the duty of completion of the current project.
every employer in the ‘provision of such information,
instruction, training and supervision as is necessary to
ensure, so far as is reasonably practicable, the health and
safety at work of his employees’. This can be interpreted as
requiring the regular updating of manuals to include 9.6 Building user guides
details of all modifications to assets and systems as and
when they occur. As part of the BREEAM assessment method, requirement
credit can be awarded for providing a building user guide
Unfortunately, whilst there is a recognised need to keep to introduce the building user to their environment and
manuals up to date, this may be given a low priority. One advise of them how to make use of the building in an energy
reason given for this is that if they are provided initially to efficient manner. BG26/2011 Building Manuals and Building
an unsatisfactory and poor standard, there is no incentive User Guide (Harris, Wilson and Deramchi, 2011) indicates
to consider them as the important source of reference they the benefits of a document to introduce the lay building
represent. Another reason is that the formatting and storage user to their building and its features and facilities.
of the manuals is not designed with updating in mind.
Options for updating o&m manuals include:

—— making updates the responsibility of the installation 9.7 BIM information
service provider making particular alterations
—— making the updating a separate contract to an With the increasing use of BIM, the benefits of retaining
appropriate specialist. this information for on-going use in operation cannot be
ignored. The management of the BIM process and the
information generated in a BIM project has been captured
in documents produced by BSI: PAS 1192-2:2013:
9.4 Preparation Specification for Information Management for the Capital/
Delivery Phase of Construction Projects using Building
The requirement and responsibility for producing the o&m Information Modelling (BSI, 2013), which is about
manuals may well justify the engagement of a specialist information during a single project; and PAS 1192-3:2014:
organisation with the requisite engineering and IT skills to Specification for Information Management for the Operational
produce high-quality comprehensive documentation to an Phase of Assets Using Building Information Modelling (BSI,
appropriate quality standard. 2014), which goes into the use and management of
information during the operation of a building.
Documentation should be prepared and managed as well as
appointing responsibility for revisions. The industry is still adapting to delivering BIM; for further
information, resources and case studies see the CIBSE
Working copies should be kept of all important BIMTalk webpage (www.bimtalk.co.uk) and the UK
documentation. The originals (including a copy of the Government’s BIM Task Group (www.bimtaskgroup.org).
Operating and maintenance documentation 9-3
9.8 Computer-based installation. The important point to note is that an

information classification system should be adopted to
information systems manage this electronic data for the life of the building; for
further information see the resources referenced in section
The use of computer technology enables most, if not all, 9.8. cafm systems are used in larger organisations where
o&m information to be presented in electronic format. planning and managing large numbers of assets is not
These computer-based systems provide a direct replacement something that can be accomplished easily. Technological
for hard-copy information and allow the user to view text advances should be considered when deciding what cafm
and graphics on screen. Several systems allow the user to system to use to manage a maintenance operation, including
navigate around documents by links or user-definable the introduction of web-based applications. Web-based
searches. This can help overcome the problem of handling cafm solutions have advantages including:
and searching large amounts of information. Using a
computer-based format for o&m manuals can provide a —— building users can log their requests without
highly flexible and dynamic information medium, which reporting them to an individual, such as a help desk
can include the added benefit of tools that help manage operator, with access 24 hours a day, seven days a
assets and maintenance activities. They can also offer a week
means of storing information through specialist service —— engineers can work remotely with smartphones etc
providers, who can take responsibility for managing the connecting to the system without the need to return
information and making it available to specified users to an office
through the internet.
It is also possible to incorporate direct links to computer

aided design (2D and 3D CAD) record drawings, building References
energy management system (BEMS) graphics, word-
processed control strategies and word-processed testing BSI (2013) PAS 1192-2: 2013: Specification for Information Management for
and commissioning results. CAD-prepared record drawings the Capital/Delivery Phase of Construction Projects using Building Information
are convenient for preparing, storing, updating and Modelling (London: BSI)
viewing part or whole areas of building services
installations. This flexibility, however, should not be BSI (2014) PAS 1192-3: 2014: Specification for Information Management for
the Operational Phase of Assets Using Building Information Modelling
allowed to override the importance of recording full details
(London: BSI)
of any changes to drawings.
Harris J, Wilson A and Deramchi S (2011) BG26/2011: Building Manuals
Procuring and implementing a computer-based o&m and Building User Guide (Bracknell: BSRIA)
manual will require a specification that appreciates the
various software systems and types of products that are Hastings P, Pennycook K and Bunn R (2007) BG1/2007: Handover, O&M
available. Manuals, and Project Feedback (Bracknell: BSRIA)
TSO (1974) Health and Safety at Work etc. Act 1974 (London: TSO)
9.9 Maintenance TSO (2007) The Construction (Design and Management) Regulations
2007 (London: TSO)
management systems
An obvious advantage of well-produced record documen
tation to the end user of a building services installation will Bibliography
be the ease of transferring the documentation into a building
maintenance management system. This provides an HSE (2007) Construction (Design and Management) Regulations 2007
automated method of planning, controlling, recording, (CDM) Approved Code of Practice: Managing Health and Safety in
costing and monitoring o&m activities during the life of the Construction (London: HSE Books)
Table 9.1 Division of responsibilities for the procurement of o&m manuals (reproduced from BG1/2007: Handover, O&M Manuals, and Project Feedback
(Hastings, Pennycook and Bunn, 2007) by permission of BSRIA)
Activity Client Employer/occupier Design team Main contractor Services installation Specialist author
contractor
Brief Use occupant surveys and Provision of information Set energy targets based
design quality tools to identify and agreement with the on installed loads and
user needs, such as space, design team expected hours of
comfort, storage, and controls occupation
usability
o&m manual Approval as submitted Preparation of o&m
specification by the design team manual specification
Pre-contract Target dates for
planning information to be
available to the specialist
author, and manuals
made available
Contract Produce contract

documentation documentation for
manuals
Subcontract Approval of tender list Compilation of tender

tenders list; insist on high
standard of jargon-free
English; consider
adopting a style guide
Production Consider occupant Specify information for Agree subcontractor Issue copy orders and Progress
information guidance, training construction, and programme for the manufacturers’ details information from
helpdesk services, and provide to specialist release of information to specialist author designers,
labelling such as lighting author to specialist author installers and
and blinds user controls manufacturers
Construction Insist on periodic reality- ‘Reality-check’ the Installation

checking of the design as it design, revise energy familiarisation, site
develops, and match against targets based on altered inspection,
the original design intent specifications and/or continued
expected hours of use acquisition of
information
Contract Provision agreement Preparation and

planning and monitoring of agreement of
subcontractors and programme for
specialist programmes issue of draft and
final
documentation
Setting to work Receive and comment on Receive and distribute Operate and maintain Make draft
draft manuals draft manuals for use assets and equipment in manuals available
and approval accordance with draft to main contractor;
manuals continue
familiarisation to
confirm draft
procedures
Regulations Fulfil requirements for energy Receive comments
labelling on draft manuals
and update
Testing Operate and maintain Collect all testing
assets and equipment in and
accordance with draft commissioning
manuals results; prepare
final format
manual
Handover Extract system concepts from Receive final manuals, Handover installation Issue final
the manuals and repackage issue to relevant staff to client and/or manuals; confirm
information in formats that maintenance date for issue of
occupants can understand (e.g. organisation plans and drawings
mouse mats etc)
Fine-tuning Use empirical feedback Monitor building Modify o&m
through methods to refine building performance for the manuals to reflect
post- handover controls and solve user good of the client and results of fine
support problems, systems and avoid for design team tuning and record
dysfunction, waste and education results of surveys
alienation
Operational risk assessment and management procedures 10-1
10 Operational risk assessment and

management procedures
10.1 Assessing the risks Summary
10.2 Business risks
Operational risk is the risk within a building that can affect the operability, not necessarily the health
10.3 O&M risks and safety risk. Understanding the likelihood of undesired events occurring and their impact (harm or
10.4 Disposal risks loss) is of significant importance to every business.
References The range of risks that require assessment is divided into four categories; each is explained in this
Bibliography chapter.
10.A1: Overall risk checklist Also discussed are the risks associated with the disposal of obsolete plant or equipment that has
10.A2: Operational risk checklist reached the end of its economic life.
The designers and maintainers of buildings have a unique (4) Disposal: risks that are likely to be corporate social
insight into the way the building operates, and it is a key responsibility and the environmental impact.
responsibility for them to be involved in identifying and
controlling risks. Risk is present where damage, injury,
liability, loss, or any other negative occurrence can be
caused by external or internal vulnerabilities and it is the 10.1 Assessing the risks
risks that may be avoided through pre-emptive action that
should be focused on. There are five simple steps to assessing the risk (HSE,
2011):
The importance of risk management has been embedded in
our industry for many years. In the UK, The Management (1) Identify the hazard.
of Health and Safety at Work Regulations (1999) (MHSW) (2) Determine the potential loss or harm.
(TSO, 1999), BS ISO 31000:2009: Risk Management:
Principles and Guidelines (BSI, 2010) and The Companies (3) Evaluate the risks and decide precautions.
Act 2006 (TSO, 2006) place responsibility on the employer
(4) Record and implement precautions.
to manage their business by identifying principle risks and
uncertainties facing the company. The MHSW Regulations (5) Review and update.
require employers to undertake suitable and sufficient risk
assessments to identify significant risks and make Identifying the hazard can be relatively simple to do by
arrangements to implement necessary control measures, relying on common sense, but in some circumstances a
appoint competent people and arrange for appropriate specialist should be consulted. For a complex environment
information and training. This approach can be taken for it may be necessary to hold a facilitated meeting with
engineering business risks as well as health and safety risks department heads to discuss total business interaction, for
and BS ISO 31000 section 4 recommends the use of a risk example in a hospital environment. The meeting can take
management framework. the form of a hazard and operability study (hazop) (IET,
2012), which includes discussion of critical situations that
The risk framework should provide the company’s policy, may affect the business operation, including:
objectives, mandate and commitment to manage risk and is
an integral part of an organisation’s business. —— utilities failures
—— accident/injuries
Risks associated with the operational management of a
—— loss of personnel
building can be classified into four categories, according to
the area they derive from or affect: —— environmental incidents.
(1) Business: those risks that help to determine the
The evaluation should consist of a multidisciplinary team
specification for the building engineering service.
that keeps an open mind while carrying out a series of ‘what
(2) Design and installation: those risks that have to be if?’ questions and scenarios. Following the results of the
considered when looking at the options for design hazop, and depending on the criticality, it may be necessary
and installation—contract law, latent defect and to use other analytical tools to determine points of failure
product failure. or undesirable outcomes.
(3) o&m: those risks involved in running the plant and Determining the acceptability of risk is a business policy
equipment—health, safety, energy, waste and decision and can be achieved when the data from the
statutory compliance. assessment is presented to the directors of a business.
Table 10.1 Example risk assessment (source: Stephen Hunter at Kaizenge)

Hazard Person(s) or areas affected Likelihood Severity Initial risk Business Controlling factors Monitored
rating impact (£k) risk rating
Loss of electrical Production 3 5 15 1000 UPS and emergency generator installed 10
supply and tested weekly
Environmental Discharge of oil to surface; 2 5 10 2000 Bund installed to tank, new delivery 5
spillage lake nearby procedure implemented; reduced
quantity stored to three-day holding.
Electrical shock Maintenance team member 3 4 12 1000 New training and interview selection 6
procedures to determine competency;
new local working procedures
Explosion in Production team operators 3 5 15 20 000 Old pressure system renewed; new 5
pressure vessels and production assembly safety devices fitted, training and
familiarisation provided; routine
control of major accident hazards
(comah) testing arranged
Falling from Maintenance and public 3 4 12 1000 Training, mobile access platforms 8
heights when changing atrium and out of normal hours working;
lights supervision
Failure of Production team 3 3 6 1000 Fault analysis identified critical 3
production plant components; suppliers have 24-hour
availability, board agreed £10 000
critical spares stock holding
Unacceptable, tolerable and acceptable regions of risk need Risks to businesses by way of environmental accidents or
to be determined. disasters should also be considered. They can be categorised
as follows:
With investment or a change of process there may be an —— external: flood, fire, breach of security and
opportunity to eliminate a hazard or reduce its severity. destruction of facilities, e.g. an interruption to
There are many ways of displaying the results of the externally provided services and utilities
assessment; Table 10.1 shows an example.
—— internal: flood, fire and interruption of services
through inadequate design or installation.
It is important to record the results of the risk assessment
and review them regularly. The considered risks can be The design (including the location of plant and equipment),
prioritised and the control measures reassessed or processes installation, security, operation and continuing
tested to ensure their effectiveness. maintenance of the building service should be subjected to
a risk assessment based on the requirements of the business.
This assessment should take into account both external
and internal risks and is best carried out by the client or
prospective building user with guidance from the building
10.2 Business risks services designer.
BS ISO 31000 (BSI, 2010) is the international standard for

10.2.1 Defining the operation, process risk management. By providing comprehensive principles
or business and guidelines, this standard helps organisations with their
risk analysis and risk assessments.
Business risks are related to the function carried out by the
organisation and will influence the design of the building 10.2.2 Reducing operational risks at
services from initial concept to final detail. the design stage
Examples of high-risk operations are: continuous The level of business risk will determine the amount of
manufacturing processes, hospital operating theatres, investment required to design and install back-up or
broadcasting networks, data centres, financial institutes duplicate systems for the building services. Out of this will
housing dealing rooms, communications facilities and come the decision to provide standby plant and whether an
transportation systems. In air traffic control, for example, automatic changeover is necessary (see section 10.2.5 on
the overall reliability will need to be 99.9 per cent and the system redundancy).
mean time between failures (MTBF) for the building
services will therefore need to be of the same order as the Duplication of systems (redundancy) will introduce the
equipment providing the air traffic control service. The requirement to assess for single points of failure. The
risk to life may be the highest priority in some of these necessity for and level of monitoring and control by a
examples, but all will include some measure of financial building energy management system (BEMS) will need to be
risk, either direct or consequential. Some components of agreed. All alarms may be important, but only some will be
the building services will be more critical than others to of the highest priority and therefore in need of more than
the overall risk to the business. routine attention. Critical alarms may be further reduced
by specifying modular plant (e.g. boilers, water chillers) so An improvement on N would be a system configured to
that the failure of a single unit will not reduce the plant N+1, where standby plant or equipment is employed to
output below the required level; this would minimise out- provide the same level of support should the N provision
of-hours attendance. fail. This is better illustrated in the common arrangement
of a ‘run’ and ‘standby’ pump set, where one pump is the
duty pump and the other remains available to support the
10.2.3 System resilience system load should the duty pump fail. N+1 will not always
provide 100 per cent redundancy. For example, a 1000 kV·A
Critical business facilities are reliant upon services uninterruptible power supply (UPS) comprising four
availability and system resilience. The impact to a client’s 250 kV·A modules may only have one further 250 kV·A
business through the loss of a critical building or facility is module (N+1), which provides redundancy to any one of
a growing concern, and loss of the engineering services is the four modules should one fail.
the most likely and immediate cause. While the engineering
systems may only appear to be critical to the facility in A ‘2 N’ system will be a complete duplicate of N in respect
which they are housed, failure of these systems may have of all critical components/assets. A facility with systems
far-reaching business implications if many of ‘the client’s’ configured to a 2 N level of redundancy will provide a stable
business processes, IT support systems and applications are and much improved business operating environment,
affected as a consequence. where system resilience allows for critical plant and systems
to be taken out of service for short periods, to carry out
It is important that the critical plant and systems supporting essential planned maintenance, without interruption to the
the client’s business operations, including IT equipment, business operation. Plant and equipment taken out of
systems and communication equipment, be identified and service reduces the resilience of the systems and thus
the role it plays in supporting the business operation increases the risk to the business. However, this would be
established. considered a ‘managed risk’ as this period of reduced
resilience is planned and normally well communicated.
10.2.4 Availability data In brief, a 2 N facility provides enhanced levels of resilience
and operational integrity to mitigate the effects of
In assessing any maintenance strategy it is necessary to
unplanned outages to systems and allows for maintenance
have ‘availability data’ about failure rates and repair times.
to be carried out without interruption to the business. For
If good and consistent data are not available for critical
systems that are critically important and must not fail when
systems over a significant period, then planned preventative
called upon to operate, these should be designed as 2 N plus
maintenance (PPM) should be adopted. The data need to be
a spare for maintenance, for example a pump arrangement
in the form of mean time to repair (MTTR) and mean time
with three pumps, each able to operate as ‘duty’, ‘standby’
between failures (MTBF).
and ‘shutdown for maintenance’.
These data are used to generate the ‘up-time’ or availability
information of a system. The information about availability
can then be used to reassess the PPM activities to ensure
resource utilisation is optimised For non-critical systems
10.3 O&M risks
the data can be used to determine when ‘fix on break’ or
‘replace on break’ strategies are to be used. Increasing industry regulatory requirements, protection of
business reputation and concerns about profitability in a
Obtaining and monitoring MTTR and MTBF data is part of competitive environment are compelling organisations to
any good maintenance operation. Effective control over the develop systems and internal controls for identifying,
spans between PPM activities cannot be achieved without understanding and managing operational risk.
adequate MTTR and MTBF ‘availability data’, gained from
actual experience of the systems. Building managers will be well aware of the teething
problems associated with the handover of new installations
A critical facility supporting business operations needs to and the risks involved. Ideally the handover should be
be provided with an infrastructure of power systems and preceded by a thorough training and familiarisation period
environmental controls that are robust and have been for those who are to be responsible for the on-going o&m.
designed with the resilience, standby and redundant An ideal time is during final installation and commissioning
capacity necessary for the client’s needs. Decisions relating (see Chapter 7, which identifies when this should be
to the design, o&m of facilities are therefore inextricably provided).
linked in satisfying this requirement.
The development and implementation of appropriate
operational risk management controls, applicable to the
10.2.5 System redundancy buildings, facilities and resources that support the business,
represents a significant challenge to an organisation.
For critical M&E systems to support the business operations Management controls for business-critical environments
with a high degree of resilience, all critical systems must be need to address and evaluate four major elements: people,
configured such that there is minimum occurrence plant, process and facility; fully encompassing a broad
of single points of failure. A single point of failure (SPOF) range of both ‘hard’ (e.g. o&m of engineering plant and
can be described as the ‘base requirement’ (N) of an equipment) and ‘soft’ (e.g. cleaning, security, catering,
operational system without any standby or alternative grounds maintenance) services.
support arrangements. N will normally support the full
load (electrical power or cooling) of the services it is Figure 10.1 illustrates the main elements of operational
designed to provide. risk.
People loss. A system of benchmarking should also be established

to monitor these performances and identify areas of
improvement. Graphical records are useful for clearly
indicating trends in asset operation and performance (see
also Chapter 13).
Plant Facility
10.4 Disposal risks
A time will come with any installation when it needs to be
disposed of or replaced. The asset should not represent a
higher risk at this time than when it is in use.
Removing assets from occupied areas presents its own

Process
special risks, especially if operational status (e.g. a
Figure 10.1 Main elements of operational risk production process) is to be maintained. Work needs to be
In addition to the requirements under duty of care in law carefully planned and co-ordinated to contain the risks. At
and statutory regulations, it is imperative that all facilities such times, other risks (for example, from fire and flooding)
services staff, consultants and service providers fully are increased and additional precautions and adequate
understand their respective responsibilities towards the contingency plans should be in place.
client. When carrying out their duties, they must all
exercise duty of care by not introducing any additional Complications can arise where later additions to the
unmanaged risks to the client’s business operations. original installation or building restrict access to the
installation, making it difficult to dismantle or maintain
In order to demonstrate appropriate management and the assets. This can result in considerable cost above that
control, operational risks must first be identified. Once required for the main task.
identified, action can be taken to mitigate the risk and/or
implement appropriate management control procedures
and processes to reduce the risk to an acceptable level. References
When assessing the ‘operational risk’ of a facility and the
BSI (2010) BS ISO 31000:2009: Risk Management: Principles and Guidelines
quality of the o&m services provided, the status of the
(BSI: London)
elements shown in the checklist in Appendix 10.A2 should
be considered and kept under review. CIBSE (2013) TM13: Minimising the risk of Legionnaires’ disease (London:
CIBSE)
10.3.1 High-risk activities IET (2012) Health and Safety Briefing 46a: Hazard and Operability Studies
(HAZOP) (Stevenage: IET)
Installations such as high-voltage, confined spaces or steam
HSE (2011) INDG 163: Five Steps to Risk Assessment (London: HSE)
systems require special o&m skills, procedures and training
to determine the correct levels of competency. High-risk TSO (1999) The Management of Health and Safety at Work Regulations
activities are required to be managed with a ‘safe system of 1999 (London: TSO)
work’. A permit-to-work system should ensure that
authorised and competent people have thought about TSO (2006) The Companies Act 2006 (London: TSO)
foreseeable risks and that such risks are avoided by using
suitable precautions.
Bibliography
High-risk areas may be considered to be managed with a
limitation of access. Method statements are written BSI (2003) BIP 2033: Risk Assessment: Questions and Answers: A Practical
procedures describing the sequence of work and who is Approach (London: BSI)
involved. Task-specific risk assessments are made where BSI (2003) BIP 2060: Management of Risk: Guidance for Practitioners
there is a significant risk that requires control measures to (London: BSI)
reduce the likelihood of occurrence.
BSI (2006) BS 25999-1: Business Continuity Management: Code of Practice
One example of this is evaporative cooling towers. They are (London: BSI)
particularly associated with the risk of legionellosis and are
BSI (2007) BS 25999-2: Business Continuity Management: Specification
required to be registered with the local authority. Due to
(London: BSI)
their potential risk they must be managed and controlled
only within the framework of a formal and properly audited Dallas MF (2006) Value and Risk Management: A Guide to Best Practice
programme of o&m (see TM13: Minimising the risk of (Oxford: Blackwell Publishing)
Legionnaires’ disease (CIBSE, 2013)).
HSE (2013) HSG65: Successful Health and Safety Management (London:
HSE)
10.3.2 Audit requirements
TSO (2005) The Restriction of the Use of Certain Hazardous Substances
in Electrical and Electronic Equipment Regulations 2005 Statutory
Business risks, asset performance and maintenance Instruments 2005 No. 2748 (London: TSO)
standards should be audited at regular intervals. Asset
efficiency, staff and service provider performance all impact [online] The Uptime Institute: http://uptimeinstitute.org (accessed July
on the business with the potential to create a considerable 2014)
Appendix 10.A1: Overall risk checklist
Business risks Design and installation risks
—— External to facility: —— Health and safety
—— electrical supply —— Budget constraints
—— fuel for mechanical services —— Legislation
—— flood —— Testing and commissioning
—— fire
—— security breach O&M risks
—— Internal to facility: —— Scope of service provided
—— electrical supply —— Training
—— fuel for mechanical services —— Organisation and staffing
—— flood —— Skills and competencies
—— fire —— Performance measurement
—— security breach —— Critical risk awareness
—— Emergency response provision
Performance risks —— Relationship with client
—— System failure —— Disposal risks
—— Partial system failure —— Health and safety
—— Environmental conditions not satisfactory —— Environmental implications
—— Water quality —— Access
—— Occupant health —— Availability of installation information
—— Security
Disposal
Procurement and delivery risks —— Health and safety
—— Quality of brief —— Environment
—— Contract terms
—— Materials availability Legislation
—— Materials quality —— Access
—— On-going support for specified plant and equipment —— Original installation information
Appendix 10.A2: Operational risk checklist

Aspect People Plant Process Facility
Scope of service:
—— operating requirements • • •
—— schedule of defects •
—— water treatment •
—— statutory inspections •
—— harmonic series •
—— thermography •
—— vibration analysis •
—— power discrimination •
—— energy management • • •
—— drainage • •
Organisation and staffing:
—— labour loading • •
—— shift pattern • •
—— organisation model • •
—— minimum staffing • •
—— client and site induction •
—— on- and off-site management • •
—— succession planning •
—— insurance • • •
Human factors:
—— skills assessment •
—— needs assessment • • •
—— hiring practices •
Training:
—— training induction •
—— training systems • • •
—— training assessment • • • •
—— scenario training • •
—— training plan • •
Performance measurement:
—— key performance indicators (KPIs) • • •
—— response • •
—— quality control • • •
—— service level agreements (SLAs) • •
—— performance reports • •
—— availability reporting • •
—— incident tracking • • • •
Critical awareness:
—— asset register •
—— risk awareness • •
—— controlling work on critical systems • • •
—— critical plant impact assessments • •
—— critical alarm logs • • •
—— site log books • • •
—— change of management • • •
—— duty of care • •
Client relationship:
—— reporting critical success • •
—— customer focus • •
—— customer satisfaction • •
—— facilities/IT relationship •
Emergency response:
—— emergency procedures • • •
—— emergency notification and escalation • •
—— communication methods • •
—— preparedness • • • •
Operator functions:
—— help desk • • • •
—— operational procedures • •
—— key control • • •
—— colour coding • •
—— plant housekeeping • •
Operation and maintenance costs 11-1
11 Operation and maintenance costs
11.1 O&M cost data Summary
11.2 Cost categories This section provides information on the financial aspects of owning and operating building services
11.3 Cost data attributes installations and is relevant primarily to building managers and operators. It includes information
on cost data and how it can be used to manage the maintenance of building services. It also
11.4 Benchmarking
covers practical aspects of benchmarking, basic accountancy and cost predictions associated with
11.5 Levels of information refurbishment or new construction.
11.6 Utilisation of labour This section does not cover ‘service charges’ or service provisions relating to leasehold buildings and
11.7 Backlog maintenance the landlord and tenant obligations.
References
Bibliography
Note: The maintenance management cost data structure Table 11.1 Maintenance and renewal cost categories
and the methods of quantification of cost plans, analysis Maintain cost data (annualised maintenance), consisting of:
and benchmarking set out in this section is aligned with — planned preventative: scheduled tasks including proactive
the RICS documents New Rules of Measurement (RICS, inspections, investigations and monitoring regimes
2012, 2014) and BS 8544: Guide for life cycle costing of — reactive: unscheduled actions or tasks
maintenance during the in use phases of buildings (BSI, 2013). Renewal cost data (forward maintenance), consisting of:
— major repairs and replacements
— upgrades and improvements; e.g. energy efficiency/carbon reduction
Utilities: energy consumption/carbon management
11.1 O&M cost data
Maintenance and administration costs, including overhead and profits
Robust data relating to o&m costs is increasingly important Employer definable other costs, consisting of:
to help set and defend maintenance budgets and evaluate —— maintenance management and administration costs
tenders, as well as supporting the business case for —— specialist/consultants fees; e.g. inspections and audits
investment in asset renewals over a building’s life cycle. —— asset information management costs; e.g. CAFM, asset surveys and
In organisations, the ownership and operating costs of assessments
—— other employer definable costs; e.g. insurances, grants etc
their buildings are often the biggest expenditure after
employee costs. Risk allowances
Other considerations, consisting of:
Historically, due to a lack of an accepted standard method —— taxation, capital allowances, grants and relevant end-of-life costs
of costing maintenance, the industry has struggled to
capture, analyse and benchmark cost data in a robust and
sustainable way.
constraints should be considered when calculating
maintenance costs.
In order to compare and analyse o&m cost data, it is
important to use a standardised method that can fully
integrate the process of creating and implementing two
plans: maintain and renewal plans. This will enable asset
owners and operators to understand the total cost of 11.2 Cost categories
maintenance and know precisely where the money is being
spent, as well as helping to justify asset investment plans. The key constituents of maintenance and management
costs for engineering services is summarised in this section
In addition, the costs should be based on the assets being and aligns with the BS 8544 cost breakdown structure
maintained in a way that is compliant with safety, statutory (BSI, 2013).
and legal obligations and energy efficiency, as well as
meeting the needs of occupiers, in order to optimise the The detailed cost breakdowns from BS 8544 are not
costs and avoid under- and over-maintaining the applicable reproduced in this document, only the key headings
building services assets. associated with maintain and renewal costs and other
related life cycle cost categories, such as utilities. Another
Maintenance cost data comprises: labour, consumables and source of cost categories is Investment Property Databank
spares, specialist services, asset and equipment and other Ltd. (IPD), which has a Global Estate Measurement Code
costs (such as capital allowances, grants etc). Adjustment (GEMCode) (IPD, 2013). This is a proprietary system
factors such as access arrangements and hours of working introduced by IPD Occupiers to create a standard platform
for use within the real estate and facilities management Care is needed in collecting and checking data and invoicing
industry to allow benchmarking. By setting out a universal to ensure that it makes sense, aligns to the service report
approach to the collection of real estate information, the sheet and identifies and reconciles to what was/is required
GEMCode enables property executives to generate and hence is valid. Service record sheets should be checked
consistent and comparable performance information about to ensure that any recommendations or incomplete work
their buildings anywhere in the world. and the status of assets are understood and, where
appropriate, carried out.
The maintenance costs may also be split into work
packages for tendering and/or cost analysis purposes, such
In some cases, the provision of specialist services is based
as: life safety systems (fire systems; emergency lighting),
on a ‘fixed contract value’ and as such it may be treated as
lifts, HVCA and controls. The o&m cost categories include
any other material.
the relevant cost data derived from:
—— labour hours and costs (resident and mobile Account should be taken for costs such as response time,
including provision for out-of-hours working and standby charge and/or out-of-hours call charges. The swifter
access/travel) the response time required, the higher the likely charge.
—— specialist services/third-party subcontracted works
—— materials, spares and consumables 11.2.3 Materials, spares and
—— asset and equipment
consumables
—— repairs, replacements and upgrades (renewals and Consumables generally relate to the materials and
enhancements) components required by maintainers to enable planned
preventative maintenance to be carried out; this will
—— utilities (e.g. energy-efficiency cost data/carbon
including filters, inhibitors, greases and belts etc.
emissions, where applicable).
Cost data associated with consumables and spare parts are
11.2.1 Labour costs predominantly provided as part of a consolidated supplier
invoice where a maintenance service provider is employed.
This type of cost data can be for directly employed labour An indicative cost for consumables is between 5 and
or labour provided by a service provider. In the case of the 10 per cent of the annual contract annual value.
service provider, it is relatively simple to collect cost data in
terms of an hourly, daily or other time-based rate; differing A maintenance service provider will generally maintain a
rates applying for different trades and skill levels. stock of spares or consumables on a client’s site within a
client-provided store and the client pays for the goods upon
A distinction should be made between resident on-site removal/use, with the supplier restocking to ensure that a
labour and mobile labour. minimum stocking level is always maintained.
Invoices for labour supplied must be checked against what The building operator or responsible person needs to
was actually provided, as this can cause dispute, especially ensure they have planned and given full consideration to
in the provision of ‘call-out’ response where there may be their spares requirement to ensure that they have spares
additional charges associated with out-of-normal-hours available or can obtain them without causing downtime
working and prioritised requests. and impacting upon the building function.
With directly employed labour, it is often difficult to

obtain accurate cost data, as details of an individual’s real
11.2.4 Asset and equipment
cost to employ is not necessarily managed by the o&m
management team. At the least, the hours worked by each As with consumables and spares, asset and equipment cost
grade of staff must be collected to allow planning and data are provided as part of a consolidated supplier invoice.
control. Ideally, for each trade and skill level an inclusive These costs generally relate to the equipment required by
rate should be determined that incorporates the full cost of a maintenance service provider to undertake the planned
employment including all overheads. For example, this preventative maintenance and include mobile elevating
may include National Insurance and pension contributions, working platforms (MEWP), scaffolding, etc. They exclude
allowances for cover for holiday, sickness and training, the hand tools, as these are deemed to be included in the
cost of staff facilities, an allowance for personnel labour rates.
management, safety management, any other support
function they make use of and any additional corporate
benefits such as subsidised travel. 11.2.5 Major repair/replace and
upgrades (renewals and
enhancements)
11.2.2 Specialist services/third party
subcontracted works These costs are derived from undertaking life cycle cost
estimates for scheduled major repair/replacement of
Cost data associated with specialist services—for example, systems and components. Such costs relate to full or partial
water treatment companies supplying materials, specialist replacement of heating systems, air handling units, lifts,
labour and water quality analysis—can be complex with a controls, etc. They cover the costs of works that are outside
mixture of fixed (or repeatable costs) and variable or one- the requirements of the maintenance services provider’s
off costs. planned preventative maintenance contract.
Cost data associated with known improvements and —— reliable and repeatable
upgrades of existing assets, such as planned statutory
changes or scheduled business drivers, also needs to —— compatible with overall organisation objectives and
be captured. matrices
—— provide early indicators of poor performance and
11.2.6 Utilities hence cost escalation or equipment failure
The cost of utilities can be collected from invoices or, for —— clear with limitations of its use apparent (i.e.
main utilities such as gas, electricity and water, via smart constraints and location factors)
meter readings.
—— suitable for analysis to provide indication of
The cost of other utilities, such as auxiliary generator fuel remedial measures required.
oil, may need to be collected via invoices or calibrated level
sensors.
A monthly histogram identifying usage on a month-by- 11.4 Benchmarking

month basis, with comments and an understanding of the
effect of the events such as the Christmas shutdown period,
will readily identify significant changes and help to support The object of benchmarking is to be able to compare any
data for energy performance certificates (if applicable). particular activity with other samples from a peer group to
determine whether your performance is above or below a
selected datum level. It is important to differentiate whether
Care must be taken when evaluating the utilities invoices
the peer group used in the benchmark is a simple average,
due to the complexity of differing contract or tariff
best practice or acceptable minimum.
arrangements. Building operators should, therefore, have a
thorough understanding of the utility supply contract,
especially penalties payable for increased consumption. For One of the major disadvantages with benchmarks is the
larger estate owners, service providers exist that will source difficulty in ensuring that the comparison being drawn is
the best suppliers, consolidate all utility invoices, provide truly equitable. In the case of a single organisation making
benchmarking and analytical information, identify and comparisons based upon internally generated data, this
negotiate corrections to invoice anomalies and even manage should be simple to achieve. Where a broad, general
payments to utilities on behalf of their clients. benchmark is used, care needs to be taken to ensure that the
correct data is used. BCIS publishes UK benchmarking
Utility-use cost data is relatively simple to analyse against a data and there are several benchmarking clubs where data
number of performance indicators or targets. This is due, is shared among members.
in part, to the formalised presentation of the information
with little variation between companies; CIBSE Guide F: Part 7 (‘Performance benchmarking’) of BS EN 15221-7
Energy efficiency in buildings (CIBSE, 2012) provides detailed Facility management (BSI, 2012) provides guidelines for
information on this. However, building operators should benchmarking facilities and, as with any comparison, it is
be aware that whilst meter readings are commonplace, important to determine how best to present the data. This
energy supply companies sometimes issue estimated should be aligned to the organisation’s activity and
readings, which may produce bill data at significant matrices. Typically this may include:
variance to data recorded by the building operator.
—— cost per m2 (defined as gross internal area)
Some buildings will have meters that provide half-hourly
usage. With this data it may be possible to identify low- —— cost per function unit (per bed/pupil/workstation
frequency, high-usage peak loads and to reorganise to etc)
reduce this peak, creating a more stable energy profile and
moving energy costs to a lower tariff band. —— cost per m2 per year
Vigilance in recording and monitoring meter readings will —— cost per kw (e.g. boilers)
provide an early indication of potential problems in asset
performance causing unnecessary use of energy. Increasingly —— cost percentage of total capital expenditure
there is a need to review balancing of loads across the three
phases and pay consideration to power factor correction. —— cost of renewals over the period of analysis
(annualised for short to longer term).
Any capital expenditure funded projects, such as equipment

11.3 Cost data attributes upgrades, refurbishment or maintenance of production and
process equipment, should be accounted for separately as
When collecting and analysing building services these are not normally included in a facilities management
maintenance costs in detail, the data should have certain budget and would skew any external benchmarking activity.
attributes. It should be:
—— structured and simple to collect and manipulate, Maintenance costs are an important part of the whole-life
ideally automated and at a sensible relative cost, to costs or life cycle costs. It is therefore important to ensure
its value (i.e. unit rates for all of the cost categories that these are captured and understood when carrying out a
listed above) life cycle analysis (see Chapter 12).
11.5 Levels of information (o)

maintenance policy pursued; this may differ
between systems (see Chapter 3)
For planning and controlling expenditure, o&m (p) annual maintenance cost totals
information can be considered to exist on three levels:
(q) utility cost totals (total consumption and any sub-
(1) building and/or function metering):
(2) systems and components —— electricity: total costs including standing
(3) maintenance tasks. charges, units consumed, cost per unit,
maximum demand, connection charge,
availability charge, etc
11.5.1 Building and/or function (e.g.
—— gas: as for electricity where applicable
office, hotel, school)
—— oil: as for electricity where applicable
The uppermost level of information is that concerned with
the building characteristics—for example, size, use and —— other fuels: as for electricity where
occupancy—and the overall totals of maintenance and applicable
asset renewal expenditure. The collection of these may be —— water: consumption and disposal costs.
used to provide useful benchmarks for comparisons with,
for example, other buildings or maintenance service The specific needs of the building operator will determine
providers. They will also allow cost analyses to be carried the precise requirements for information to be collected.
out and highlight any deficiencies in the planned
maintenance regime or in the energy efficiency of the
The division between planned and reactive maintenance
operation. Collection of much of the data will be a one-off
and the division between utilities used to produce the
exercise that is automated or, where they vary, available
environment and those used in process consumption is
within an organisation accounting systems.
important but may be difficult to segregate.
Typical information details to be collected for the building
or premises characteristics are: One of the most influential factors on maintenance costs is
the level of service required by the building occupier, which
(a) location/address is difficult to identify objectively. The level of service
depends primarily on the type of maintenance response to
(b) site exposure
a contingency and the speed with which this is made. These
(c) orientation of building factors, in turn, can be influenced by the organisation of the
occupier and its managerial policy with respect to the
(d) aspect ratio and number of floors of building service personnel. Many building services maintenance
(e) type, use of building and activity undertaken organisations perform functions, such as small works, in
addition to specific maintenance tasks.
(f) type of construction
(g) age of building Consideration also needs to be given to the hierarchical
status of the building occupants and their demands in
(h) age of building services terms of service and response.
(i) floor area of building (whatever factor is used in
assessing the value of the building, i.e. net lettable
area or gross floor area) 11.5.2 Systems and component
(assets)
(j) building population, type(s) and number
(k) building occupation pattern(s) The second level of information concerns the characteristics
of all of the applicable maintainable systems and asset
(l) building services system types: components. This is needed to create an asset register,
—— heating and hot water service system which can then be used to capture the relative importance
of assets and the building function, which, in turn, should
—— air conditioning system(s) if applicable help determine the appropriate maintenance strategy and
—— electrical distribution system the service level regimes.
—— lift installations, type and number The information should consist of a list of the building
—— utility supply details services systems installed, with asset criticality ranking
according to the relationship between the system and the
—— renewables building function. For example, the electrical distribution
—— IT infrastructure system may be considered to be the most crucial to the
building function and would, therefore, have the highest
—— public health systems ranking. For further guidance on determining criticality
(m) number of staff engaged in maintenance work, refer to BG 54/2014: Business Focused Maintenance (BSRIA,
trades and levels/grades 2014) Appendix B.1 of BS 8544: Guide for life cycle costing of
maintenance during the in use phases of buildings (BSI, 2013)
(n) contract maintenance arrangements: level of risk and the customisable task schedules and service level
assigned to the service provider by contractual models in SFG20: Standard Maintenance Specification
conditions and value (www.sfg20.co.uk).
A sub-list of asset components within a building services Enhanced Capital Allowances scheme for using more
system will need to be captured to a level to link assets to efficient asset types should be considered (details of
maintenance tasks and establish the bespoke asset currently applicable assets are available at www.eca.gov.uk)
maintenance register. In addition, capturing salient data (see Chapter 12).
about individual assets, for example AHU sizing/capacity,
make, rating and date of manufacture. It should contain
information about each asset used within each system and 11.5.3 Maintenance tasks
which maintenance—planned or reactive—may be carried
out. Ductwork, pipework and electrical distribution can Maintenance tasks are the actual maintenance work that is
also be considered as asset items. carried out on individual systems and assets. This can
produce considerable quantities of data and careful thought
Care must be taken not to create too large a database of must be given to the value of the information produced and
information by considering individual assets to a very the uses it may be put to compared with the cost of
detailed level. At the initial stage it is unlikely that a collecting, collating and presenting it.
building would be considered to have more than 100 types
of systems and component assets; it may have multiples of The information to be collected relates to planned
certain items, such as lights, valves, controls and sensors and reactive maintenance work. It is unlikely that any
like room terminal devices, but it is not always necessary to one item of equipment would have more than 10
identify these individually if they are part of a composite individual maintenance work ‘packages’ carried out in any
system (e.g. heat source—boiler, including burners and one year and that reactive work would be related to one or
flues). more causes.
This detailed asset maintenance register should include as
a minimum: In general terms, it is considered that the labour
element accounts for approximately 60 per cent of the
(a) asset identifier maintenance cost.
(b) location
For each maintenance task, the minimum level of detail
(c) asset item description that needs to be captured is:
(d) the manufacturer’s/supplier’s name and contact
(a) asset being maintained
details
(e) model description/type (b) legislative or non-legislative maintenance (stat
utory/legal compliance obligations)
(f) serial number
(c) asset criticality rating (from a business or function
(g) rating, capacity or certified performance data criticality perspective)
(h) date of installation
(d) maintenance task frequency and work steps
(i) condition
(e) time to complete maintenance
(j) criticality or factor relating the asset’s importance
in relation to the system/building function (f) operatives’ trade (electrician, mechanical, controls,
(k) estimated economic life. etc)
(g) material cost
This information is the backbone to creating a planned
maintenance system and may be developed to whatever (h)
a reporting section to record any identified
level of detail suits organisational needs. It can form the problems, such as belts broken
basis of building a service history and will be of use in
valuing a building throughout its life. Asset information is (i) outstanding action required/recommended.
an integral part of the planned preventative maintenance
programme and should be kept up to date. In general terms, for a building without specialist assets
that is being operated with a robust maintenance regime,
Condition surveys and asset data capture are subjects in the overall cost of maintenance can be expected to be 60 per
its own right, with a variety of approaches available and cent planned maintenance and 40 per cent attributed to
for which there are various publications available (see reactive maintenance.
Chapter 14).
Planned maintenance tasks are primarily undertaken to
This listing of the installed assets and systems with their reduce the failure of critical assets and reduce reactive
current condition is invaluable in the identification and maintenance. Typically this might include:
forecasting of life cycle replacement. With the development
of BIM, any new building procured to be compatible with —— inspections and testing: including plant room tours
BIM level 2 as defined by the Government’s BIM task group
should already have this data captured. —— investigations: to ascertain the appropriate
technical intervention required
This listing of the installed assets and systems will also be —— monitoring and auditing: including condition-
valuable when an asset reaches the end of its economic life based maintenance (thermal imaging etc)
and needs to be replaced. At this point, asset size,
performance, operational need and system efficiency need —— basic housekeeping of cleaning, replacing filters
to be addressed. The tax advantages available through the and lubricating where necessary.
Reactive work can be considered in relation to the cause. 11.6.2 Reactive activities
Again, general titles should be used and a typical short list
might include: These include:
—— wear/corrosion/other progressive deterioration (a) response to assessed situation
—— material defect (b) remedial work that results from (a)
—— installation defect (c) attendance to unforeseen asset failure including

fault diagnosis
—— excessive asset deterioration (due to abnormal (d) emergency repairs associated with (c)
factors)
(e) minor new or improvement works initiated outside
—— inadequate maintenance maintenance organisation
—— malicious damage. (f)
major new works (not strictly maintenance
activities but often involve maintenance operatives
If information is collected at this level, the total cost of the directly or indirectly)
individual maintenance items should equal the total (g) dedicated travelling time (this can be within large
expenditure and could be a useful corroboration between estates or across multiple sites)
budget costings and actual expenditure.
(h) tidying and cleaning following work
(i) materials, tools and equipment procurement (often
involves significant time to identify precise
11.6 Utilisation of labour requirement)
(j) other unplanned activities (including attendance
The following provides a systematic approach to identifying time for other trades, visitors etc)
core maintenance activities to enable comparative analysis
between buildings, service providers or even individual (k) access issues.
technicians. Careful analysis of such labour utilisation will
also produce indicators of the effectiveness of maintenance
management and the actual work carried out. It is important
to be able to distinguish between planned and reactive 11.7 Backlog maintenance
maintenance resource utilisation.
It is an unfortunate fact that planned maintenance (and
Each of the main work categories is broken into subheadings, hence expenditure) must often be deferred or negated as a
including one for ‘other’ work. If this catchall heading result of expenditure cuts to meet overall operating cost
occupies significant operative time to keep the assets in limits or due to lack of resources. It is not uncommon for
working order, an in-depth investigation of the maintenance maintenance activities to be considered non-value adding.
system is warranted as the other headings typify most
maintenance activities. With the continuing emphasis on health and safety and UK
legislation firmly in place regarding corporate manslaughter,
in the event that maintenance has to be deferred or negated,
11.6.1 Planned activities the reasoning and instruction for this should be documented,
so that there is information available if an issue arises as a
These include the following: consequence of maintenance not being carried out.
(a) replenishment/replacement of consumables Should there be a need to undertake a programme of

sustained deferment then the impact on the business should
(b) inspection be considered to determine the effect and consequences of
not undertaking that maintenance, with a focused priority
(c) functional testing on the maintenance activities that have a legislative and
(d)
safety testing (e.g. electrical, gas, water, lifts, statutory requirements to be undertaken.
updating risk assessments such as fire and water
hygiene) Should a situation arise where the consequence of not
undertaking maintenance is felt to jeopardise health and
(e) repairs resulting from (b) to (d) safety, it is incumbent upon the individual to report this in
writing to the responsible person within the business (see
(f) supervision/receiving particular instructions Chapter 3.5.1).
(g)
procurement of materials, tools, spares and
equipment 11.7.1 Budgetary control
(h) travelling, cleaning and tidying
The importance of budgetary and financial control cannot
(i) minor new or improvement work initiated by be overstated and should be a constant focus, providing
maintenance management real-time data to the business.
(j)
other planned activities (including training, A budget is prepared in advance of the financial year and is
administration, record keeping, compliance). an estimate of costs, revenues and resources over a specified
period, reflecting on the past performance and looking the needs of the business you are supporting. It
forward to align with the occupiers’ goals. includes the funding and planned replacement of
assets that can no longer be economically repaired,
It is an important administrative tool and should reflect are obsolete, too inefficient or rendered redundant
your plan of action for achieving quantified objectives and due to legislative or other action.
be a means of measuring performance and coping with —— It contains quantitative and financial data, which
foreseeable adverse situations. are formally documented.
A maintenance budget should be drawn up as ‘zero-based’, —— It covers a defined future period of time, normally
working from basic principles and not just incrementally 12 months on a quarter-by-quarter basis.
increasing the previous period’s figures. This requires an
independent assessment and review of each activity Once the budget exists, it may be used for control purposes.
followed by a suitable combination of the whole range of Budgetary control may be summarised as:
activities to match available funds, i.e. ‘what ifs’.
—— clearly defining the financial responsibilities of the
relevant management
In reality, for an existing building some basis of previous
financial performance will be taken but must be tempered —— detailing a plan of action within the manager’s
by what needs to be done in the future together with a sphere of responsibility; this may be in terms of
careful assessment of the scope for improvement. labour, materials and new equipment
—— ensuring adherence to the budget
The essential features of a maintenance budget are as
follows: —— monitoring performance and comparing spend to
budget
—— Its objectives are achieved. This means operating
and maintaining the assets in such a way as to —— identifying and, if appropriate, undertaking
achieve an acceptable level of availability that meets corrective action to meet budget constraints
Table 11.2 Maintenance budget checklist
Category Item
Labour In-house trades: supervision, management and training

Contract: mobile, resident, supplementary for labour-intensive tasks (e.g. tank and domestic water system chlorination and
checking of electrical connections)
Specialist subcontractors: for specialist tasks (e.g. controls, lifts, uninterruptible power supplies and lifting equipment)
Materials Replenishment (e.g. oils, greases and fuel oils)

Replacement: routine (e.g. filters and belts)
Replacement: non-routine (e.g. pipework, cables and lamps)
Equipment Replacement of life-expired assets

Replacement of assets that have suffered catastrophic failure
Replacement of worn parts
Repair of misuse and abuse damage
Energy efficiency improvements (e.g. light fittings and controls)
Enhancements in aid of maintenance efficiency improvements (e.g. condition monitoring modifications)
Disposal of redundant assets
Specialist resources Consultants for auditing and change management (e.g. planning system improvements and energy and safety audits)
Specialist service providers (e.g. cooling tower maintenance, lift re-roping and water treatment)
Management Planned maintenance system (e.g. labour to implement and operate hardware and software consumables such as disks, tapes
and paper)
Legal compliance (e.g. documentation)
Insurance
Training
Diagnostics Development of feedback mechanisms, condition monitoring, one-off investigations (e.g. failure of complex assets)
Environment: air quality surveys, disposal of cleaning and water treatment chemicals
Utilities Electricity consumption and connection charges (contract renegotiation): lighting, small power, HVAC, lifts/transportation,
catering
Gas: heating, catering and hot water production
Water: supply, sewerage, fire, treatment, rebate for evaporative use (e.g. cooling towers)
—— investigating unaccounted costs are very easy to cost. Capital appraisal is mostly influenced
by items that have an accurate monetary value.
—— seeking extra funding for unplanned events if
appropriate.
There are five basic techniques for capital appraisal:
The cost of building services will only be one facet of an
—— payback
organisation’s overall costs, but it is generally considered to
be a significant one. —— discounted payback
The nature of building use can change or failures may occur —— accounting rate of return
that cannot be accurately forecast when the budget is
compiled. Budgets for operating buildings must, therefore, —— net present value
have a degree of flexibility to cope with such changes. This —— internal rate of return.
may be identified as a contingency sum, or the nature of the
organisation may be such that it can deal with changes to
the budget during the budget period. In either case, such 11.7.2.1 Payback
changes must be justified.
This is a simple technique of determining the length of
Table 11.2 provides a checklist for preparing a budget for time it will take for net profit on a project to pay off the
maintenance. original investment.
11.7.2 Capital investment appraisal The disadvantages of this technique are that they do not
take account of:
In undertaking a capital investment appraisal it is important —— changing value of money with time (e.g. the effect
to understand the difference between capital expenditure of inflation)
(CAPEX) and revenue or operating expenditure (OPEX).
—— the stage in the payback period when the major
Capital expenditure is defined as the cost of acquiring, proportion of the investment is recovered (a short
producing or enhancing fixed assets. Revenue expenditure payback period option may recover most of the
is defined as expenditure on the supply and manufacture of investment in the latter stages and this may
goods and the provision of services charged in the represent a risk)
accounting period in which they are consumed. This
includes repairs and depreciation of the fixed assets as —— the profit made once the payback is achieved (a
distinct from the provision of those assets. project with the shortest payback period may be
selected even though there may be other options
Generally, capital expenditure has some important with longer payback periods that, in the longer
characteristics that must be taken into account in the term, would be more profitable)
appraisal. For example, it is likely to include substantial
expenditure, the benefits could be spread over many years, —— the actual amount of the original investment (a
the benefits may be difficult to predict, it will have an high-cost project with high future profitability may
impact on the organisation’s employees and it will help the be rejected in favour of a lower-cost project with a
organisation achieve its objectives. short payback).
However, not all aspects of these definitions are applicable 11.7.2.2 Net present value
to owning and operating buildings. Capital expenditure
will typically include replacing worn-out or obsolete assets
This is accepted by financial concerns as the most
or the partial or complete replacement of systems to
appropriate method of capital investment appraisal as it
enhance the environmental control within the building or
can take into account the value of money over time,
improve energy efficiency (for example, investment in
the profitability of a project and the return on the
variable speed drives). It may also include the removal of
investment. It is important to understand that this
redundant assets that will have some second-hand or scrap
technique produces only a figure to evaluate the financial
value. Capital expenditure for new or replacement assets
desirability of a number of project options; there may be
may be eligible for tax allowances under the Enhance
many factors other than cost that must be taken into
Capital Allowances scheme (see section 12.5.4).
account in the final selection.
In the case of the manufacturing industry, the benefit from
capital investment is often easy to quantify in increased The main disadvantage is that of selecting an appropriate
output or reduced production costs, both of which affect rate of interest to apply, as over time interest rates can vary.
the outcome of the appraisal.
The technique consists of combining the original
When it comes to capital investment in building services, investment with each of the future costs and incomes
however, there are often no tangible benefits in terms of associated with an option that will occur over a specific
increased profitability. The benefit from installing air period of time and calculating their value in terms of a
conditioning in a heated-only building will be increased single point in time (using the same principles as involved
occupant comfort and, possibly, increased productivity; in compound interest). For further reading see BG5/2008:
against this there is likely to be increased energy consumption Whole Life Costing Analysis (BSRIA (2008) or BS 8544:
and increased maintenance requirements. The advantages Guide for life cycle costing of maintenance during the in use
are difficult to evaluate financially, while the disadvantages phases of buildings (BSI, 2013).
11.7.2.3 Investment appraisal CIBSE (2012) CIBSE Guide F: Energy efficiency in buildings (London:
CIBSE)
The three remaining techniques for the capital appraisal all
have major disadvantages that invariably make them HM Government (2010) Building Regulations 2000 Approved Document
unsuitable for assessment of building services projects. L: Conservation of Fuel and Power (London: HM Government)
—— Discounted payback: while it does take account of
the value of money over time, it concentrates only IPD (2013) Global Estate Measurement Code for Occupiers Tenth Edition
on the cash recovery of the investment and ignores September 2013 [online] www.ipd.com/regional/uk-and-ireland.html
what happens after the payback period. The (accessed July 2014)
payback period using this technique is always
longer than that for simple payback. RICS (2012) NRM1: New Rules of Measurement: Order of Cost Estimating
and Elemental Cost Planning (2nd edition) (London: RICS)
—— Accounting rate of return: compares the profit
made with the capital invested expressed as a RICS (2014) NRM3: Order of Cost Estimating and Cost Planning for Building
percentage. This is inappropriate for most building Maintenance Works (London: RICS)
services projects as very few make a clearly
quantifiable profit.
—— Internal rate of return: very similar to net present
value but seeks to determine what rate of return Bibliography
would be required to ensure the total net present
value equals the total initial cost. As income from ASHRAE (2003) ‘Energy management’, ‘ Owning and operating costs’,
building services projects often does not occur, this ‘Operation and maintenance management’ in: ASHRAE Handbook:
method is not appropriate. HVAC Applications (Atlanta GA: ASHRAE)
Dyson JR (2003) Accounting for Non-accounting Students (London:

Financial Times/Prentice Hall)
References
Jones Lang LaSalle (2008) [online] Service Charge Analysis for Offices:
BSI (2012) BS EN 15221-7: Facility management. Guidelines for performance
Office Service Charge Annual Review (OSCAR) www.oscar.
benchmarking (London: BSI)
joneslanglasalle.co.uk/office (accessed June 2014)
BSI (2013) BS 8544: Guide for life cycle costing of maintenance during the in use
phases of buildings (London: BSI) Office of Government Commerce (2003) Procurement Guide 07: Whole-
life Costing and Cost Management: Achieving Excellence in Construction
BSRIA (2008) BG5/2008: Whole Life Costing Analysis (Bracknell: BSRIA) (London: Office of Government Commerce)
BSRIA (2014) BG 54/2014: Business Focused Maintenance (Bracknell: Williams B (2005) Facilities Economics (cd-rom) (Bromley: International
BSRIA) Facilities and Property Information)
Economic life factors and end of economic life 12-1
12 Economic life factors and end of

economic life
12.1 Background: what are Summary
economic factors and
when are they used? This chapter provides guidance on the practical application of predicted economic life expectancy and
discusses the variation factors that need to be applied.
12.2 Predicted future life
expectancy of assets and The economic life expectancy data in this section is for initial reference and guidance only. Appendix
components 12.A1 provides indicative economic life expectancy in years for listed building services assets,
equipment and constituent components/subcomponents.
12.3 Variation factors
The sources and derivation of the economic life estimates are detailed and a number of factors that
12.4 Applications can influence the economic life expectancy are explained.
12.5 Other economic life and The application of renewal interventions and threshold triggers, partial repairs and replacements
financial considerations during the expected life period and end-of-life considerations are discussed.
References Arrangements for the allocation of funding for assets replacement by the sinking fund method and
Bibliography commercial refinement of this is also explained along with funding sources for projects that reduce
carbon emissions.
12.A1: Indicative economic life
expectancy
12.1 Background: what are The relationship between these phases is illustrated in
Figure 12.1.
economic factors and
when are they used? The design life should be defined in the client’s brief and
the estimated service life should be at least as long as the
Economic life factors discussed in this chapter are design life. Maintenance will be required for certain items
an integral part of life cycle costing (LCC) and should be to achieve the predicted/estimated life. Service life
used when: replacement dates are an important variable in LCC. The
estimation of service life takes account of the period during
—— comparing alternative design solutions which the asset is intended to be used for its function or
business purpose. This period will frequently dictate the
—— replacing assets and components at intervals, period of analysis of the LCC and may dictate the design life
which, for the purpose of prediction, should be the for major assets and components.
economic life factors; a system may comprise many
assets and components with various individual life
cycles and this approach should ensure that a The economic life expectancy and variation factors
system operates at optimum performance provided in this chapter are derived from user experiences
of typical assets and equipment in addition to the sources
—— commencing a new design, improvement or listed in the acknowledgements for this chapter.
refurbishment, to consider the total cost including
design, safety, installation, testing, commissioning, Specialist industrial refrigeration assets and refrigeration
satisfactory level of handover, maintenance, review equipment used in supermarkets and public houses for
of performance following handover, subsequent food and drink are not covered. Other items, such as
replacement and disposal. catering equipment, electronic installation (radio and
television studio equipment) and external chemical, toxic
LCC is a valuable technique. It is used as an economic and industrial liquid waste drainage, service mains supply
evaluation method to identify options where there are and transformation devices, fuel storage systems and
alternative means of achieving the client’s objectives and external security systems and street lighting systems, are
where those alternatives differ, not only in their initial also excluded.
costs, but also in their subsequent operational and life
renewal costs.
Use and
The life cycle phases for a system are: maintenance
—— acquisition (acquire or create) Acquisition Disposal
—— use and maintenance

Renewal and
—— renewal and adaptation adaptation
—— disposal. Figure 12.1 Phases in the life of a system or constructed asset

Users of the data may wish to adjust the life expectancy and
variation factors given based on their own experience or, in
12.2 Predicted future life
the case of particular proprietary equipment, to take advice expectancy of assets
from the manufacturer. and components
Building services engineers should always take into account
Preparation of short-, medium- or long-term maintenance
the individual circumstances of their buildings when using
and renewal budgets for building services requires a forecast
economic life factors. The life factors listed do not provide
of the future life of existing assets and equipment and when
a substitute for survey and evaluation of the installed asset.
replacement in part or whole will be necessary. Economic
life expectancy and default factors are often used to
Kirk and Dell’Isola (1995) define the economic life, determine whether and when existing assets and equipment
technological life and useful life of an item as: should be replaced without reference to records of the
—— economic life: the estimated number of years until assets’ performance in use. Engineers may assume that
that item no longer represents the least expensive once assets have reached the age indicated by the economic
method of performing its function life factor they should be replaced. This is not necessarily
the case and may lead to premature and unnecessary
—— technological life: the estimated number of years replacement. Likewise, failure to monitor the actual
until technology causes an item to become obsolete condition of the assets may lead to unexpected failures.
—— useful life: the estimated number of years during The indicative life expectancy table given in Appendix
which an item will perform its function according 12.A1 is intended primarily for economic evaluation
to some established performance standard. analysis and is likely to provide a conservative prediction,
particularly when assets have been in use for some years
The above definition of economic life has been used for the and have been well maintained.
purposes of the life factors in this section. The definitions
for technological life and useful life are provided for use
when comparing life factor schedules in other publications. Economic life is described in section 12.1 as that point in
It is important that contractual and legal documentation time when that item ‘no longer represents the least
clearly define the basis of the life factors used to minimise expensive method of performing its function’, i.e. it is less
misunderstanding and possible future disputes between expensive to replace the item than to continue to repair it.
the parties scheduled in the documentation. There are, however, many other reasons why an asset is
replaced, including that it may be approaching the end of
its technological life or its useful life. Retaining an asset
The listed economic life factors assume that the following until it reaches the end of its economic life may not be the
core principles apply: best engineering solution if it has already exceeded its
—— the appropriate standard of maintenance is technological and useful lifespans. Increasingly, energy
undertaken, i.e. fit for function (see Chapter 3) costs are determining economic life, as more efficient
equipment may present the optimal financial solution, even
—— a high standard of quality control at all levels during if the existing equipment is in a good state of repair and
manufacture within its technical life.
—— compliance with the relevant approved British and

Economic life factors, average age at replacement and
European standards and codes of practice
median service lives are all based on assets having been
—— installation, including testing and commissioning, replaced for any reason, which may include:
carried out to good industry standards (see CIBSE
Commissioning Codes (CIBSE, 1996, 2001, 2002a, —— anticipated or actual failure
2002b, 2003a, 2003b, 2010)) —— approaching the end of its useful life
—— where assets are imported from outside the
European Union, equivalent quality and safety —— obsolescence (end of technological life) of both the
standards are clearly specified and appropriate equipment and spares
inspections are made —— refurbishment of building
—— hours of assets operation (especially rotating assets):
—— changes in building use and required capacity
many buildings are now being used for longer
periods of time as commercial pressures and —— changes in legislation
international competition intensify; where duplicate
or multiple assets are installed, the hours of each —— improved efficiency of new assets
unit should be assumed to be nominally equal
—— marketing, i.e. more ‘bells and whistles’ on new
—— adequate space for safety, access, maintenance and assets
removal of assets
—— changes in business criticality, risks and/or
—— there are no changes to regulations, particularly performance requirements.
with regards to safety or the environment, that may
necessitate earlier change
The most informative method is to conduct an economic
—— spares and consumables continue to be available for analysis to determine if the asset is approaching the end of
the asset to enable on-going maintenance and repair. its economic life.
12.2.1 Typical life of building services Equipment items may not necessarily follow the failure
distribution in the bathtub curve. For equipment where
assets and constituent there is no wear, for example some electronic and electrical
components items, it is more likely that it is a straight line with a
constant failure rate. This represents failures where there is
The ‘bathtub’ curve in Figure 12.2 is frequently used as a no warning period to indicate impending failure. Other
model to describe the reliability and likelihood of failure of items may follow a straight line, gradually inclining as
products and assets over their life (Department of Education failures increase but with no distinct wear-out phase.
and Science, 1990). Failure is commonly understood to be
that point when the equipment can no longer provide the It is important to understand the dominant failure mech
required performance. For example, a pump may continue anisms, as these should form the basis of preventative
to operate but may not provide the required flow rate. maintenance planning, for example whether routine
inspections or tasks, condition monitoring, pre-emptive
The bathtub curve is empirical and has been found to apply replacements or refurbishments are the most cost-effective
to composite products, systems or subsystems with way to ensure on-going availability, reliability and longevity).
components that are subject to wear, such as rotating
machinery. Other components may be subject to ‘random’
failures. These may increase with age or continue to occur 12.2.2 Estimating future life
at a steady rate throughout an asset’s life. With building expectancy
services, the bathtub curve can be applied to entire systems
and major assets, such as chillers, boiler/burner units, air To assess the future life for an individual asset, it is necessary
handling units, packaged air conditioning systems, heat to consider its condition, operating performance and
pumps and lifts etc. Maintenance such as replacement of service record to determine, as far as possible, whether the
parts may reduce the impact of wear. There are typically asset is in average, better than average or worse than average
three distinct phases in the life: condition for its age. This would normally be assessed by
(1) Decreasing failure rate: this occurs when the system various measures including the following:
is new and is a consequence of teething problems, —— a visual inspection of the physical condition and
such as design and installation errors, faulty the asset’s operation
components and manufacturing faults, among
other matters. —— an assessment of whether the asset is performing to
an appropriate performance standard
(2) Constant failure rate: in maintained systems, after the
early failure period, the system will be in a settled —— condition monitoring and testing techniques such
state; random isolated faults and failures will occur, as thermal imaging and ultrasonic surveys to assess
and parts that wear will need repair and/or the degradation of the asset
replacement from time to time as part of preventative
maintenance. Such parts typically include bearings, —— a review of service and maintenance records.
seals, printed circuit boards, control components,
motors, heat exchanger components and Such a review would indicate the condition of the existing
compressors on packaged heat pumps/air assets by comparison with the average and allow an engineer
conditioners or multiple compressor chillers. to make an estimate of the remaining period before there is
any significant increase in the risk of failure rate.
(3) Increasing failure rate: this is the point where major
components begin to fail and random failures Technical life is also determined by the continued
increase with time. At this stage the cost of repair of availability of spares. Safety and environmental aspects also
the asset begins to exceed the cost of replacement. play a part in determining technological life. For example,
the phasing out of R22 has left companies with no choice
The useful life would be the period of time before the onset but to replace or refurbish old chillers using this refrigerant.
of Phase 3, i.e. before there is any significant increase in the
risk of failure rate. However, useful life may extend into the Future life expectancy can be altered significantly by the
period when failures start to increase if there is no significant maintenance regime. Introducing business focused
consequence as a result of the failure occurring. Useful life maintenance to complement the appropriate use of the
may also be extended by increasing planned preventative SFG20 maintenance tasks would enable organisations to
maintenance or inspections to reduce the risk of failure. concentrate their maintenance resources on assets and
equipment that is essential to the continued operation of
Phase 1: Phase 3: long the business. Assets that are less important may have their
early failure life items maintenance schedules reduced. This may lead to earlier-
bedding-in wearing out; than-expected replacement, but may still be the optimum
period tolerances
financial solution due to savings in maintenance costs. The
Failure rate
absorbed
BSRIA publication BG 54/2014: Business Focussed
Maintenance (2014) discusses the considerations and
Phase 2: Constant failure rate;
length of phase depends on techniques for introducing business-focused maintenance.
frequency of maintenance
12.2.3 Building performance

The performance of a building must be considered from an
Time occupant as well as technical point of view. Buildings are the
Figure 12.2 Bathtub curve second most expensive cost for organisations, but the first is
employment costs. The comfort and wellbeing of staff has a otherwise the control system may not be able to compensate
direct impact on their productivity. Studies have shown that and provide effective regulation of performance. This, in
employees who have a good-quality environment perform turn, can lead to ‘hunting’ (i.e. cycling between maximum
better and have a lower rate of absenteeism. Whilst it is and minimum output) leading to poor energy efficiency and
difficult to put a financial calculation on the impact of the a shorter asset and equipment lifespan than expected.
building on its staff, it should nevertheless be a consideration
in compiling the business case for asset replacement. The general quality of materials, components, assets and
equipment should, as a minimum requirement, comply
with the relevant country’s standards and codes of practice;
where this is in doubt, a variation factor should be applied.
12.3 Variation factors
Appropriate variation of the scheduled economic life 12.3.5 Factor 5: unoccupied and
factors can be made by applying a variation factor with a closed-down buildings
value greater or less than 1.0. A suggested range of
conditions, together with typical examples that may require Where a building has been unoccupied or closed down for
a variation factor to be applied, is listed below. a number of years and is required to be used again, a
condition survey is recommended (see Chapter 14). Where
appropriate, assets and systems should be repaired or
12.3.1 Factor 1: external environment refurbished and re-commissioned to a satisfactory standard.
Where this is not allowed, a factor variation for the residual
A factor should be applied in the following circumstances: life of the assets may well be appropriate.
—— urban developments where exposure to pollution
and corrosion may occur 12.3.6 Factor 6: maintenance
—— rooftop exposure to rain, snow and wind
Where the standard of maintenance provided is not achieving
—— coastal conditions, such as wind and exposure to 60 per cent of resource time on planned maintenance as a
salt-laden air. minimum, a variation factor should be applied.
12.3.2 Factor 2: internal environment 12.3.7 Factor 7: hours of operation

Dry, pollution and corrosion-free conditions are The reference standard assumes a 12-hour operational
required for assets, equipment and distribution systems. period (Monday–Friday) and 8 hours during the weekend.
Where this condition has not been met, a variation factor If operating hours are higher or lower, a variation factor
may be appropriate. may be appropriate.
12.3.3 Factor 3: technology changes 12.3.8 Factor 8: installation

Equipment design, manufacturing procedures and The reference standard assumes that a high standard of
materials may all improve during the lifetime of installed installation quality control has been applied, approved
assets and services, affecting their economic life (as defined country standards and codes of practice are followed and
in section 12.1), particularly where reliability and efficiency testing and commissioning have taken place (CIBSE, 1996,
of performance are significantly improved or where energy 2002a, 2001, 2002b, 2010, 2003a, 2003b). A variation factor
efficiency makes it economically viable to upgrade the may be appropriate where there is some doubt that all these
equipment (i.e. economic return within an acceptable have occurred.
payback period).
12.3.9 Factor 9: adequate space

12.3.4 Factor 4: design and
specification Allowing adequate space for maintenance and assets
replacement is very important; where the particular
Buildings often undergo changes to the internal reference standard is in doubt, or assets and equipment
environment, such as a change of layout or function. The have been squeezed into a limited space, a variation factor
impact on building services is not always fully considered should be applied.
and systems end up being out of balance. Re-commissioning
of building services, upgrades or adjustments to controls or
relocation of assets and equipment may be necessary for the
12.3.10 Worked example
building to perform well.
Assuming that the reference standards for Factors 6 and 9
above have not been complied with, and variation factors of
Studies instigated by BSRIA (Hejab and Parsloe, 1992) and
0.95 and 0.92 have been adopted, the estimated economic
Stanhope (LoPinto, Farnfield and Eames, 1993; Katsikakis
life factor would be calculated as follows:
and Laing, 1993) highlighted the matter of overdesign or
over-specification, which can give rise to operational Reference economic life factor = 20 years
problems in achieving acceptable comfort conditions. If a
Estimated economic life factor = 20 × 0.95 × 0.92
building falls into this category it is assumed that the systems
will be re-commissioned to suit the actual conditions, = 17.48 years
It is important to appreciate that this method is subjective have 20 per cent of their predicted life expectancy
and relies on assessment by trained and experienced remaining.
engineers. Nevertheless, it provides a logical approach
for estimating purposes. Furthermore, the means of The application of life-cycle costing investment decision
arriving at the chosen life factor is clearly defined and making for asset renewal works involves understanding
demonstrable. Typically, factors should vary between 0.9 asset degradation and trading off between capital costs,
and 1.0 depending on the extent to which the assessor maintenance costs and risks and their probabilities to
deems the factor to be appropriate. optimise investment decisions, both in terms of timing and
the choice of asset.
Even following this methodology, it may be necessary to
adapt asset management to match capital budgets, major
refurbishment plans or lease breaks. In order to undertake this decision making effectively,
the costs and risks associated with an asset and how
these costs and risks change over time or with usage, need
Appendix 12.A1 provides a schedule of economic life to be understood.
factors. It should be noted that this is not exhaustive, and
there will always be scope for additions.
Renewal investment decision making involves
The structure of this table follows the systems and element understanding LCCs and risks and determining the best
approach adopted in the NRM3 (RICS, 2014) and also point at which to overhaul, repair or renew the asset. LCC
provides a reference to the relevant maintenance task as analysis is typically used to determine the intervention(s)
detailed in SFG20 (www.sfg20.co.uk). that represent the lowest life cycle costs.
To carry out a LCC analysis of the maintenance and renewal

works, the asset condition and predicted remaining life
12.4 Applications should be captured. The default indicative economic life
expectancy in Appendix 12.A1 for the applicable asset
It is recommended that building operators and other components should be adjusted to take account of current
interested stakeholders use the economic life expectancy status and actual in-service conditions. Default reference
and variation factors in conjunction with physical surveys service life and replacement cycles will need to be adjusted
and inspections of the applicable assets. Surveys and to take account of variation factors defined in section 12.3
inspections may include visual, intrusive or non-intrusive using ‘a factoring method’. See BS 15686-1: Buildings and
assessments, including review of historical data of the constructed assets. Service life planning. General principles
asset’s actual performance and repair history and spares. (BSI, 2011) and BS ISO 15686-6: Buildings and constructed
assets. Service life planning. Procedures for considering
environmental impacts (BSI, 2004) for more detailed guidance
Since capturing asset information might require significant
on how to apply factor estimates to component service lives.
time and money, the extent of data collection needed to do
the economic life expectancy analysis should be evaluated
on a case-by-case basis. The aim should be to utilise existing
data available to a required level of accuracy. The precise 12.4.1 Renewal interventions
level of asset data required will depend upon ensuring
compliance and business criticality implications, as well as By using reference service life data and variation factors, it
how close specific assets are to the end of their indicative is possible to model the expected life of equipment, elements
economic life. The facility manager should determine what and components for any given operational scenario. The
level of asset information, survey and inspection is required, model can then be used to plan renewals of failing items to
for example assets that are business critical and those that ensure minimal impact on the business.
40 000
35 000
Year 10: controls
upgraded (£5000) Alternative Depreciation
30 000 control of alternative
upgrade control upgrade
25 000 Depreciation of
plant and system Depreciation
over 20 years of alternative
Cost / £
20 000 control upgrade

plus new EMS
15 000
Depreciation
of upgraded
10 000 control system
Year 15: new energy

5 000 management
system (£4000)
0 Figure 12.3 Changing value of

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 assets resulting from early
Year replacement.
The model and renewals strategy can be extended over a 12.5.1 Sinking fund
number of years to provide the basic data for compiling
maintenance (renewals) budgets. Allowances for unsched
uled repair and replacements and upgrades should be An approach to allocating funds for future assets and system
incorporated into any budget. replacement is to set up a sinking fund. In practice, this
approach will need specialist accounting, tax and legal
advice. This section concentrates on the calculations
12.4.2 Partial replacement during involved and ignores all possible effects of tax and inflation.
expected life period
A sinking fund can be considered as a method of
Figure 12.3 illustrates how the value of assets and systems depreciation. At the end of the asset’s life, the investment
will change if early replacement is introduced. These will provide cash equal to the cost of the asset. The general
savings may relate to savings from energy and/or formula is:
maintenance cost savings.
AR = (RC × I) / {[(1 + I) n] – 1}
The following data is used in conjunction with the example
in section 12.3 as a simple model to demonstrate that: Where AR is annual recovery (£), rc is replacement cost (£),
—— The assets and system are assumed to reduce in I is annual interest rate (%) and n is life period (years).
value on a linear basis over a 20-year period with
zero value at the end of the life period. Consider the replacement cost of a boiler and its system in
20 years’ time at 4 per cent yearly interest. The estimated
—— In year 10, the control system is upgraded at a cost cost is £37 400. The annual recovery and contribution to
of £5000 with a high probability of upgrading again the sinking fund can be calculated as:
in a further 10 years, indicated by the solid line.
The dashed line indicates an upgrade with extended AR = (37 400 × 0.04) / {[(1 +0.04) 20] – 1} = £1256
life after 10 years.
—— In year 15, a new energy management system is It is important to demonstrate reasonably reliable economic
introduced at a cost of £4000, which is likely to last life factors and the effect on the annual recovery should the
for a further five years, indicated in black, before factors be inaccurate. For example, if the actual life period
work will be required again. The dashed line were 13 years rather than 20 years, using the same calculation
indicates an upgrade with extended life after five procedure for 13 years, the annual recovery would have been
years. set at £2249. This would result in a shortfall of £993 per
annum in the fund to replace the boiler.
This could be developed to introduce non-linear yearly
changes in value and inflation by extending the life period
beyond 20 years with the introduction of modernisation 12.5.2 Risks in relation to financial
and refurbishment. This approach could satisfy the need
for reducing o&m costs and keeping assets and systems as modelling
modern and energy efficient as possible.
It should be remembered that financial modelling and
economic life factors are not designed to be predictions of
12.4.3 End-of-life considerations costs for years into the future. They are tools that support
financial appraisal, not budgets.
Various factors have to be considered when assessing if
equipment has reached the end of its economic life,
including: Within every financial model, there will be variables that
are unknown at the time of modelling. As previously noted,
—— the cost of renewal compared with the projected there are a variety of factors causing the economic life of
cost of maintenance and or repairs assets to vary significantly from the average economic life.
—— the cost of renewal compared with any economic
benefits to be obtained by replacing ageing The capital cost of the asset however is normally only a
equipment with modern technology, such as small part of the whole-life cost, with the majority of costs
improved environmental control or energy saving incurred in o&m and utilities. For each financial appraisal,
the elements of the asset and the costs should be considered.
—— property life and changing needs of the business
the asset supports
For example, while there are various projections for future
—— decommissioning and disposal options that are energy prices, the energy price in five years may be vastly
available for the asset being removed. different to the price that we expect. The prices of raw
materials, especially metals, have also fluctuated widely,
which may mean that the cost of spares is much higher or
lower than predicted.
12.5 Other economic life and
financial considerations For this reason, the engineer and finance team need to take
an educated assessment of the likely variations in
LCC investment appraisals are dealt with in Chapter 11, but expenditure for each asset, component and cost element.
economic life factors input is needed before any meaningful Best, worst and expected scenarios can then be considered
appraisal can be made. to assess the economic viability of a project.
12.5.3 Depreciation ECAs enable a business to claim 100 per cent first-year capital
allowances on their spending on qualifying assets and
Accounting standards define depreciation (Wood and machinery. The two most applicable schemes for ECAs are:
Sangster, 2005), but for all practical purposes the following —— energy-saving assets and machinery
details must be determined for each asset or equipment
before any assessment can be made: —— water conservation assets and machinery.
—— the total cost (£)
Businesses can write off the whole of the capital cost of
—— economic life (years) their investment in these technologies against their taxable
profits of the period during which they make the
—— salvage value (£)
investment. This may allow up to a 5 per cent reduction in
—— a method of depreciation that is systematic and capital cost compared with assets not covered by the
rational. scheme. This can deliver a helpful cash flow boost and a
shortened payback period
The building services engineer can establish values for
total cost, economic life and salvage value while the Other engineering input to the above considerations would
accountant decides the depreciation method. Various involve the assessment of economic life periods and, where
depreciation methods can be applied: appropriate, the provision of assessments for the Inland
Revenue inspector.
—— straight line
—— sum of the year’s digits
12.5.5 Taxation and subsidies
—— fixed percentage
—— compound Taxation and subsidies can impact on the economic viability
of a project. Capital allowances enable companies to reduce
—— declining balance their corporation tax bill. The introduction of the feed-in
—— sinking fund tariffs and renewable heat incentive can provide an income
against a fixed building asset; a new consideration for
—— repair reserve building operators that previously did not have a means of
—— revaluation generating profit from their building services.
—— manufacturing unit.
For further information, refer to BS 8544: 2013: Guide for References

life cycle costing of maintenance during the in use phases of
buildings (BSI, 2013) or BG5/2008: Whole Life Costing BSI (2004) BS ISO 15686-6: 2004: Buildings and constructed assets. Service
Analysis (BSRIA, 2008). life planning. Procedures for considering environmental impacts (London: BSI)
BSI (2011) BS ISO 15686-1: Buildings and constructed assets. Service life
12.5.4 Capital allowances planning. General principles (London: BSI)
When machinery or assets are purchased for a business, the BSI (2013) BS 8544: 2013: Guide for life cycle costing of maintenance during
cost of each item is added to a pool (motor vehicles are the in use phases of buildings (London: BSI)
treated separately). A yearly capital allowance of 20 per cent
on a reducing balance basis is applied for each tax year to BSRIA (2008) BG5/2008: Whole Life Costing Analysis (Bracknell: BSRIA)
the pool and claimed as a writing-down allowance. In the
UK Schedule 13 of the Finance Act 1997 (TSO, 1997) BSRIA (2014) BG 54/2014: Business Focussed Maintenance (London:
amended the Capital Allowances Act 1990 (HMSO, 1990) BSRIA )
by introducing the case of machinery or assets that are new
or when new would have a useful economic life of at least 25 CIBSE (1996) CIBSE Commissioning Code A: Air distribution systems
years; a 10 per cent capital allowance then applies on the (London: CIBSE)
reducing balance basis.
CIBSE (2001) CIBSE Commissioning Code C: Automatic controls (London:
There are exclusions to this rule and reference should be CIBSE)
made to the Finance Act 1997 (TSO, 1997) for further
information. Current investment allowances made in CIBSE (2002a) CIBSE Commissioning Code B: Boiler assets (London:
budgets subsequent to the Act should also be identified CIBSE)
and applied.
CIBSE (2002b) CIBSE Commissioning Code R: Refrigerating systems
The items of machinery or assets that qualify for capital (London: CIBSE)
allowances can be complex and assessing them requires the
expertise of tax, quantity surveying and engineering CIBSE (2003a) CIBSE Commissioning Code L: Lighting (London: CIBSE)
professionals.
CIBSE (2003b) CIBSE Commissioning Code M: Commissioning
The tax advantages available through the Enhanced Capital management (London: CIBSE)
Allowances (ECA) scheme for using more efficient assets
should be considered (details of currently applicable assets CIBSE (2010) CIBSE Commissioning Code W: Water distribution systems
are available at www.eca.gov.uk). (London: CIBSE)
Department of Education and Science (1990) ‘Maintenance of mechanical RICS (2014) NRM3: RICS New Rules of Measurement: Order of Cost
services’ Maintenance and Renewal in Educational Buildings Bulletin 70 Estimating and Cost Planning for Building Maintenance Works (London:
(London: Department of Education and Science) RICS)
TSO (1997) Finance Act 1997 (London: TSO)

Department of Education and Science/TSO (1992) Maintenance of Electrical
Services (London: Department of Education and Science/TSO)
Wood F and Sangster A (2005) Business Accounting 2 (10th edition)
(London: Pearson Books)
Hejab M and Parsloe C (1992) BSRIA TN8/92: Small Power Loads
(Bracknell: BSRIA)
HMSO (1990) Capital Allowances Act 1990 (London: HMSO)

Bibliography
Abramson B, Won L-S and Herman DL (2006) ‘Service life data from an
Katsikakis D and Laing A (1993) Stanhope Position Paper: An Assessment interactive web-based owning and operating cost database’ ASHRAE
of Occupation Density Levels in Commercial Office Buildings (London: Transactions (Paper 4830)
Stanhope Properties)
BLP LCC (2007) [online] (http://blplcc.co.uk/lcc) (London: BLP)
(accessed July 2014)
Kirk SJ and Dell’Isola AJ (1995) Life Cycle Costing for Design Professionals
(New York: McGraw-Hill)
Hiller CC (2000) ‘Determining equipment service life’ ASHRAE Journal
(August 2000)
LoPinto A, Farnfield T and Eames J (1993) Stanhope Position Paper: An
Assessment of Small Power Loads for Commercial Office Buildings (London: Lovvorn N and Hiller CC (2002) ‘Heat pump life revisited’ ASHRAE
Stanhope Properties) Transactions (Paper 4560)
Appendix 12.A1: Indicative economic life expectancy

Sources: CIBSE Maintenance Task Group, Atkins, Building life plan, BCIS life expectancy
RICS NRM 3 code Equipment: maintainable components Economic life/years Remarks SFG20 reference
5.1 Sanitary installations (SI)
5.1.1 Sanitary appliances (SA)
5.1.1.1 Sanitary appliances:
5.1.1.1.1 WC pans and cisterns, WC suites, slop hoppers, Note: SFG20 48-05 covers
urinals and cisterns: sanitary, waste water, plumbing
and drains
—— vitreous china/fireclay/uPVC 20 48-05 (part)
—— cast iron and stainless steel 40 Depends on the material type
5.1.1.1.2 Sinks 40/20 Depends on the material type 48-05 (part)
(see item 5.1.1.1.1)
Wash basins, hand rinse basins, wash fountains 40/20 Depends on the material type 48-05 (part)
5.1.1.1.3 (see item 5.1.1.1.1)
5.1.1.1.4 Bidets 40/20 Depends on the material type 48-05 (part)
(see item 5.1.1.1.1)
5.1.1.1.5 Baths (including bath panels and trims) 40/20 Depends on the material type 48-05 (part)
(see item 5.1.1.1.1)
5.1.1.1.6 Shower trays 40/20 Depends on the material type 51-01
(see item 5.1.1.1.1)
5.1.1.1.7 Shower unit (including shower head and hose) 5 Self-contained/electric 51-01
5.1.1.1.13 Automated controls and sensors 10 Auto flush and hand tap 48-05 (part) and 48-08
sensor devices (part)
Note: Occupancy lighting
sensors in 5.8.3.1.11.2
5.1.2 Sanitary ancillaries (SA)
5.1.2.1 Sanitary fittings:
5.1.2.1.5 Hand dryers 5 48-11
5.1.2.1.6 Paper towel dispensers: electric operated 5 48-12
5.1.2.1.7 Sanitary incinerators 15 Electric powered incinerator 05-45
5.1.2.1.8 Macerators 10 Sanitary towel disposal 48-01 and 02
5.1.2.1.9 Other sanitary fittings (details to be stated):
5.1.2.1.9.1 —— In-cell sanitation units 25 SA 1
5.2 Services equipment (SE)

5.2.1 Services equipment (SE)
5.2.1.1 Services equipment:
5.2.1.1.1 Catering equipment (CE) Excluded Note: Outside the boundary CE 1 to CE 76
of CIBSE
5.2.1.1.4 Laundry equipment:
5.2.1.1.4.5 Ironing machine 20 OSE 4
Steam press 20 OSE 5
5.2.1.1.4.7 Washer dryers (combined) 20 OSE 7
5.2.1.1.4.8 Washer extractor 20 OSE 8
5.2.1.1.4.9 Washing machine: domestic type 10 OSE 9
5.2.1.1.4.11 Roller press 20 OSE 11
5.2.1.1.4.12 Washing machine: industrial steam 20 OSE 12
5.3 Disposal installations (DI)

5.3.1 Foul drainage above ground
5.3.1.1 Drainage to sanitary appliances: 48-01
5.3.1.2 Drainage to services equipment: 48-01
5.3.1.2.1 Waste pipes and fittings: Note: SFG20 48.05 covers 48-05 (part)
sanitary, waste water, plumbing
—— Polypropylene; muPVC 20
and drains
—— Plastic 30 Depends on the material type
—— Ductile iron 40
5.3.1.2.2 Discharge stacks and waste pipes 20/30/40 Depends on the material type 48-05 (part)
(see item 5.3.1.2.1)
5.3.1.2.3 Ventilating stacks and pipes 20/30/40 Depends on the material type 48-05 (part)
(see item 5.3.1.2.1)
5.3.1.1.4 Traps, access points, rodding eyes, collars, etc 20/30/40 Depends on the material type 48-05 (part)
(see item 5.3.1.2.1)
5.3.1.2.5 Prefabricated pipeline assemblies 20/30/40 Covered by items 1 to 4 above 48-05 (part)
5.3.1.2.6 Prefabricated floor channels and gratings 20/30/40 Depends on the material type 48-05 (part)
(see item 5.3.1.2.1)
5.3.2 Chemical, toxic and industrial liquid waste drainage

(CTI)
5.3.2.1 Drainage to appliance or equipment: Life will depend on waste
material discharged
5.3.2.1.1 Pipelines and fittings, including glass drainage: CTI 1
—— Glass 20 Depends on the corrosiveness
of fluid passed through the
pipelines
—— Polypropylene; muPVC 20
—— Plastic 30
—— Ductile iron 40
5.3.2.1.2 Traps, access points and rodding eyes 20/30/40 Depends on the material type CTI 2
(see item 5.3.2.1.1)
5.3.2.1.3 Gullies 20/30/40 Depends on the material type CTI 3
(see item 5.3.2.1.1)
5.3.2.1.5 Storage tanks and vessels 10 CTI 4
5.3.2.1.6 Settlement tanks 10 CTI 5
5.3.2.1.7 Effluent treatment plant 10 CTI 6
5.3.2.1.8 Dosing equipment 10 CTI 7
5.3.2.1.9 Sterilisation equipment 10 CTI 8
5.3.2.1.11 Thermal insulation 30 Consider fire and smoke rating CTI 9
5.3.2.1.13 Control components located externally 10 CTI 11
5.3.2.1.14 Monitoring equipment located externally 10 CTI 12
5.3.3 Refuse disposal (RD)

5.3.3.1 Refuse disposal installations:
5.3.3.1.1 Refuse input devices 25 Planned inspection only: risk PI-RD
assessed
5.3.3.1.2 Refuse chutes and ducts 50 Planned inspection only: risk PI-RD
assessed
5.3.3.1.3 Plant for compacting/macerating of refuse:
5.3.3.1.3.1 —— Bailing machines 25 RD 1
5.3.3.1.4 Refuse collection equipment, including bins and 25 Subject to damage during No PPM
continental bins excessive usage
5.3.3.1.5 Incineration plant and ancillaries: 20 Depends on thickness of metal
and corrosion protection
—— (including refuse and waste handling
equipment, afterburners, proprietary metal PPM depends on the type:
chimney and flues, and ash handling — gas incinerator 05-41
equipment) — waste incinerator 05-42
— wet scrubber 05-43
— fabric filter system 05-44
5.3.3.1.6 Paper shredders:
5.3.3.1.6.1 —— Commercial offices 15 RD 2
5.3.3.1.6.2 —— Industrial types 20 RD 2
5.4 Water installations (WI)
5.4.1 Mains water supply
5.4.1.1 Mains water supply:
5.4.1.1.1 Pipelines and pipeline fittings Depends on the material type.
—— Copper 45 40-01 and 02
—— Steel: galvanised 35
—— Plastic or non-metallic 20 Lead could be found, but it
is recommended that it is
replaced (not with lead)
5.4.1.1.3 Water meters: internal 20 Operational task to read 48-08 (part)
meters include in PPM task
5.4.1.1.4 Rising main to storage tanks 25 40-17
5.4.1.1.6 Trace heating 20 Pipework systems 40-03
5.4.1.1.7 Thermal insulation 30 To pipework systems (moulded 35-01
type)
Consider fire and smoke rating
5.4.2 Cold water distribution (CWD)
5.4.2.1 Cold water distribution: 31-01
5.4.2.1.1 Pipelines and fittings 45/35/20 See 5.4.1.1.1 40-01 and 02
5.4.2.1.6 Pressurisation expansion units 20 32-12
5.4.2.1.7 Pressure booster sets: Note: See 5.11.2.1.1 for 45-12
sprinkler systems and in
—— Mains cold water booster 15
5.11.1.1.1 for hose reel
booster pumps
5.4.2.1.9 Trace heating 20 Pipework systems 40-03
5.4.2.1.11 Thermal insulation 30 To pipework, vessels and tanks 35-01
(moulded or blanket type);
consider fire and smoke rating.
5.4.2.2 Storage tanks:
5.4.2.2.8 Cold water storage tanks and cisterns: 56-01 and 56-02
—— Cast iron 35 Depends on the material type
—— Steel: galvanised 15
—— Mild steel, treated 25 Not for domestic or drinking
water use
—— Plastic or non metallic 20 High-quality structural support
is needed
5.4.2.3 Rainwater harvesting systems:
5.4.2.3.12 Rainwater harvesting system (internal) including 30 From rainfall collection 40-01, 48-07 and 56-02
collection pipelines
See water treatment elsewhere
for ancillary items (e.g.
swimming pools)
5.4.2.3.13 Grey water collection pipe systems (internal), 30 Depends on the material type 40-01 and 56-02
Including collection pipelines
Grey water comes from baths
and showers, etc
5.4.3 Hot water distribution (HWD)

5.4.3.1 Hot water distribution: 31-01 and 32-01
5.4.3.1.1 Pipelines and fittings: See other items in 5.4.4.1.1
5.4.3.1.1.2 —— Unvented hot water systems 25 32-10
5.4.3.1.1.3 —— Vented hot water system 25 32-16

5.4.3.1.1.4 Hot water distribution pipelines: Depends on the material type
—— Copper 45 Consider tube thickness and 40-01 and 02
—— Steel galvanised (closed) 35 quality of copper
—— Steel galvanised (open) 25 Plastic relatively new unproven
life
—— Plastic or non metallic 15
5.4.3.1.6 Heat exchangers:
5.4.3.1.6.1 —— Heat exchangers: coils (shell and tube) 25 Depends on the type of heat 29-01
exchanger
5.4.3.1.6.2 —— Heat exchangers: plate (water to water) 15 29-07
5.4.3.1.7 Storage cylinders, calorifiers: Depends on the material type, 32-03 and 04, 05, 06
e.g. consider tube thickness and and 15
—— Copper 20
quality of copper
—— Steel, galvanised 15
5.4.3.1.7.2 —— Hot water supply calorifiers, including load 25 Depends on the material (as 32-07
levellers above)
5.4.3.1.7.3 —— Hot water cylinders (domestic type) 15 Depends on the material (as 32-09 and 32-11
above)
5.4.3.1.8 Trace heating 20 To pipework, vessels and tanks 40-03
5.4.3.1.9 Expansion vessels: Depends on type of system 32-12
(open/closed)
—— Open 10
—— Closed (with membrane) 15
—— Unvented HW 15
5.4.3.1.11 Insulated combination units 20 Combined unit with a cold HWD 1
water system and a hot water
tank in a single unit
5.4.3.1.12 Water softeners: treatment, etc: Included magnetic water
conditioners
5.4.3.1.12.1 —— Ion exchange plant: base exchange softener: 30 65-01 and 65-02
commercial
5.4.3.1.12.2 —— Ion exchange plant: base exchange softener: 20 Capacity usually below 50 l 65-03
domestic
5.4.3.1.12.3 —— Special water treatment systems 20 65-04
5.4.3.1.12.7 —— Chlorine dioxide dosing water injection 20 65-14 is a procedure for 65-13 and 65-14
sampling water
5.4.3.1.13 Instrumentation and control equipment to hot water
distribution systems:
5.4.3.1.13.1 —— Calorifier and heat exchange controls 20 32-08
(moulded and
blanket type); consider the fire
and smoke rating
5.4.4 Local hot water (LHW)
5.4.4.1 Water heaters: 31-01, 32-01 and 02

5.4.4.1.1 Instantaneous water heaters: (including shower See other items included in
heaters) and storage water heaters, including flue item 5.4.3.1
pipes and terminals:
5.4.4.1.1.1 —— Direct fired water heaters 15 Gas 32-13
5.4.4.1.1.2 —— Instantaneous electric water heaters 12 Non drinks type (depends on 32-14
use/water quality)
5.4.4.1.2 Wall or floor mounted, under sink multipoint and 12 Packaged electric water heaters 32-15
over sink units
5.4.5 Steam and condensate distribution (SCD)
5.4.5.1 Steam and condensate distribution:
5.4.5.1.1 Steam distribution pipelines: to and from services Depends on the type of 40-01 and 40-02
equipment, including fittings: material, and wall thickness and
40-11
water treatment
—— Mild steel 25
—— Steel, galvanised 35
5.4.5.1.3 ‘Steam-reduction’ stations 25/35 Depends on the material type 40-11 and 40-15
(see item 5.4.5.1.1)
5.4.5.1.4 Condensate receivers and storage tanks 12 Consider type of material, wall 40-12
thickness and water treatment;
flash steam vessel
5.4.5.1.8 Heat exchangers 15 29-07
5.4.5.1.9 Storage cylinders, calorifiers: 29-08 and 32-06
—— Copper 25 Heating calorifiers
—— Mild steel 20 Heated by steam
—— Steel, galvanised 35 Depends on the material type
(moulded and
blanket type); consider the fire
and smoke rating
5.5 Heat source (HS)

5.5.1 Heat source (HS)
5.5.1.1 Heat source: 05-01 and 05-02
5.5.1.1.1 Biomass fuel boiler plant and ancillary items 20 05-38
5.5.1.1.2 Gas/oil fired boiler plant and ancillary items, Pressurisation included in with
including burners, blow-down facilities and systems
pressurisation units:
5.5.1.1.2.1 —— Atmospheric gas burner: boiler, freestanding 20 Sequence controller included 05-03 and 07-01
boiler (domestic type) on supplementary
list after 5.13
5.5.1.1.2.2 —— Atmospheric gas burner: condensing boiler 20 05-04 and 07-01
(domestic type)
5.5.1.1.2.3 —— Blown gas burner: condensing boiler 15 05-10
5.5.1.1.2.4 —— Blown gas burner: modular boiler 15 05-11
5.5.1.1.2.5 —— Forced draught gas burner: condensing boiler 15 05-12
5.5.1.1.2.6 —— Forced draught (pressure jet), oil condensing 15 05-13
boiler
5.5.1.1.2.7 —— Gas fired boiler: MTHW up to 120 °C 20 Water treatment is very 05-14
important
5.5.1.1.2.8 —— Gas fired boiler: LTHW up to 95 °C 20 Water treatment is very 05-23
important
5.5.1.1.2.9 —— Atmospheric gas burner: small and/or wall 10 For domestic and light 05-28
hung commercial installations
5.5.1.1.2.10 —— Combination atmospheric burner: gas boiler 10 05-29
5.5.1.1.2.11 —— Atmospheric gas burner/condensing 20 05-30
combination boiler
5.5.1.1.2.12 —— Atmospheric gas burners 20 Included with atmospheric T/E (with boiler)
boilers: 5.5.1.1.2.
5.5.1.1.2.13 —— Blown gas burner 15 07-02
5.5.1.1.2.14 —— Forced draught gas burner 15 07-03
5.5.1.1.2.15 —— Forced draught (pressure jet) oil burner 15 07-05
5.5.1.1.2.16 —— Light oil vaporising pot burner 15 07-06
5.5.1.1.2.17 —— Gas/oil burners: dual fuel 15 07-07
5.5.1.1.2.17 —— Gas/oil burners: dual fuel 15 07-07

5.5.1.1.2.18 —— Steam boiler 25 Super heater 05-37

5.5.1.1.3 Coal-fired boiler plant and ancillary items, including
burners, blow-down facilities, coal distribution
equipment, ash handling and storage equipment, grit
arrestors and pressurisation plant 25 05-14
5.5.1.1.3.1 —— Coal-fired coal distribution equipment: 20 05-05
bunkers and conveyors
5.5.1.1.3.2 —— Coal-fired boilers: ash storage handling and 15 Including grit arrestors 05-06 and 05-09
feed mechanisms, automatic
5.5.1.1.3.3 —— Coal feed mechanisms: under feed stokers 15 05-07
5.5.1.1.3.4 —— Coal feed mechanisms: chain gate stokers 15 05-08
5.5.1.1.3.5 —— Storage silo: coal 30 Depends on the building life 56-08
5.5.1.1.4 Electric boiler plant and ancillaries, including Note: this is a steam generator
blow-down facilities and pressurisation plant type boiler
20 05-21
5.5.1.1.4.1 —— Electrode boilers 15 Water treatment is very 05-22
important
5.5.1.1.5 Packaged steam generators/ancillaries including blow Packaged steam generator 05-34
down facilities and pressurisation plant
25 Packaged steam generator: 05-35
electric
5.5.1.1.6 Waste and wood pellet boiler plant and ancillaries:
5.5.1.1.6.1 —— Waste and wood burning appliances: fire 12 05-25
safety circuits
5.5.1.1.6.2 —— Waste and wood burning appliances: 10 05-26
combustion chamber
5.5.1.1.6.3 —— Waste and wood burning appliances: boiler 15–20 05-27
5.5.1.1.6.4 —— Storage silo: woodchip/pellets 30 Depends on building life 56-07
5.5.1.1.7 Central (combined) heat and power (CHP) boiler 15 Other power generation 43-07
plant included in NRM5.8
5.5.1.1.9 Ground source heating (GSH) including boreholes 05-31
and all ancillary components (including closed and
20 05-32
open loop systems)
05-33
5.5.1.1.11 Step down/non-storage calorifiers: connected to 25 Note: taken see item 5.4.3.1 T/E (see 5.4.3.1)
external heat source
5.5.1.1.12 Building-mounted solar thermal panels 25 53-01
5.5.1.1.13 Other heat sources: Others in item 5.6.1.8: i.e. fan T/E (fans/ancillaries)
heaters
—— Air source heating 15 See heat pumps in
supplementary lists
5.5.1.1.14 Water tanks (i.e. header tanks), including cold water 35 Water treatment is very 56-02
distribution to heat source important
5.5.1.1.14.1 —— Water treatment equipment 15 Steam heat source requires 65-01, 65-05, 65-06
plant attendant and and 65-10
—— Water treatment control and measurement 10
is an operation task
equipment
5.5.1.1.15 Vibration isolation or expansion bellows 10 Relevant to rubber type No PPM
5.5.1.1.17 Forced draught fans (part of the burner) 15 Taken with boilers: see 5.5.1.1.2 T/E (with boiler)
5.5.1.1.19 Chimneys and flues Depends on the material type
5.5.1.1.19.1 —— Flues outside 40 Depends the thickness of metal 24-01
—— Flues inside (brick or concrete) 50
—— Flues inside (mild steel) 15 Check quality of s/steel
—— Flues inside (stainless steel) 30

5.6 Space heating and air conditioning
5.6.1 Central heating (CH)
5.6.1.1 Central heating systems:
5.6.1.1.1 Central heating system (covered by items 2–14): Including everything within the
plant room specifically relating
to the heating system
5.6.1.1.2 Heat distribution pipelines from heat source to heat 40-01
emitter or other equipment:
—— Pipework systems: general Depends on the material type.
—— Copper 45 Consider tube thickness and
quality of copper
—— Steel galvanised: closed 35 Including mountings and
supports
—— Steel galvanised: open 25
—— Plastic 20
5.6.1.1.3 Heat emission units, such as: SFG20 has a composite task for
heat emitters
Gas fired radiant heaters
included in 5.6.2.1.1.1
and 5.6.2.1.1.2
5.6.1.1.3 Heat emitters: unit heaters: 28-01
5.6.1.1.3.1 —— Steam and hot water 15 Gas and electric are standalone
assets
5.6.1.1.3.2 —— Heat emitters: fan convectors 15 28-01 (part)
5.6.1.1.3.3 —— Heat emitters: natural convectors and 20 28-01 (part)
perimeter (skirting) heating
5.6.1.1.3.4 Radiant strip heater systems: 28-01 (part)
—— Steam and hot water 20
—— Electric 10
5.6.1.1.3.5 —— Radiant panel systems Depends on the material type 28-01
5.6.1.1.3.6 —— Radiators: aluminium 20 Water condition/materials in 28-01
system, important
5.6.1.1.3.7 —— Radiators: cast iron 25 28-01
5.6.1.1.3.8 —— Radiators: steel 20 Water condition is important 28-01
5.6.1.1.4 In screed embedded pipelines, i.e.: Under-floor heating: including
vehicle access ramps
—— Under-floor heating 30
—— Plastic pipes 25 Suggest a long-term bonded
warranty is obtained
Consider quality of plastic pipe
5.6.1.1.5 Heated ceiling panels 20 28-01
5.6.1.1.6 Warm air heating 20 28-01
5.6.1.1.7 Convection systems 20 28-01
5.6.1.1.8 Fan-assisted convection systems including under- 10 Gas-fired natural and fan- 28-01 or
floor systems assisted heaters: (conventional
28-04
and balanced flue)
5.6.1.1.9 Cable heating systems 20 Under-floor heating 63-01 (part)
5.6.1.1.10 Plenum air heating system 35 17-01
5.6.1.1.11 Off-peak heating system:
—— Storage heaters (electric) 10 28-01
5.6.1.1.13 Heated towel rails 20 Where integral part of heating 28-01
system
5.6.1.1.17 Grilles, and other ancillary components 10 See supplementary list of fans 26-01
5.6.1.1.17.1 —— Louvres, bird and insect screens 10 26-02
5.6.1.1.18 Plate recuperator 20 29-03
5.6.1.1.19 Thermal wheel: rotary heat (recuperator) 15 29-04
5.6.1.1.20 Duct heater battery: electric 10 29-02
5.6.1.1.21 Cables 35 Part of fixed wire testing and T/E (5.8.2.1.14.2)
inspection
5.6.1.1.23 Thermal insulation: moulded and blanket 30 To central heating system and 35-01
pipework
Consider the fire and smoke
rating
5.6.2 Local heating (LH)

5.6.2.1 Heaters:
5.6.2.1.1 Room heaters or fires:
5.6.2.1.1.1 —— Oil-fired space heaters 15 05-46
5.6.2.1.1.2 —— Overhead door heaters 15 28-01
5.6.2.1.1.3 —— Gas-fired ceramic plaque heaters 10 Infra red 28-02
5.6.2.1.1.4 —— Gas radiant tube heaters 10 28-03 and 28-07
5.6.2.1.1.5 —— Electric/air heaters (on peak) 8 29-02
5.6.2.1.1.6 —— Gas fire 8 28-05
5.6.2.1.1.7 —— Gas-fired unit heater 15 28-06
5.6.2.1.2 Chimneys and flues, proprietary types: Where not part of the building 24-01
structure
—— Steel 30
—— Other (i.e. fabric elements) 60
5.6.3 Central cooling (CC)

5.6.3.1 Central cooling systems:
5.6.3.1.1 Chilled beams 20 Flexible water pipework 59-08
connections: indicative life of 5
years (depends on type)
5.6.3.1.2 Fan coil systems, for cooling only 15 59-05 and 06
5.6.3.1.3 Air-based systems: variable air volume (VAV) for 15 59-01, 59-02 and 59-03
cooling only
5.6.3.1.4 Variable refrigerant volume (VRV) systems 15 Taken elsewhere with central air
conditioning 5.6.7.1.2.1, as
unlikely to be applicable for
cooling only
5.6.3.1.5 Chillers and packaged chillers: Medium to large 09-01
5.6.3.1.5.1 —— Packaged chillers units: air or water cooled 20 09-02
5.6.3.1.5.2 —— Packaged chillers units: absorption 20 Lithium bromide 09-03
5.6.3.1.5.3 —— Gas fired absorption chillers 25 09-04
5.6.3.1.5.4 —— Condensers: water cooled 20 13-01
5.6.3.1.5.5 —— Condensers: air cooled 20 13-02
5.6.3.1.5.6 —— Dry coolers 20 30-01 and 30-03
5.6.3.1.5.7 —— Evaporator 20 19-01 (part)
5.6.3.1.5.8 —— Solar thermal absorption chillers 25 32-17
5.6.3.1.6 Central refrigeration plant 20 Taken as chillers (item 5.6.3.1.5
above) or VRV systems
(item 5.6.3.1.4 above)
5.6.3.1.7 Cooling towers: Introductory procedures 30-01
5.6.3.1.7.1 —— Ceramic 35 30-02
5.6.3.1.7.2 —— Epoxy treated metal 15 30-02
5.6.3.1.7.3 —— Galvanised metal 12 Consider thickness and quality 30-02
of galvanising
5.6.3.1.7.4 —— Plastic coated metal 25 Consider thickness, bonding 30-02
and quality of plastic coating
5.6.3.1.7.5 —— Plastic construction 20 Consider thickness and quality 30-02
of plastic
5.6.3.1.7.6 —— Stainless steel 30 Consider quality and thickness
of stainless steel
5.6.3.1.7.7 —— Timber construction 10 Quality of timber preservation 30-02
can extend life
5.6.3.1.7.8 —— Free cooling adiabatic cooler system 20 30-04, and 65-11 and
65-12
5.6.3.1.8 Distribution pipelines and fittings 45/35/25/20 See item 5.6.1.1.2, depends on 40-01 and 40-02
the material type
5.6.3.1.8.1 —— Chilled water: condensers water pipe systems Depends on the material type 40-01 and 02
(see item 5.6.3.1.8)
5.6.3.1.8.2 —— Condenser: chilled water circulating pipes Depends on the material type 40-01 and 02
(see item 5.6.3.1.8)
5.6.3.1.8.4 —— Air compressors and receivers 20 40-08 and
5.6.3.1.8.5 —— Air compressors: air dryers 12 40-09
5.6.3.1.8.6 —— Refrigerant distribution systems 30 46-01
5.6.3.1.9 Cold and treated water feeds 20 Pipework systems 40-01
5.6.3.1.12.1 —— Evaporator 20 19-01 (part)
5.6.3.1.13 Grilles, filters and other ancillary components 10 See supplementary list of fans 26-01
5.6.3.1.13.1 —— Louvres, bird and insect screens etc 10 26-02
5.6.3.1.14 Air handling equipment: 03-01
5.6.3.1.14.1 —— External located 15 Consider type of fixing and

risk of mechanical damage
5.6.3.1.14.2 —— Internal located 20
5.6.3.1.15 Emissions units See 5.6.5.1.11 Including fan coil units, T/E (with FCU item)
chilled beams
5.6.3.1.17 Thermal insulation 30 To pipework, ductwork 35-01
(consider the fire and smoke
rating)
5.6.4 Local cooling (LC)

5.6.4.1 Cooling units:
5.6.4.1.1 Local cooling units: Including remote condensers 02-01
5.6.4.1.1.1 —— Heat pump: air to water (rev. cycle chillers, 15 05-31
e.g. air source heat pump)
5.6.4.1.1.2 —— Heat pump: water to water (rev. cycle chillers, 15 05-32
e.g. water source heat pump)
5.6.4.1.1.3 —— Pump: brine to water (rev. cycle chillers, e.g. 15 05-33
brine source heat pump)
5.6.4.1.2 Distribution pipelines and fittings 45/35/25/20 See 5.6.1.1.2, depends on the 40-01, 40-02 and 46-01
material type
5.6.4.1.5 Grilles, fans, filters and other ancillary components 10 See supplementary list of fans 26-01
5.6.4.1.5.1 —— Louvres, bird and insect screens, etc 10 26-02

5.6.4.1.7 Thermal insulation 30 35-01
5.6.5 Central heating and cooling (CHC)

5.6.5.1 Combined central heating and cooling systems:
5.6.5.1.1 Fan coil systems for heating and cooling 20 See 5.6.3.1.2 59-06
5.6.5.1.2 Air based systems: VAV for heating and cooling 15 See 5.6.3.1.3 59-01, 02 and 03
5.6.5.1.4 Chillers See 5.6.3.1.5 T/E (5.6.3.1.5)
5.6.5.1.5 Distribution pipelines and fittings 45/35/25/20 See 5.6.1.1.2, depends on the 40-01, 40-02 and 46-01
material type
5.6.5.1.10 Air handling unit (AHU) See 5.6.3.1.14 T/E (LCH)
5.6.5.1.11 Emission equipment: including fan coil units, etc:
Terminal units/emitters, etc 15 See item 5.6.7.1.9 59-06
5.6.5.1.14 Thermal insulation 30 See 5.6.3.1.17 35-01
5.6.6 Local heating and cooling (LHC)

5.6.6.1 Local heating and cooling units:
5.6.6.1.1 Local heating and cooling units: 54-01
5.6.6.1.1.1 —— DX split systems: with gas, electric or hot 15 54-02
water heaters
5.6.6.1.1.2 —— Split systems/heat pumps: air cooled with 15 See 5.6.3.1.3 54-03
direct expansion evaporator
5.6.6.1.2 Distribution pipelines and fittings, etc 45/35/25/20 Depends on the material types 40-01, 40-02 and 46-01
5.6.6.1.6 Grilles, filters and other ancillary components 10 See also supplementary list of 26-01
fans
5.6.7 Central air conditioning (CAC)

5.6.7.1 Central air conditioning systems: See below
5.6.7.1.1 Plenum air heating systems Building life Cleaning duct only 17-01
5.6.7.1.2 VAV and constant air volume conditioning system 15 See 5.6.3.1.3 59-01, 02 and 03
5.6.7.1.2.1 —— VRV systems: terminal units (from 5.6.3.1.4) 15 Introductory procedures 59-07
included
5.6.7.1.7 Chillers See 5.6.3.1.5 T/E (5.6.3.1.5)
5.6.7.1.8 Air handling units (AHUs):
5.6.7.1.8.1 —— AHUs 15 or 20 See 5.6.3.1.14, state if external 03-01
or internal located
5.6.7.1.9 Terminal units/emitters:
5.6.7.1.9.1 —— Terminal unit: VAV self powered 15 59-01
5.6.7.1.9.2 —— Terminal units: VAV fan powered 15 59-02
5.6.7.1.9.3 —— Terminal units: pneumatic types 15 59-03
5.6.7.1.9.4 —— Terminal units: constant volume 20 Including mixing 59-04
5.6.7.1.9.5 —— Terminal units: induction units 20 59-05
5.6.7.1.9.6 —— Terminal units: fan coil 20 59-06
5.6.7.1.9.7 —— Terminal units: VRV systems 15 59-07
5.6.7.1.10 Distribution pipelines and fittings 45/35/25/20 See 5.6.1.1.2 Depends on the 40-01, 40-02 and 46-01
material type
5.6.7.1.14.1 —— Louvres, bird and insect screens etc 10 26-02
5.6.8 Local air conditioning (LAC)

5.6.8.1 Self-contained air-conditioning units:
5.6.8.1.1 Self-contained air-conditioning units, providing Including units with remote
conditioned air to rooms or areas: condensers
5.6.8.1.1.1 —— Room air conditioners 15 47-01

5.6.8.1.1.2 —— Split systems heat pumps: air cooled with
direct expansion evaporator (DX), with gas,
15 54-03
hot water or electric heaters
5.6.8.1.2 Separate clean room or other local air-conditioning 20 E.g. terminal re-heat and 47-01
systems requiring air management terminal heat pump air
conditioning systems: including
computer room
5.6.8.1.3 Distribution pipelines and fittings 45/35/25/20 See 5.6.1.1.2, depends on the 40-01, 02, 03 and
material type 46-01
5.6.8.1.7 Grilles, fans, filters and other ancillary components 10 See supplementary list of fans
5.7 Ventilation systems (VS)

5.7.1 Central ventilation (CV)
5.7.1.1 Central ventilation systems:
5.7.1.1.1 Air extract systems: Included in items 5.7.1.1.3 to T/E (items 3 to 11)
5.7.1.1.11
5.7.1.1.2 Air supply and extract systems 20 20-02 and 20-08
5.7.1.1.3 Extract units/terminal units 40 20-02
5.7.1.1.4 Fan units 15 See supplementary fans list T/E (fans)
5.7.1.1.6 Grilles, fans, filters and other ancillary components 10 See also supplementary list of 26-01
fans
5.7.1.1.7 Distribution pipelines and fittings 45/35/25/20 See 5.6.1.1.2, depends on the 40-01 and 40-02
material type
5.7.1.1.12 Sundry items: thermal insulation 30 New item not in NRM1 35-01
5.7.2 Local and special ventilation (LSV)

5.7.2.3 Safety cabinet and fume cupboard extracts:
5.7.2.3.3 Safety cabinets and fume cupboards extract 15 LSV 1
5.7.2.4 Fume extracts:
5.7.2.4.4 Fume extracts (hoods, canopies, valances) 25 64-01 and 17-01
5.7.2.4.1 —— Motor-driven exhaust hose reel 15 Typically in a garage workshop 64-02
5.7.2.4.2 —— Spring recoil hose reel 15 64-03
5.7.2.4.4 —— Vehicle exhaust rail systems 20 64-06
5.7.2.5 Dust collection units:
5.7.2.5.5 Dust collection unit: Fixed dust collection
equipment
5.7.2.5.5.1 —— Wood dust extraction unit 15 64-07
5.7.2.6 Anaesthetic gas extracts:
5.7.2.6.6 Anaesthetic gas extracts 15 I.e. scavenging systems for LSV 2
removal of anaesthetic gases
5.7.2.7 Cyclone systems:
5.7.2.7.7 Cyclone systems 15 64-05
5.7.2.9 Rotating ventilators:
5.7.2.9.9 Rotating ventilators 15 Includes propeller fans T/E (fans)
5.7.2.10 Roof-mounted ventilation:
5.7.2.10.10 Roof-mounted ventilation units (general fans, local 30 T/E (fans)
ventilation, roof mounted unit)
5.7.2.11 Car-parking ventilation:
5.7.2.11.11 Car-parking ventilation:
5.7.2.11.11.1 —— Car park ducted fan extract 30 T/E (fans)
5.7.2.11.16 Sundry items 30 35-01
—— Thermal insulation
5.7.3 Smoke extract/control (SEC)
5.7.3.1 Smoke extract/control systems: Including fire cladding
5.7.3.1.1 Automatic smoke extract systems 52-01 and 20-08
5.7.3.1.1.1 —— Smoke relief and/or natural fire ventilators 30 52-02
5.7.3.1.1.2 —— Smoke relief: powered ventilators 30 52-03
5.7.3.1.2 Automatic smoke compartmentalisation systems 20 Smoke curtains 52-04
5.7.3.1.5 Grilles, fans, filters and other ancillary components 10 See supplementary list of fans 26-01
5.8 Electrical installations (EI)

5.8.1 Electrical mains and sub-mains distribution
5.8.1.1 Electrical mains and sub-mains low-voltage (LV) 18-01 and 44-01
distribution:
5.8.1.1.1 Distribution of LV electricity from main switchgear 44-08
to the area distribution boards:
5.8.1.1.1.1 —— Main switch panel at supply intake 20 44-02
5.8.1.1.1.2 —— Maximum demand and power factor 20 44-03
correction
5.8.1.1.1.3 —— Power distribution unit (PDU) 20 44-05
5.8.1.1.2 HV switchgear 70-01
5.8.1.1.2.1 —— HV packaged substations 30 70-02
5.8.1.1.2.2 —— Oil switchgear including oil circuit breakers 30 70-03
and oil switches
5.8.1.1.2.3 —— Non-oil switchgear 30 70-04
5.8.1.1.2.4 —— Vacuum indoor switchgear 30 70-05
5.8.1.1.2.5 —— Ring main unit 20 70-08
5.8.1.1.2.6 —— Main switchgear panel: HV supply main 30 External and internal 70-09
incomer and panel
5.8.1.1.3 LV switch gear and distribution boards:
5.8.1.1.3.1 —— LV switch gear and distribution boards 20 44-07
5.8.1.1.4 HV and LV cables and wiring, etc: Depends on material type 44-04 and 44-08
—— Mineral insulated 35
—— Thermoplastic 30
—— Thermosetting 35
5.8.1.1.5 Conduits and cable trunking plus supports, etc 30 to 35 Depends on material type, as 44-04
item 5.8.1.1.5
5.8.1.1.6 Busbar trunking 35 EI 1
5.8.1.1.8.1 Transformers 30 Dry type (cast resin) type or 70-06
oil filled type transformer
70-07
5.8.1.1.9 Fuse pillars, base units, poles and accessories, etc 30 T/E with item 2, 3
and 4
5.8.1.1.10 Sundry items:
5.8.1.1.10.1 —— Hazardous area (electrics): flame-proof 20 27-01 and 27-02
equipment
5.8.1.1.10.2 —— Hazardous area (electrics): lighting 15 27-01, 27-03
5.8.2 Power installations (PI)

5.8.2.1 Power installations: 44-01 and 44-09
5.8.2.1.1 General LV power installations 25 44-08
5.8.2.1.2 Extra LV supply installations 25 44-08
5.8.2.1.3 Direct current (DC) installations 25 Specialist installation in T/E (5.13.4.1.7)
5.13.4.1.7
5.8.2.1.4 LV switchgear and distribution boards 20 Distribution boards: 20 years 44-07
30 LV main switchgear: 30 years 44-02
5.8.2.1.5 Uninterruptible power supplies (UPS) 20 43-05
5.8.2.1.5.1 —— UPS: batteries 5 43-04
5.8.2.1.5.2 —— UPS: capacitors 5 43-05
5.8.2.1.5.3 —— Diesel rotary uninterruptible power supplies 20
(DRUPS) system
5.8.2.1.6 Cables and wiring including support, etc:
5.8.2.1.6.1 —— Armoured cables 35 44-04 and 44-08
5.8.2.1.7 Conduits and cable trunking, etc 30 44-04
5.8.2.1.9 Socket outlets, fuse connection units, etc 15 44-08
5.8.2.1.9.1 —— Other outlet accessories (e.g. RCDs) 15 44-08 and 44-09
5.8.3 Lighting installations

5.8.3.1 Lighting installations:
5.8.3.1.1 General lighting: 36-01
5.8.3.1.1.1 —— Light fittings: internal 20 Lamp life depends on usage (to 36-03
define)
5.8.3.1.1.2 —— Light fittings: external (including 15 Lamp life depends on usage (to 36-04
illuminated signs) define)
5.8.3.1.2 Emergency lighting
5.8.3.1.2.1 —— Emergency lighting: self-contained 25 37-01
5.8.3.1.2.2 —— Emergency lighting: externally powered 25 37-02
5.8.3.1.3 Lighting fixed to the exterior of the building 15 36-04
5.8.3.1.4 Low voltage LV switchgear and distribution boards 30 Where not included as part of 44-07
sub mains distribution
5.8.3.1.5 Cables and wiring: including supports, etc 20 Subject to environment 44-04
5.8.3.1.6 Conduits and cable trunking, etc 30 44-04
5.8.3.1.7 Earthing and bonding components 30 Major install 30 years; domestic T/E (5.8.6.1)
25 years
5.8.3.1.8 Fittings to lighting points, etc 10 Including roses, pendants, etc 36-03
5.8.3.1.9 Lighting switches: internal and external 10 36-02
5.8.3.1.11 Lighting control equipment:
5.8.3.1.11.1 —— Controller timers 10 14-08 and 36-02
5.8.3.1.11.2 —— Occupancy and light sensors 10 Life assumed to be the same as 50-09 and 36-02
above
5.8.4 Specialist lighting installations (SLI)

5.8.4.1 Specialist lighting installations:
5.8.4.1.1 Illuminated display signs, lettering, emblems and 20 36-04
symbols, etc
5.8.4.1.2 Studio lighting 20 SLI 1
5.8.4.1.3 Auditorium lighting, theatre lighting, stage lighting, 20 SLI 2
etc
5.8.4.1.4 Arena lighting 15 SLI 3
5.8.4.1.5 Operating theatres and other specialist light:
5.8.4.1.5.1 —— Operating theatres 20 SLI 4
5.8.4.1.5.2 —— Infra red 20 SLI 5
5.8.4.1.5.3 —— Other specialist lighting installations 20 SLI 6
5.8.4.1.7 Cables and wiring and supports, etc 25–30 See 5.8.3.1.5 44-04
5.8.4.1.8 Conduits and cable trunking, etc 25–30 See 5.8.3.1.6 44-04
5.8.4.1.9 Earthing and bonding 25–30 See 5.8.3.1.7 T/E (5.8.6.1)
5.8.4.1.10 Fittings to lighting points 10 See 5.8.3.1.8 36-03
5.8.4.1.11 Switches, including pull cords, etc 10 See 5.8.3.1.9 36-02
5.8.4.1.13 Lighting gantries, etc 30 SLI 7
5.8.5 Local electricity generation systems (LEGS)
5.8.5.1 Local generation equipment/electrical systems:
5.8.5.1.1 Emergency/standby generator plant: 43-01
5.8.5.1.1.1 —— Generator: portable 10 43-02
5.8.5.1.1.2 —— Standby power generation equipment 30 43-02
5.8.5.1.1.3 —— Batteries: lead acid, unsealed 20 43-03
5.8.5.1.1.4 —— Batteries: valve regulated, sealed 5 43-03
5.8.5.1.1.5 —— Battery charging equipment 20 43-04
5.8.5.1.2 Ancillary cables, wiring and conduits, etc 15–20 See 5.8.3.1.5 (sensors in 44-04
supplementary list)
5.8.5.4 Transformation devices:
5.8.5.4.1 Wind turbines 20 Including rooftop wind energy WIN 1
systems
5.8.5.5 Photovoltaic devices:
5.8.5.5.1 hotovoltaic devices, including cells, panels,
P 25 43-06
modules, etc
5.8.5.5.3 Solar collectors, devices, etc 25 53-01
5.8.5.6 Other transformation devices: Depends on fuel source and Excluded
type
5.8.5.6.4 Generators:
—— Gas fired 15
—— Diesel powered (frequent use/standby) 15/25
—— Oil/gas/bio-fuel 25
—— Steam 30
5.8.5.6.6 Ancillary cables, wiring and conduits etc 15 to 20 See 5.8.3.1.5 (sensors in 44-04
supplementary list)
5.8.6 Earthing and bonding systems (EBS)
5.8.6.1 Earthing and bonding systems:
5.8.6.1.1 Earthing and bonding cables 30 44-06
5.8.6.1.2 Earthing and bonding components 30 44-06
5.8.6.1.3 Sundry items:
5.8.6.1.3.1 —— Hazardous area (electrics): earthing 30 27-04
5.9 Fuel installations (FI)

5.9.1 Fuel storage (FS)
5.9.1.1 Fuel storage:
5.9.1.1.1 Gas, oil, petrol, diesel and liquefied petroleum gas Note: external fuel storage is Taken in item 2 below
(LPG) systems: 30 years above ground and
below ground
—— Biomass 30
—— Oil 30 LPG is above ground only
—— Petrol 30 Increased life can be achieved

through internal installation.
—— Diesel 30
—— lpg 30
5.9.1.1.2 Storage tanks and vessels:
5.9.1.1.2.1 —— Oil storage tank (inside building) 30 Depends on thickness of metal 56-05
5.9.1.1.2.2 —— Oil storage tanks (underground) 15 56-06
5.9.1.1.2.3 —— lpg storage tank 30 56-04
5.9.1.1.2.4 —— Petrol storage systems 30 FI 1
5.9.1.1.2.5 —— Diesel storage systems 30 56-05 and 06
5.9.1.1.2.6 —— Oil fuel handling plant 15 56-05 (part)
5.9.1.1.2.7 —— Biomass storage silo 30 T/E (5.5.1.1.6.3)
5.9.1.1.2.8 —— Coal storage silo 30 T/E (5.5.1.1.3.4)
5.9.2 Fuel distribution systems (FDS)
5.9.2.1 Piped distribution systems:
5.9.2.1.2.1 —— Gas/oil pipelines 50 Pipework for low pressure 40-10
natural gas, liquefied petroleum
(LPG)
5.9.2.1.2.4 —— Oil distribution system for boiler plant 40 56-05 (part)
5.9.2.1.3 Pipelines and ancillaries 15
5.9.2.1.3.1 —— Fuel distribution pipelines 50 56-05 (part)
5.9.2.1.3.2 —— Pump: diesel driven 20 T/E (pumps)
5.9.2.1.3.3 —— Rotary hand pump 20 T/E (pumps)
5.9.2.1.5 Manifolds, local meters, etc:
5.9.2.1.5.1 —— Meters: utilities 20 No PPM
5.9.2.1.5.2 —— Meters: gas 20 No PPM
5.9.2.1.5.3 —— Meter: oil tanks 20 No PPM
5.9.2.1.5.4 —— Gas booster set 20 05-39
5.9.2.1.5.5 —— Gas booster pump 20 05-39
5.9.2.1.5.6 —— Gas connection outlets 30 No PPM
5.9.2.1.5.7 —— Gas governors 30 05-40
5.9.2.1.6 Terminal control equipment 10 E.g. forecourt petrol pump Excluded
equipment
5.9.2.1.9 Monitoring equipment 10 Excluded
5.10 Lift and conveyor installations (LCI)

5.10.1 Lifts and enclosed hoists (L&EH)
5.10.1.1 Passenger lifts:
5.10.1.1.1 Complete lift installations: L&EH 1
5.10.1.1.1.1 —— Lifts: electric traction 20 Depends on usage/damage L&EH 1
5.10.1.1.1.2 —— Lifts: electric traction (packaged) 15 L&EH 1
5.10.1.1.1.3 —— Lifts: hydraulic 15 L&EH 1
5.10.1.2 Wall-climbing lifts:
5.10.1.2.2 Fire-fighting lifts 20 L&EH 2
5.10.1.2.3 Wall-climbing lifts 20 L&EH 3
5.10.1.3 Goods lifts:
5.10.1.3.1 Complete lift installations 20 High loading and high L&EH 1, 2, 3, 4, 5,
intensity of use can reduce this 6, 7 and 8
life expectancy
Lift components:
5.10.1.1.4 Gantries, trolleys, blocks, etc 30 L&EH 4
5.10.1.1.5 Lift controls 20 L&EH 5
5.10.1.6 Enclosed hoists:
5.10.1.6.1 Hoists, kitchen service hoists, dumb waiter 20 L&EH 6
5.10.1.6.2 Complete hoists installation 20 L&EH 7
5.10.1.6.3 Controls and electrical works (for hoists) 20 See supplementary controls list L&EH 8
5.10.2 Escalators (E)

5.10.2.1 Escalators:
5.10.2.1.1 Escalators 30 Depends on volume of usage E1
and type/model, e,g. office,
retail, airports, etc
5.10.2.1.2 Ancillary components: E2
5.10.2.1.2.1 —— Under-step lighting 20 E2
5.10.2.1.2.2 —— Under-handrail lighting 20 E2
5.10.2.1.2.3 —— Balustrades 20 E2
5.10.2.1.2.4 —— Cladding (to sides and soffits) 20 E2
5.10.2.1.2.5 —— Chairs 20 E2
5.10.2.1.3 Controls and electrical works for escalators 20 See supplementary controls list E 3
5.10.3 Moving pavements (MP)
5.10.3.1 Moving pavements:
5.10.3.1.1 Moving pavements Depends on usage and MP 1
function, e,g.:
25 Airport terminal, bus and rail
station
25 High density mass transit
situations
5.10.3.1.2 Travelators 20 Depends on usage and function MP 2
5.10.3.1.3 Stair lifts 20 MP 3
5.10.3.1.4 Controls and electrical works to pavements 20 See supplementary controls list MP 4
5.10.4 Powered stair lifts (PSL)

5.10.4.1 Powered stair lifts:
5.10.4.1.1 Complete stair lift installation 25 PSL 1
5.10.5 Conveyors (C)

5.10.5.1 People conveyors:
5.10.5.1.1 Complete conveyor systems 20 C 1
5.10.5.1.2 Specialist systems (e.g. baggage handling systems, 20 C2
etc)
5.10.5.1.3 Controls and electrical works to conveyors 20 See supplementary controls list C 3
5.10.5.2 Goods conveyor

5.10.5.2.1 Complete conveyor systems 20 C 1
5.10.5.2.2 Specialist systems (e.g. baggage handling systems, 20 C2
etc)
5.10.5.2.3 Controls and electrical works to conveyors 20 See supplementary controls list C 3
5.10.6 Dock levellers and scissor lifts (DLSL)

5.10.6.1 Dock levellers:
5.10.6.1.1 Dock leveller 25 DLSL 1
5.10.6.2 Scissor lifts:
5.10.6.2.2 Scissor lift 25 DLSL 2
5.10.6.1.3 Controls and electrical works to dock levellers 20 See supplementary controls list DLSL 3
5.10.7 Cranes and unenclosed hoists (C&UH)

5.10.7.1 Cranes:
5.10.7.1.1 Cranes 30 C&UH 1
5.10.7.1.4 Control components 20 See supplementary controls list C&UH 4
5.10.7.2 Travelling cranes:
5.10.7.2.2 Travelling cranes 30 C&UH 2
5.10.7.3 Unenclosed hoists:
5.10.7.3.3 Unenclosed hoists and other lifting systems 30 C&UH 3
5.10.8 Car lifts, car stacking systems, turntables, etc (CLSCT)

5.10.8.1 Car lifts:
5.10.8.1.1 Car lifts and car stacking systems:
5.10.8.1.1 —— Car lifts 20 CSST 1

5.10.8.2.1 —— Car stacking systems 20 CSST 2
5.10.8.3 Vehicle turntables:
5.10.8.3.2 Vehicle turntables 20 Major refurbishment CSST 3
5.10.8.1.3 Controls and electrical works to car lifts, etc 20 See supplementary controls list CSST 4
5.10.9 Document handling systems (DHS)

5.10.9.1 Document handling/delivery systems:
5.10.9.1.1 Document handling/warehouse picking systems, etc 20 DHS 1
5.10.9.2 Warehouse picking systems:
5.10.9.2.1 Warehouse picking systems 20 DHS 2
5.10.9.1.2 Controls components 20 DHS 3
5.10.10 Other transport systems (OTS)

5.10.10.1 Other lift and conveyor installations:
5.10.10.1.1 Paternoster lifts 20 See passenger lift installations OTS 1
in 5.10.1.1
5.10.10.1.2 Hoists for moving people with disabilities 20 OTS 2
5.10.10.1.3 Other transport systems 20 Specification to be defined OTS 3
5.10.10.1.4 Control components 20 See supplementary controls list OTS 4
5.11 Fire and lightning protection (F&LP)

5.11.1 Fire-fighting systems (FFS)
5.11.1.1 Fire hose reels:
5.11.1.1.1 Fire hose reel including hose reel and pressure 23-01
booster sets:
5.11.1.1.1.1 Hose reel: pressure boost sets 20 See pumps list 23-02
5.11.1.1.1.2 Hose reel: static or swinging 15 23-03
5.11.1.2 Dry riser:
5.11.1.2.2 Dry risers systems, including:
5.11.1.2.2.1 Rising fire mains and hydrants: dry 25 23-04
5.11.1.2.2.2 Landing valves, outlets, etc 20 23-04
5.11.1.3 Wet riser:
5.11.1.3.3 Wet risers systems, including:
5.11.1.3.3.1 Rising fire mains and hydrants: wet 20 23-04 (part)
5.11.1.3.3.2 Landing valves, outlets, etc 20 23-04
5.11.1.4 Fire and smoke protection curtains:
5.11.1.4.7 Fire and smoke protection curtains 15 Drop down curtains, including 52-04
control panels
5.11.1.5 Other fire-fighting systems/components:
5.11.1.5.4 Distribution pipelines and ancillaries 20 23-14 and 40-01
5.11.2 Fire-suppression systems (FSS)

5.11.2.1 Sprinklers:
5.11.2.1.1 Sprinkler systems: Including reaction and control 40-01
devices and sprinkler heads
5.11.2.1.1.1 —— Sprinkler system: main pumps set 20 Consider corrosion 23-14 (part)
5.11.2.1.1.2 —— Sprinkler system: pipework and heads 30 Consider corrosion 23-14 (part)
5.11.2.1.1.3 —— Sprinkler system: wet/dry changeover valve 25 (wet) Consider corrosion 23-14 (part)
set
20 (dry)
5.11.2.1.1.4 —— Kitchen hood fire suppression 20 23-16
5.11.2.2 Deluge system:
5.11.2.2.2 Deluge systems 20 23-14
5.11.2.3 Gas fire-fighting system:
5.11.2.3.3 Gas fire-fighting systems:
5.11.2.3.3.1 —— Gas extinguishing systems 15 23-05
5.11.2.3.3.2 —— CO2 total flooding fire-extinguishing system 15 23-06
5.11.2.4 Foam fire-fighting system:
5.11.2.4.4 Foam fire-fighting systems: 23-07
—— Expansion foam systems 15
5.11.2.5 Other fire-suppression systems/components
5.11.2.5.5 Distribution pipelines and fittings, etc 20 40-01 and 40-02
5.11.2.5.6 Water tanks and cisterns for fire-fighting 25 56-02
installations
(moulded and
blanket type), consider the fire
and smoke rating
5.11.2.5.8 Control components 10 See supplementary controls list T/E
5.11.3 Lightning protection

5.11.3.1 Lightning protection installations:
5.11.3.1.1 Bonded steel frame and tape systems 30 38-01
5.11.3.1.2 Finials 30 38-01
5.11.3.1.3 Conductor tapes 30 38-01
5.11.3.1.4 Grounding/earthing 30 38-01
5.12 Communication, security and control installations (CSC)

5.12.1 Communication systems (CS)
5.12.1.1 Telecommunications systems:
5.12.1.1.1 —— General communication and PA systems 20 CSC 1
5.12.1.2 Data transmission systems: Subject to constant upgrading CSC 2
5.12.1.2.1 —— Computer networking, modems, etc 10 CSC 2
5.12.1.2.2 —— Multiplexes data terminals 10 CSC 2
—— Data bus systems 10
5.12.1.3 Paging and emergency call systems:
5.12.1.3.1 —— Aerials, radio and paging equipment 10 CSC 3
5.12.1.3.2 —— Emergency call buttons, pull cords, etc 10 CSC 3
5.12.1.3.3 —— Disable alarm call system 10 CSC 3
5.12.1.3.4 —— Hospital patients call points 10 CSC 3
5.12.1.3.5 —— Cell call systems 10 CSC 3
5.12.1.3.6 —— Personal receivers 5 CSC 3
5.12.1.4 Public address and conference audio, etc:
5.12.1.4.1 —— Public address system 20 11-01
5.12.1.4.2 —— Conference audio facilities 10 New SFG20 task
5.12.1.4.3 —— Induction loop systems 10 New SFG20 task
5.12.1.4.4 —— Hospital radio facilities 10 New SFG20 task
5.12.1.4.5 —— Background noise systems 10 New SFG20 task
5.12.1.4.6 —— Microphones, amplifiers and speakers 10 11-01
5.12.1.4.7 —— Indicator boards 10 New SFG20 task
5.12.1.5 Radio systems:
5.12.1.5.1 —— Cable and satellite systems 10 CSC 4
5.12.1.5.2 —— Receivers and other ancillaries 10 CSC 4
5.12.1.6 Projection systems:
5.12.1.6.1 —— Cinematographic equipment 10 CSC 5
5.12.1.6.2 —— Fixed and portable projectors 10 CSC 5
5.12.1.6.3 —— Screens and back projection equipment 10 CSC 5
5.12.1.6.4 —— Sound equipment 10 CSC 5
5.12.1.7 Fire detection and alarm systems:
Components include break-glass boxes, sounders, 15 22-01 and 22-02
sensors, batteries, shutters, door fire curtains, exit
detectors, smoke release vents, indicator and control
panels and fire doors, etc
5.12.1.7.1 —— CO2 sensor 10 50-07
5.12.1.7.2 —— Heat detector 20 50-03
5.12.1.8 Smoke-detection and alarm systems:
5.12.1.8.1 —— Smoke detectors 10 50-10
5.12.1.8.2 —— IT smoke-detection system 10 50-10
5.12.1.8.3 —— Gas-detector sensors 10 50-11 and 23-15
5.12.1.8.4 —— Batteries: lead acid, unsealed 5 43-03
5.12.1.8.5 —— Batteries: sealed 20 No PPM
5.12.1.8.6 —— Battery-charging equipment 20 43-04
5.12.1.9 Liquid detection alarms 10 CSC 6
5.12.1.10 Clocks, card clocks, flexitime installations 15 CSC 7
5.12.1.11 Door entry 10 CSC 8
5.12.1.13 Television systems including satellite equipment 15 CSC 10
5.12.1.15 Pneumatic message systems 20 e.g. vacuum systems used in 60-02
hospitals and supermarkets
5.12.2 Security systems (SS)

5.12.2.1.1 Surveillance equipment (e.g. CCTV) 15 SS 1
5.12.2.2.2 Security detection equipment:
5.12.2.2.2.1 —— Intruder alarms 15 49-01
5.12.2.2.2.2 —— Occupancy and light sensors 15 50-09
5.12.2.2.2.3 —— Active infra red 10 SS 2
5.12.2.2.2.4 —— X-ray equipment/metal detection portals 10 SS 3
5.12.2.2.2.5 —— Security UV scanner 10 SS 4
5.12.2.3.3 Security alarm equipment:
5.12.2.3.3.1 —— Personal attack alarm system 15 SS 5
5.12.2.3.3.2 —— Passive infra red system 10 SS 6
5.12.2.3.3.3 —— Microwave security system 10 SS 7
5.12.2.4.4 Access control systems:
5.12.2.4.4.1 —— Clock 15 SS 8
5.12.2.4.4.2 —— Access control systems 15 SS 9
5.12.2.5.5 Burglar and security alarms 15 SS 10
5.12.2.6.6 Door entry systems (audio intercom/visual):
5.12.2.6.6.1 —— Intercom system 10 SS 11
5.12.2.7.7 Security lights and lighting systems 20 SS 12
5.12.2.8.8 Other security systems:
5.12.2.8.8.1 —— Hand geometry 15 SS 13
5.12.2.8.8.2 —— Pegging system (monitoring security guard 15 SS 14
rounds
5.12.3 Central control/building management systems
5.12.3.1.1 Control panel for M&E equipment, general 15 See supplementary controls list 14-01 and 14-02
5.12.3.1.2 BMS: central operating station 10 06-01 and 06-03
5.12.3.1.2.1 —— BMS: communications 25 06-04
5.12.3.1.2.2 —— BMS: outstations 10 06-05
5.12.3.1.2.3 —— BMS: software functions. 5 06-06
5.12.3.1.2.4 —— BMS: sensors 10 Included above
5.12.3.1.2.5 —— BMS: actuators 10 Included above
5.12.3.1.4 Controlling terminal units and switches 10 T/E (controls)
5.12.3.1.5 Control cabling and containment 24 44-04 (part)
5.12.3.1.6 Compressed air and vacuum-operated control 30 06-03 to 06-06, and
systems 14-06
5.13 Specialist installations (SI)

5.13.1 Specialist piped supply systems (SPS)
5.13.1.1.1 Medical and laboratory gas-supply systems 30 SPS 1
5.13.1.2.2 Centralised vacuum systems 20 Refurbishment interval 60-01
5.13.1.4.4 Swimming pool water treatment: 57-01
5.13.1.4.4.1 —— Swimming pools: general 40 57-02
5.13.1.4.4.2 —— Swimming pools: filters 20 57-03
5.13.1.5.5 Compressed air systems 40-07, 08 and 09
5.13.1.6.6 —— Vacuum systems 20
5.13.1.6.6.1 —— Vacuum systems: general 20 60-01
5.13.1.6.6.2 Vacuum tubes: cash handling 20 60-02
5.13.1.7.9 Air duct lines, duct line accessories, etc 25 40-07, 08 and 09 (part)
5.13.1.7.11 Silencers and acoustic treatment 25 16-04
5.13.2 Specialist refrigeration systems (SRS)

5.13.2.1.1 Cold rooms 15 10-01
5.13.2.2.2 Ice pads 15 34-01
5.13.2.3.3 Other specialist refrigeration systems:
5.13.2.3.3.1 —— Refrigeration display cabinets 15 10-02
5.13.2.3.3.2 —— Ice storage systems 15 Refers to the air-conditioning 56-03
system; catering ice storage
system included in 5.2.1.1.3
5.13.3 Other specialist mechanical installations (OSMI)

5.13.3.1.1 Wave machines 15 OSMI 1
5.13.3.1.2 Saunas: including sauna equipment 15 See 5.1.1.9 OSMI 2
5.13.3.1.2.1 —— Steam rooms and humidifiers 15 66-03
5.13.3.1.3 Jacuzzi 15 Whirlpool/spa baths: in public 66-01
facilities
5.13.3.1.4 Swimming pools 15 See 5.13.1.4
5.13.3.1.4.2 —— Hydrotherapy pools 15 66-02
5.13.4 Specialist electrical/electronic installations

5.13.5 Water features (WF)
5.13.5.1.1 Water features: fountains and waterfalls: Includes indoor and outdoor
5.13.5.2 —— Ornamental fountains 15 Drinking fountains taken in 25-02
5.1.1.1.10; includes feature
lighting as part of 25-02
5.13.5.3 Water filtration equipment 15 25-02 (part)
5.13.5.5 Nutrient treatment and equipment 15 WF 1
Control components 15 See supplementary controls list T/E (controls)
Other services elements relevant to building maintenance
RICS NRM 3 code Equipment: maintainable components Indicative life span Remarks SFG20 reference
(years)
2.3 Roof drainage (RD)
2.3.4 1 and 2.3.4 2 Roof drainage: including gutters and downpipes: 48-07
—— Powder-coated aluminium 25 48-07
—— Cast iron (painted) 50 48-07
—— PVCu 25 48-07
—— Lead 60 Box gutters and flashings 48-07
—— Zinc 35 Box gutters and flashings 48-07
—— High performance felt 20 Box gutters and flashings 48-07
2.3.4.2.3 Syphonic roof drainage pipework systems 20 48-07
2.3.4.4 Rainwater heads including gratings 25 48-07
8.3.3 Irrigation systems (IS)

8.3.3.1 Irrigation systems:
8.3.3.1.1.1 —— Trace heating 20 40-03
8.3.3.1.1.2 —— Thermal insulation 30 35-01
8.4.4 Barriers and guardrails

8.4.4.3 Vehicle and pedestrian control barriers and gates 15 Automatic vehicle barrier 63-02
8.6.1 Surface water and foul water drainage (SW&FWD)

8.6.1.4.11 —— Prefabricated channels 20 PI-ED
Manholes interceptors, etc
8.6.1.5.12 —— Interceptor traps and fresh air inlets 20 Interceptors: Blow-down and 48-04
sumps
8.6.1.5.17 —— Interceptors: petrol and oil 20 48-03
Supplementary list
Equipment item Economic life/years Remarks SFG20 reference

Actuators
Thermal actuators 10 01-03
Pneumatic actuators 15 01-04
Hydraulic actuators 10 01-05
Motor driven actuators 10 01-06
Power fail: motor return actuators 10 01-07
Power fail: spring return actuators 10 01-08
Compressors
Compressors: refrigeration, reciprocal 20 Included in item 5.6.4 12-01
Compressor: screw 25 Included in item 5.6.4 12-02
Compressor refrigeration: centrifugal 20 Included in item 5.6.4 12-03
Compressor: scroll 20 12-04
Air compressors and receivers 20 40-08
Air compressors: compressed air dryers 20 Refrigeration type/water absorption type 40-09
Compressors: air network distribution 20 40-07 to 40-09

Controllers and sensors
Multiple boilers: sequence control 10 05-15
Boiler controls: single boiler on/off 10 05-16
Boiler protection controls 10 05-17
Boilers: space temperature controls 10 05-18
Boilers: fire and safety circuits 10 05-24 and 25
Control panels: electrical services 20 14-01 and 02
Control panels: lamps, meters, alarms 10 Electronic controls 14-03
Control optimiser 10 14-04
Heating control: compensator type 10 14-05
Controller single input type 10 14-06
Controller unit and sensor type 10 14-07
Controller: timer type 10 14-08
Step controllers 10 14-09
Time switches 10 Electro-mechanical 14-10 (part)
Time switches 10 Electronic 14-10 (part)
Multi input controllers 10 14-11
Indicator and displays 10 14-12
Alarm modules 10 14-13
Level controllers 10 14-14
Speed controllers 15 Variable speed drives 14-15
Transducers 10 Pneumatic to electric and electric to pneumatic 14-16
Control dampers 15 16-03
Pneumatic controls 20 Other types of pneumatic controls: 14-03 01-04
Pneumatic relays 20 41-01
Temperature measurement sensors 8 50-03
Relative humidity sensor 8 50-04
Absolute humidity sensor 8 50-05
Air quality sensor 8 50-06
CO2 sensor 8 50-07
Velocity sensor 8 50-08
Occupancy and light sensors 8 50-09
Control valves 15 62-01 to 07
Emergency stop button 20 14-18
On/off switching devices 10 58-01
Ductwork
Ductwork system: general: Depends on the material and the composition of the 16-01 and 02
air flowing through the duct
—— galvanised (rectangular and circular) 40
—— plastic 15 Risk of mechanical damage
—— flexible (circular) 15 Risk of mechanical damage and cleaning difficulties

need to be considered
Ductwork ancillaries, various: Depends on other types and material and the 16-01 and 02
composition of air flowing through the duct
—— Coils (aluminium fins): cooling 15 29-01
—— Coils (aluminium fins): heating 15 Consider quality and thickness of aluminium fins 29-01
and exposure to adverse wet external conditions
—— Coils (copper fins): cooling 25 29-01
—— Coils (copper fins): heating 25 Consider operational duty (wet surfaces) 29-01
—— Coils (electric) 10 29-01
—— Coils (galvanised): heating 12 29-01
—— Eliminators (galvanised) 10 30-02
—— Eliminators (plastic) 15 30-02
—— Eliminators (stainless steel) 20 30-02

—— External louvres (anodised aluminium) 25 Early signs of corrosion must be dealt with 26-01 and 02
—— External louvres (steel painted) 20 Regular cleaning is important to avoid possible 26-01 and 02
breakdown of surface coating
—— Grilles/diffusers (anodised aluminium) 25 26-01 and 02
—— Grilles/diffusers (painted metal) 30 26-01 and 02
—— Hoods (stainless steel) 30
—— Plate recuperator 20 29-03
—— Spray cooler coils (copper electro tinned) and 15 29-04
washers
—— Thermal wheels 15 29-05
—— Run-around heat recovery coil 25 29-06
—— Plate heat exchangers 15
Ducting: volume control dampers and fire/smoke 20 Control damper (manual) 16-03
dampers
15 Control damper (automatic)
10 Fire dampers (curtain type)
Ducting: attenuators and acoustics 25 16-04
Electrical ancillaries
Control relays 10 58-02
Isolators/starters/fuse switches 5 44-10
Motors: drive elements 15 39-01
Fans
Fans: 20-01
Fans: ventilating general 15 20-02
Fans: centrifugal 20 Life likely to be reduced if fan motor in air stream 20-03
Fans: axial 15 Life likely to be reduced if fan motor in air stream 20-04
Fans: propeller 10 20-05
Fans: mixed flow 15 20-06
Fans: bifurcated 15 20-07
Fans: extract (domestic purposes) 15 20-08
Fans: extract including fire/smoke units 15 20-08
Fans: high temperature (boiler combustion) 15 20-02
Fans: roof-mounted units 15 20-02
Filters
Ductwork ancillaries, filters: Depends on the filter material type and local 21-01 and 21-02
environment
—— Filters (aluminium fins): cooling 15
—— Filters panel: excluding media 20
—— Filters (primary): washable 10 8 hours/day; 5 days/week
—— Filters (primary): disposable 0.5 8 hours/day; 5 days/week
—— Filters (secondary): bag types 1 8 hours/day; 5 days/week
—— Filters (activated carbon) 15
—— Filters (high-efficiency particular air) 2 8 hours/day; 5 days/week
Humidifiers/dehumidifiers
Humidifier: cold water evaporator drum type 10 Early signs of corrosion must be dealt with 33-01
Humidifier: direct stream injection type 8 33-02
Humidifier: electrode boiler 10 33-03
Humidifier: compressed air type 10 33-04
Humidifier: ultrasonic 10 33-05
Humidifier: resistance heater type 10 33-06
Dehumidifier: chemical dehumidifiers 15 Excluding medium DCD 1

Pumps
Pumps: general 20 45-01
Circulating pumps 20 45-02
Centrifugal pumps 20 45-03
Pressurisation pumps 15 45-04
Rotary hand pumps 20 45-05
Steam driven pumps 20 45-13
Secondary hot water circulation pumps 20 45-06
Sewage or drainage pumps submersible 15 45-07
Sewage and drainage pumps: drywell 15 45-08
Sewage pumps; compressed air 10 45-09
Sump pumps: extended shaft 10 45-10
Domestic water accelerators 10 45-11
Shower booster pumps 20 Included in item 5.1.1.7 51-02
Taps and outlet fittings
Taps and outlet fittings 20 61-02
Taps and outlet fittings: sluice valves 15 61-03 (part)
Taps: service valves 15 61-03
Combination tap assemblers: mixing 22, valves, taps 15 61-04
Valves
Valves: gate 25 61-01
Valves: float operated valve 15 61-01 (part)
Valves: automatic control 15 62-01
Rotary valves: shoe or slipper 20 62-02
Butterfly and ball valves 25 62-03
Self-acting and thermal valves 15 62-04
Solenoid valves 15 62-05 and 40-13
Pressure control valves 15 62-06 and 40-15
Seat valves 20 62-07
Shower valves 20 61-05
Maintenance audits 13-1
13 Maintenance audits
13.1 Audit document Summary
13.2 Audit details
This chapter describes a technique for auditing maintenance delivery in detail. It entails an assessment
13.3 Audit scoring system of management performance, maintenance, communication, health and safety, technical proficiency,
13.4 Recording comments energy, environment and finances.
13.5 Audit procedure A qualitative scoring method is proposed and a procedure for conducting the audit is outlined.
References An example maintenance audit checklist is provided.
13.A1: Maintenance audit
checklist for building
services
This chapter provides a formal framework to allow in-house

maintenance teams, clients, maintenance service providers
13.2 Audit details
and professional advisors to work together to improve the
An audit should address the topics outlined here. These are
quality and performance of engineering maintenance.
not intended to be definitive, and the user may wish to
modify the headings to suit a specific application. If in-house
A maintenance audit is always likely to be based on provision is used, the audit can be used to check internal
subjective assessments but the intention is that, by processes and those of specialist service providers used.
developing a standard format for the assessment document
and describing the content of each item, the process can be
made more objective. This should increase the benefit of 13.2.1 Management
the audit to all parties concerned.
This has two elements:
—— relationship with client, where outsourced,
including contract conformity
13.1 Audit document
—— management of maintenance delivery staff (either
A maintenance audit document is illustrated in Appendix service provider or direct labour).
13.A1. Complementary detailed information is provided in
BG 24/2012: Asset Management and Maintenance Audits The first addresses how the contract is being complied
(BSRIA, 2012). An audit should be completed by, or in with, whether reports are submitted as required, whether
close co-operation with, the maintenance manager or a the building log book (CIBSE, 2006) or similar record is
client representative if outsourced service providers are provided, on-site and up to date, whether meetings are
being audited. The services of a professional advisor can scheduled and kept to and how productive and positive
be used where appropriate, for example where the client these are. Service providers should be aware of their role in
feels the need for an independent review or detailed ensuring that buildings remain functional.
technical support.
The second element addresses, as appropriate, service
provider or direct labour staff and considers their
The initial information should be recorded before the competence, skills, quality, management and supervision,
audit: conduct and appearance, housekeeping, response to
—— details of the client or person commissioning the work requests, call-outs and emergencies and standards
audit of training.
—— type of provision, e.g. in-house or contracted out It is important for maintenance operatives to keep up to
date with technical developments, safety awareness and
—— contract start date (if applicable) practical training on the wide variety of plant likely to be
encountered. As a substantial proportion of building
—— building function, size, location and principle services maintenance is carried out by service providers
engineering services installed who employ mobile technicians, who are not permanently
based at any single site, it is important that they are multi-
—— date of the audit
skilled, with both mechanical and electrical expertise.
—— name of maintenance manager
A significant indicator of a competent service provider is
—— name of auditor. the provision of adequate opportunities for, and the
implementation of, recognised training together with Regular meetings should foster a good working relationship.
records of training. Where service provision is through a Typically, these meetings should take place at least quarterly
maintenance service provider, membership of ECA, B&ES (and more frequently in the early stages of a contract). A
or other equivalent trade association would be a good typical agenda should include an indication of the current
indicator of conforming with this criterion. status of all maintenance work, a summary of all instructions
for additional work received in the last period and a report
on work completed.
13.2.2 Maintenance service
This element assesses whether effective work planning is Communications should cover both those between client
being applied, maintenance is being carried out at the and service provider and those with the occupants of the
stated intervals and all tasks are being achieved to an building. Ideally, occupant complaints should be recorded
acceptable quality standard. An important aspect of the formally; this may be through a ‘help desk’, possibly manned
service provider’s management is to ensure that the by the maintenance service provider. All communications
maintenance periodicity is under continuous review to need to be clear and concise. Response time to instructions
minimise tendencies towards either under- or over- can also be addressed under this heading.
maintenance. Where planned preventative maintenance
(PPM) is being applied, this will entail the systematic This element should reflect the ability of both parties to
investigation at predetermined intervals of all the plant raise problems or concerns and discuss them in an open
items listed on the asset register. and positive manner, with the expectation of a high level of
professional advice and guidance from the service provider.
In practical terms, it is recommended that the client or
advisor makes periodic inspections of plant rooms, the
major occupied areas and equipment of significant 13.2.4 Health and safety
importance to the normal building operation to monitor
that satisfactory maintenance standards are being achieved. Although the client must accept ultimate responsibility for
The inspections should include regular checks that all health and safety, the implementation of specific procedures
control equipment is within calibration. Records of such may be placed with the service provider. This may extend
inspections, together with appropriate comments, should to ensuring compliance with statutory requirements. These
be recorded in the building log book. aspects should be clearly identified at the start of the
contract and monitored to ensure that the work is being
The performance element also addresses whether the carried out satisfactorily. Health and safety policy
expected level of service is provided, the required plant statements should be available from both the client and the
availability is achieved, the level of complaints from the service provider. These should be exchanged at the start of
building occupants is acceptable, the response time to work the contract and any anomalies resolved, particularly in
requests and emergencies is satisfactory and work is carried respect to demarcation of responsibility.
out in a positive manner. The latter includes showing an
innovative, flexible approach, including initiative and
perseverance. The use of key performance indicators (kpis) The service provider should be able to demonstrate the
and service level agreements (SLAs) can help to quantify or competencies of the operatives being employed on the
measure performance, but they should be kept to a useful particular contract and that these competencies are relevant
list, as monitoring large numbers of KPIs or SLAs, say on a to the work being undertaken.
monthly basis, can become an onerous task.
The service provider should have clear and defined health
Computer-based maintenance management systems (cmms) and safety procedures (TSO, 1999a), be actively training its
or computer-aided facilities management systems (cafm) employees in health and safety matters including general
can provide considerable information in summarised format awareness, have a rigid safety management system in place
to demonstrate both that maintenance has been carried out and be able to support this with comprehensive records.
and, by using data analysis techniques, that it has been The service provider should demonstrate a competent and
effective. The availability and routine analysis of such proactive approach to health and safety. Correct labelling
information should score highly on the audit, but it will be and storage of chemicals and compliance with the Control
important to ensure that the data stored in the system is of Substances Hazardous to Health Regulations (TSO,
retained with the building, allowing history to be captured 1999b) can provide some indication of the service provider’s
and used to make better decisions in the future. If the client approach to safety. All operatives using access equipment
is using the service provider’s system, there should be a such as mobile elevated working platforms (MEWPs) must
mechanism to ensure all the data captured remains the have current certificates of training.
property of the client when the contract terminates.
One particular aspect of safe operating procedures is the use
13.2.3 Communication of permits-to-work. These provide a controlled system of
work in hazardous or sensitive areas. They are issued to
Maintenance review meetings allow the client and service suitably trained personnel by an authorised person. Where
provider to develop a mutual understanding of their they are in use, the client should be aware of and understand
respective objectives and requirements. Minutes of each their purpose and function.
formal meeting should be produced for reference and to
ensure that agreed actions are carried out. It may be The audit score may be influenced by whether
appropriate for the service provider to prepare cost forecasts appropriate risk assessments are in place and the
for some or all such meetings to demonstrate the anticipated demonstrable competencies of the operatives working on
progress of the contract. the particular contract.
13.2.5 Technical proficiency allocated regarding good practice: using durable materials,
reducing pollution and waste, waste segregation, recycling
All plant on the asset register should be maintained in and water conservation. Guidance can be found in section 7
accordance with agreed schedules that identify the extent of CIBSE Guide L: Sustainability (CIBSE, 2007).
of the work and the frequency. The results of maintenance
inspections and follow-up work need to be supported by
detailed records compiled by the service provider together 13.2.8 Financial management
with other relevant documentation.
If appropriate, invoicing and payment procedures should
In many instances, the service provider will be operating an be agreed between all parties at the start of the contract.
approved quality assurance system, which, in turn, will They may include such matters as frequency of submission,
require documentation to demonstrate that work has been payment terms, need for authorisation (e.g. for additional
completed as stated. work) and expenditure limits (e.g. where up to £1500 value
of essential work can be carried out without prior
Spares, replacement parts and materials will be required authorisation in a semi-comprehensive contract). An
during maintenance activities. There will be cost, reliability agreed format in which invoices are to be submitted should
and quality implications for these, possibly also related to be established at the start of the agreement, although this
standards of performance or manufacture. may need to be reviewed as the contract progresses. The
submitted invoices should be checked for accuracy and
It may be deemed necessary for the service provider to may be subject to a review procedure by the client’s
draw up a list of essential spares that are to be retained on professional advisor, where appointed.
site to ensure ready availability. The list will need to be
agreed by the client. There will be a cost associated with
this provision of spares (initial purchase and on-going
storage). The client may consider that the availability and 13.3 Audit scoring system
regular review of an essential spares list is an important
element in the audit score. A simple, easily understood scoring system should be
adopted at the start of the maintenance audit process. A
The need for access to the building and its engineering three-tier scoring system for the audit document, as shown
services may require admittance of the service provider’s in Appendix 13.A1, is proposed to provide an initial guide
personnel to controlled or secure areas. Adequate (see Table 13.1).
arrangements need to be in place and monitored. It may
also be useful to review periodically who has access to plant Table 13.1 Three-tier scoring system for maintenance performance
areas and to ensure that arrangements exist for access out of
normal hours where necessary. Assessed achievement Score
Poor 1–3
Average 4–6
13.2.6 Energy use and management
High 7–9
Normal plant operation should include monitoring to
ensure that systems are performing efficiently, particularly
in terms of energy use. It may be a client requirement to It may be appropriate to apply different multipliers to each
include, as part of maintenance review meetings, a routine of the assessment headings to indicate their relative
report on energy use and opportunities to improve importance. For example, taking the norm multiplier as
efficiency, possibly including details of energy consumption 1.0, management might have a multiplier of 1.5, while
and costs. Further detailed information relating to energy energy could have a multiplier of 0.6. The multiplier is
efficiency is provided in CIBSE Guide F: Energy efficiency in shown as the ‘weighting factor’ in the ‘adjusted score’
buildings (CIBSE, 2012). section in Appendix 13.A1; an example and sample method
of presenting the information is also shown.
The maintenance service provider should be expected to be
aware of the need to conserve energy, use it efficiently, The aggregate score can then be obtained by adding
identify opportunities for energy savings and reduce together the individual scores. While each individual audit
the carbon footprint. This should also apply when the may be difficult to analyse, noting trends in how the scoring
service provider is not tasked with managing the energy changes over time will provide a useful indication of how
payment process. standards are being maintained. Any deterioration in
standards should be discussed fully at the following
maintenance review meeting.
13.2.7 Environment and
sustainability
Environmental aspects of o&m should also be addressed. 13.4 Recording comments
All legislation should be complied with, good practice
codes adopted where appropriate and all matters needing It is expected that comments will be produced during the
attention reported formally to the client. audit, many of which may not need to be recorded. However,
it will be useful for future reference to record anecdotal
Sustainability is an issue of growing prominence and is not notes, special achievements or significant failings. Where
just about caring for the environment in the wider world. In scores of less than 3 or more than 7 are entered, they should
a maintenance audit, questions should be asked and marks be supported by explanatory comments.
If there are any recommendations for actions to be taken to

1.0 Introduction and overview of previous audit
improve the maintenance delivery, they should be recorded
and discussed. 2.0 Agreed objectives and extent achieved
3.0 Current audit assessments, trends and comments
3.1 Management
13.5 Audit procedure 3.2 Maintenance service
The audit procedure should consist of the following steps: 3.3 Communication
—— determine the audit date and instruct service 3.4 Health and safety
provider to attend
3.5 Technical proficiency
—— arrange professional support if required
3.6 Energy use and management
—— carry out inspections as required of plant rooms etc
3.7 Environment and sustainability
—— complete audit form
3.8 Financial management
—— carry out inspections of the building log book, log
4.0 Overall review
sheets, reports, and supporting building
documentation (see Table 13.2 for an indicative list) 5.0 Concerns, future objectives and actions required
—— attend audit meeting or maintenance review 6.0 Other related matters

meeting and discuss situation with service provider
7.0 Date and time of next audit
(see Figure 13.1 for an outline agenda)
—— agree future action, including period until next Figure 13.1 Suggested report format
audit
—— prepare formal record of meeting
—— monitor agreed action is being achieved.
References
Table 13.2 Checklist for building documentation
BSI (2009) BS 5306-3: 2009: Fire extinguishing installations and equipment
Type of document on premises. Commissioning and maintenance of portable fire extinguishers. Code
Building log book (see CIBSE, 2006) of practice (London: BSI)
Air conditioning inspection reports

BSRIA (2012) BG 24/2012: Asset Management and Maintenance Audits
Records of fire detection and alarm tests (Bracknell: BSRIA)
Sprinkler system test records
CIBSE (2012) CIBSE Guide F: Energy efficiency in buildings (London:
Smoke extract system test records CIBSE)
Escape route pressurisation system test records
Electrical system safety inspection records CIBSE (2006) TM31: Building log book toolkit (London: CIBSE)
Electrical earthing and insulation test records CIBSE (2007) Guide L: Sustainability (London: CIBSE)
Portable appliance test records
CIBSE (2013) TM13: Minimising the risk of Legionnaires’ disease (London:
Emergency lighting system test records
CIBSE)
Fire extinguisher and fire hose reel test records (see BSI, 2003)
Legionellosis risk assessment and routine inspection records (see CIBSE, TSO (1999a) Management of Health and Safety at Work Regulations 1999
2013) Statutory Instruments 1999 No. 3242 (London: TSO)
Notification of cooling towers and evaporative condensers
TSO (1999b) Control of Substances Hazardous to Health Regulations
COSHH (TSO, 1999b) records 1999 Statutory Instruments 1999 No. 437 (London: TSO) (1999)
Lift insurance inspection reports
Lifting equipment insurance test reports and certificates
Pressure vessel and system test reports and certificates
Fume cupboard test reports and certificates
Operating and maintenance O&M manuals
Waste disposal and handling procedures
Noise assessments
Asbestos awareness reports
General risk assessment
Lightning protection test records
Gas safety inspection record
Appendix 13.A1: Maintenance audit checklist for building services

A blank version of this checklist may be downloaded from the CIBSE website (www.cibse.org/Knowledge/CIBSE-Guide/
CIBSE-Guide-M).
Client: ABC Financial Services
Building: ABC House Location (address): ABC House, Cubworth
Contract type: Planned maintenance Contract start date: 16 January 2013
Service provider: West Maintenance Ltd.
Assessor: Andrew Jones Assessment date: 10 February 2014
Part 1 Management
1A Service provider’s relationship with client (e.g. contract compliance, reports, meetings, service provider role, client support)
Score: 1 2 3 4 5 6 7 8 9
Weighting factor (see section 12.3): 0.7 0.8 0.9 1.0 1.1 1.2 1.3
Adjusted score (score × weighting factor): 6.0
Comments:
1B Service provider’s staff (e.g. quality of resource, resource management/supervision, conduct, housekeeping, work requests, emergencies,
training)
Score: 1 2 3 4 5 6 7 8 9
Comments:
Part 2 Maintenance service (e.g. PPM), service provided, response time, positive approach, dealing with complaints, flexibility and innovation,
effectiveness of planning, service level)
Score: 1 2 3 4 5 6 7 8 9
Comments:
Part 3 Communication (e.g. clarity, concerns with client, with occupants (where appropriate), quality of advice, responding to queries/
complaints)
Score: 1 2 3 4 5 6 7 8 9
Comments:
Part 4 Health and safety (e.g. general awareness, knowledge of regulations, management, procedures, training, permits-to-work, records)
Score: 1 2 3 4 5 6 7 8 9
Comments:
Notes:
Maintenance contract includes for all repairs costing less than £200 excluding VAT.
Weighting factors agreed with client prior to audit.
Part 5 Technical proficiency (e.g. PPM performance, records and reports, quality assurance, materials and spares, security, energy efficiency,
environmental matters)
Score: 1 2 3 4 5 6 7 8 9
Comments:
Part 6 Energy use and management

Score: 1 2 3 4 5 6 7 8 9
Comments:
Part 7 Environment and sustainability

Score: 1 2 3 4 5 6 7 8 9
Comments:
Part 8 Financial management (e.g. procedure, format, accuracy, timescale)

Score: 1 2 3 4 5 6 7 8 9
Comments:
Summary
Audit criterion Basic score Factor Score
1A Service provider’s relationship with client 6 1.0 6.0
1B Service provider’s staff 9 1.3 11.7
2 Maintenance service 9 1.3 11.7
3 Communication 4 0.7 2.8
4 Health and safety 7 1.2 8.4
5 Technical proficiency 8 1.3 10.4
6 Energy use and management 6 0.9 5.4
7 Environment and sustainability 7 1.0 7.0
8 Financial management 6 0.9 5.4
Condition surveys 14-1
14 Condition surveys
14.1 Levels and frequency of Summary
survey
In this chapter the application of condition surveys to various types of building services installations
14.2 Non-intrusive testing is described and the characteristics of different types of survey, ranging from a general overview to a
thorough survey, are detailed. The benefits of non-intrusive thermal imaging techniques are explained
14.3 Consistency of and the need to ensure a consistent approach to surveying and the presentation of information is
information outlined.
14.4 Priority grading To improve the usefulness of the results of a survey to a client, the need to prioritise recommended
actions is stressed and categories are proposed.
14.5 Condition grading
Methods of data collection are described, ranging from simple, handwritten recording to electronic
14.6 Data collection methods of data capture. Data is manipulated to give a detailed outlook report that prioritises
14.7 Updating information condition and items of importance or concern. Information should be updated on a timetabled basis
to compare current survey conditions against previous ones.
References
Bibliography
Condition appraisal is defined as: ‘A formal and systematic Discussions with the engineers maintaining the asset can
appraisal of the condition of an item in respect of its ability provide information not readily available elsewhere. The
to perform its required function’ (BSI, 1993). aim of a visual inspection is to understand the condition of
the assets. A consistent approach to surveying and data
A condition survey is usually conducted at the request a capture provides a benchmark from which the assets can be
building owner or occupier to provide information on the understood and provides a baseline from which further in-
current state of a building and its services. In some cases it depth inspections can be triggered. Visual asset surveys are
may be commissioned before the purchase or lease of a also often used as a baseline from which a tenderer can
building to find out the extent of the maintenance liability work out their building services maintenance tender cost.
that the prospective leaseholder would be taking on.
Visual surveys are an appropriate management tool to
A client will expect their building services professional to assist in:
provide clear and concise information on the required
short- and long-term maintenance needs. Historically, —— prioritising objectives for the maintenance team
condition surveys have been used to determine future
maintenance requirements and to set a maintenance —— planning for short-term expenditure
regime. Now, they are increasingly being used to help
formulate the occupier’s future strategy for maintenance, —— justifying long-term investment.
occupation, disposal and life cycle replacements.
The survey forms one of the principal foundation stones for

determining the budget forecast for the building services 14.1 Levels and frequency of
maintenance budget. BSRIA guide BG 35/2012: Condition survey
Surveys and Asset Data Capture (BSRIA, 2012) sets out one
methodology that can be followed.
BS 8210: 1986: Guide to building maintenance management
(BSI, 1986) suggests that a condition survey should be
It is prudent to provide the surveyor with the health and undertaken over a five-yearly cycle and can be supplemented
safety file, the o&m manuals and building log book to ensure by an intermediate two-yearly inspection if results indicate
that they can cross reference to the assets surveyed. This a necessity based on the purpose of the survey. At the onset
also ensures they are aware of any issues that they may find of commissioning a survey, it is important to establish its
whilst surveying, for example, asbestos, confined spaces, etc. precise scope. The scope must identify the purpose of the
report, what information is expected from the survey and
Visual inspections of the assets can overlook operational how the information is to be presented and subsequently
issues and impending failure cannot always be seen. used. It is also important that the report contains any
Valuable information can be obtained by monitoring recommendations that are made by the surveyor.
plant and equipment operation and by reviewing log books Photographs with captions help to highlight specific
and servicing reports. Often, a review of these documents issues of concern and can be used later to identify any
can reveal a ‘history’ and a greater understanding of the concerns. Typical levels of surveys are indicated in the
issues experienced. following sections.
14.1.1 Visual inspections The scope of the survey must be agreed, taking safety and
accessibility into consideration.
The use of our human senses of touch (vibration/heat),
smell (overheating) or noise (vibration) can be invaluable Non-intrusive surveys can uncover failures that would
not be picked up during a visual survey. The following
in undertaking a non-intrusive ‘visual’ inspection of the
plant and associated systems of attaining a feel of the technologies/techniques each have something to offer
system’s operation and wellbeing. a surveyor.
Visual inspections and ‘walk round tours’ should be carried

out as part of any planned maintenance regime. They 14.2.1 Thermal imaging
should be timetabled and include an objective recording
sheet to compare current inspections with previous ones Thermal imaging is a technique for presenting an image of
and from which a brief report can be compiled. the temperature profile, where different colours indicate
the temperatures of the exposed surfaces. It is probably the
most versatile of all the commonly used non-destructive
14.1.2 Specialist survey techniques (NDT) and can be used to detect the heat build-
up in electrical circuits, motor bearing failures, lubrication
There is always the risk that visual inspections will miss problems and motor windings.
more serious, less obvious, maintenance issues. Whilst the
cost may prohibit a full, in-depth survey on a
frequent basis, an annual visual inspection supplemented 14.2.2 Power quality surveys
by a more thorough survey every five years provides an
ideal compromise. Harmonic distortion is becoming prevalent in our building
with the growth of IT usage and low-power lighting brought
about by the requirements to transform AC power into DC.
The harmonics produced in these systems combine in the
14.2 Non-intrusive testing neutral phase and create an imbalance between it and the
phase currents. This can lead to increased heating in the
The alternative to visual and specialist surveys is to employ equipment and conductors, misfiring in variable speed
suitable non-intrusive methods of assessing condition. One drives and torque pulsations in motors.
of the major benefits of using non-intrusive testing and
monitoring techniques for condition surveying is the Power quality surveys are used to take detailed measurements
reduction of invasive work that disrupts asset operation. of and analyse the current and voltage waveforms.
Table 14.1 Example NRM3 classification of engineering services elements

Group element Element Sub-element Component Sub-component
5. Services 5.4 Water 5.4.1 Mains 5.4.1 Mains 5.4.1.1. Pipelines and pipeline fittings
installations water supply water supply
—— Copper
above ground
—— Steel: galvanised
—— Plastic or non-metallic
5.4.1.1.2 Valves
5.4.1.1.3 Water meters: internal
5.4.1.1.4 Rising main to storage tanks
5.4.1.1.5 Water meters: not provided by statutory bodies
5.4.1.1.6 Trace heating
5.4.1.1.7 Thermal insulation
5.5 Heat source 5.5.1 Heat 5.5.1.1 Heat 5.5.1.1.1 Boilers—biomass
source Source
5.5.1.1.2 Boilers—gas/oil
5.5.1.1.14 Water tanks
5.6 Space 5.6.1 Central 5.6.1.1 Central 5.6.1.1.1 Central heating system
heating and air heating heating
5.6.1.1.2 Pipework system
conditioning
5.6.1.1.3 Heat emission units
5.6.1.1.4 Under floor heating
5.6.3 Central 5.6.3.1 Central 5.6.3.1.1 Chilled beams
cooling cooling system
5.6.3.1.2 Fan coil systems, for cooling only
5.6.3.1.3 Air-based systems: variable air volume (VAV) for cooling only
5.6.3.1.4 Variable refrigerant volume (VRV) systems
5.6.3.1.5 Chillers and packaged chillers
14.2.3 Acoustic emissions 14.4 Priority grading

The noise emitted by an item of rotating plant is measurable An organisation’s building stock historically represented
and will increase as the general wear and tear of operation one of its most important and most valuable assets.
takes its toll. The instrumentation is easy to use, gives a This type of asset requires continuous care, protection
useful value to the overall state of plant and systems and and reevaluation.
can be supported by vibration analysis.
In some instances, the year-on-year reduction in
maintenance spend has resulted in the level of financial
14.2.4 Vibration analysis investment in the care and protection of buildings and
their services falling seriously short of what is required.
As bearings and alignment deteriorate, the smooth
operation of a rotating assembly also deteriorates, which In the present economic situation, some properties have
makes it vibrate. This vibration can be measured in both degenerated to the point where the cost of life cycle
frequency and magnitude to give an accurate indication as replacement and required repairs is greater than the value
to the state of the item in question. This is a widely used of the property. This results in a situation where the
NDT technique that can be an excellent diagnostic tool in a
maintenance of the building is carried out on a legislative-
condition survey. only basis followed by prioritising maintenance on health
and safety or business reasons until investment is made to
bring the property back into a good state of repair.
14.2.5 Ultrasonic measurement The following categories can be applied to a survey report
to help identify priorities for attention:
Short-wave sound waves are used to measure the thickness
of material and/or indicate flaws in the material itself. —— Priority 1 (urgent): work required to address serious
Ultrasonic measurement is normally used to confirm the health and safety issues and correct any breach of
state of systems for which there is a suspicion that corrosion legislation.
and/or wastage has reached a certain stage. —— Priority 2 (necessary): work required to prevent the
deterioration of an asset.
—— Priority 3 (recommended): work required to
prevent a deterioration of the service provided by
14.3 Consistency of the asset.
information —— Priority 4 (normal): no work required beyond
normal maintenance.
It is important that the assets surveyed are identifiable;
each room, system and asset should be given an asset code A lot of the gathered information is subjective, but it is still
that specifies clearly what and where it is. An element of a necessary to give a ‘grading’ to the asset that allows the
condition survey could be the gathering of the technical planner to prioritise the work to be carried out and year-on-
information on each asset, ratifying details with the asset year costs to be calculated.
register and as-built drawings where appropriate.
A classification system for the major elements of the

engineering services will need to be agreed with the client 14.5 Condition grading
at the onset of the survey. The extent to which the major
elements are broken down into their constituent sub- The following condition grades are used to record the
elements will depend upon the client’s requirements, but assessed condition of the assets so that a consistent
this must be defined. Table 14.1 indicates a classification interpretation is understood by both surveyor and recipient
system from the New Rules of Measurement (NRM3) (RICS, of the results.
2014), which could be followed. These elements can be
—— A: Good: the asset is ‘as new’, and can be expected
extended or reduced to suit the type of survey to
to perform adequately to its full normal life if
be undertaken.
maintained appropriately.
Once the asset is identifiable, all information relating to —— B: Average: the element is sound, operationally safe
that asset can be placed against it and used historically to and exhibits only minor deterioration.
plan and manage maintenance along with condition data —— C: Poor: the element is operational but major repair
created by the survey. or replacement will be needed.
—— D: Very poor: the element runs a serious risk of
When an engineering survey is undertaken in conjunction imminent breakdown or poses a health and safety
with a building fabric survey, care must be taken to ensure risk.
there is consistency in the management of the data collected.
Location, block and room references have to be the same —— X: Beyond repair: a grade attached to C or D to
for each discipline if the data is to be meaningful. When indicate that it is impossible to improve without
duplicate assets or standby equipment is installed, it is replacement.
clearly important to establish not only its exact location,
but also the specific asset to which the surveyor is referring It is also important to note that the terms ‘condition’ and
in the report. ‘priority’ do not have the same meaning: ‘condition’
relates to the present state of the individual asset or —— Sub-reports relating to:
complete system whilst ‘priority’ determines when the
identified work needs to be undertaken, ideally with a —— functional suitability of plant and systems
timescale for completion. —— operational integrity
—— physical condition
—— compliance with legal and health and safety
14.6 Data collection requirements
The availability of accurate and meaningful information is —— conditions affecting o&m
a fundamental requirement of any data collection system.
—— economic life and obsolescence
The primary ways currently used to collect asset data and
undertake condition surveys include: —— energy efficiency of assets.
—— manual (paper) systems
The format of the report will need to satisfy the client’s
—— handheld electronic devices. requirements and include a summary for each asset
identifying the maintenance and remedial requirements,
their costs and the year in which the work should be
14.6.1 Manual (paper) systems undertaken.
Low-technology manual systems are suitable for many Spreadsheets can be produced to illustrate expected
small to medium installations, and walking around a site maintenance and replacement costs (see Appendix C of
with a pro-forma data collection sheet is still popular with BG35/2012: Condition Surveys and Asset Data Capture
surveyors. In many instances, the information collected is (BSRIA, 2012)) based on predicted values. This provides
subsequently transferred to some form of computerised accurate and useful information enabling a client to set,
system for ease of amendment or updating. Pro-forma data with a reasonable level of confidence, priority objectives
sheets help to minimise the possibility of inconsistent and plan both short- and long-term maintenance needs.
information when more than one surveyor is involved.
However, the pro forma must be adequate for the purpose 14.6.4 Surveyor
of the inspections to be carried out and the surveying team
must receive adequate training on how to complete the The surveyor must be capable of:
form in a consistent way. When the survey is completed,
large volumes of paper will probably need to be archived. —— surveying the site(s) within a reasonable timescale
As more surveys or larger properties are undertaken, this —— effectively collecting and processing the
often becomes unmanageable. maintenance data
When these facts are considered, together with the problems —— establishing the current maintenance regime
of typing, checking and subsequent updating of manually
collected data, the use of a computer tablet or smart phone —— estimating the cost of the maintenance work
to directly enter the data is often a favoured approach. required
—— providing guidance to prioritise any necessary
maintenance or replacements based on condition.
14.6.2 Electronic data collection
The development of handheld technology has been 14.6.5 Dilapidation reports
significant, and many simple and relatively straightforward
electronic data capture systems are available. There are a Whilst the condition survey outlines the present condition
number of bespoke applications readily available that of a building and its services, the dilapidation report takes
provide a level of standardisation in terms of approach and into account the terms of a lease defining the responsibilities
format. They generally concentrate on a reduced narrative of the tenant and landlord for repair and maintenance and
with an emphasis on alphanumeric references to define any building covenants.
elemental condition and priority status.
Schedules of dilapidations should be treated as a separate
Information gathered on-site, obtained by answering pre- entity. If a schedule of dilapidations is prepared for a client
set questions, can easily be downloaded. Some systems at the end of a lease, it should identify any significant
incorporate barcode readers, which are popular for tagging variations in the condition of the fabric and engineering
assets when creating asset registers. services compared with their condition at the start of the
lease. There would, therefore, be no need for a condition
survey to be undertaken.
14.6.3 Survey report
Depending on the depth of survey carried out, the survey At the start of a lease, a dilapidations report should be
report generally contains the following information: prepared that identifies the current condition of the fabric
and its services. This can be used as a benchmark in the
—— An executive summary covering the salient points, future (e.g. when the building is vacated) to identify what,
highlighting areas of concern, prioritising defects if any, deterioration or dilapidation has taken place.
found and making recommendations emerging Photographs incorporated in the report, taken prior to the
from the survey. start of the lease, are useful in the event of a dispute.
14.7 Updating information BSRIA (2012) BG35/2012: Condition Surveys and Asset Data Capture
(Bracknell: BSRIA)
This is an important task and must be done on an annual

basis and/or as and when plant and equipment is replaced, RICS (2014) NRM3: RICS New Rules of Measurement: Order of Cost
decommissioned or installed. If neglected, the impetus of Estimating and Cost Planning for Building Maintenance Works (London:
RICS)
the initiative will be lost and the information previously
collected will quickly become out of date.
Bibliography
References
RICS (1997) Stock Condition Surveys: RICS Guidance Note (London:
BSI (1986) BS 8210: 1986: Guide to building maintenance management
RICS)
(London: BSI)
BSI (1993) BS 3811: 1993: Glossary of terms used in terotechnology (London: RICS (1995) Condition Assessment Surveys (London: RICS/Building Cost
BSI) Information Service)
Legislation and compliance 15-1
15 Legislation and compliance
15.1 Legislation Summary
15.2 Requirements for This chapter provides an overview of key UK legislation relevant to operating building services. It does
inspection and testing not claim to be comprehensive and the duty holder should routinely update themselves with current
changes and legislation applicable in their own country.
15.3 Sources of maintenance
guidance Requirements for inspection and testing are also considered. A table of legislation and
guidance on compliance with such legislation may be downloaded from the CIBSE website
References (http://www.cibse.org/Knowledge/CIBSE-Guide/CIBSE-Guide-M).
Building owners and operators have a significant challenge In section 2, the Act places a general duty on all employers
ensuring that the engineering services operate satisfactorily for the provision and maintenance of plant and systems of
to achieve a safe and comfortable environment for building work, so far as is reasonably practicable, that are safe and
occupants. Coupled with this is the need to ensure security without risks to health.
of supply of electricity, gas, water and other utility sources
to enable the building to function.
15.1.2 Building Regulations
This means that there is a need for regular inspection and
maintenance to provide a measure of certainty that the The legal framework in the UK is provided by the Building
plant and services will operate safely and reliably, as and Act 1984 (HMSO, 1984) and relates to the design and
when needed. In the past, failures to carry out the essential construction of buildings. Where the planned building, or
function of inspection and maintenance have resulted in building extension, is subject to the regulations (and this
instances of severe injury and even loss of life. This, in applies to almost all buildings), a set procedure must be
turn, has led to the formulation of statutory requirements followed to comply in conjunction with the local authority
and other recommendations relating to the management of building control office. Where buildings governed by these
building services. Regulations already exist, copies of completion certificates
must be on file (see also section 15.1.4).
This chapter provides an overview of key UK legislation
relevant to operating building services. It doesn’t claim to The Building Regulations are used to implement some
be fully comprehensive; it is intended to identify legislation important elements of the EU directive on the energy
and codes of good practice that an operator of building performance of buildings (Commission for the European
services should be aware of. Communities, 2003), for example: Article 3 (methodology
for calculating the energy performance of buildings);
Article 4 (setting of energy performance requirements);
As well as ensuring that all appropriate legislation is being Article 5 (new buildings to meet minimum energy
complied with and all risks minimised, the necessary performance requirements); Article 6 (existing buildings
records and supporting information must be in place. This over 1000 m2 undergoing major renovation to have energy
then provides a strong and defensible position should an performance upgraded to meet minimum requirements).
incident occur.
15.1.3 Construction Regulations

15.1 Legislation The Construction Regulations apply to the broadest
possible range of work from the most minor internal task to
In many of the UK acts and regulations listed below, non- the largest building project and include general building
compliance can result in prosecution. and engineering work, refurbishment and maintenance.
The regulations are grouped under three headings:
Construction (Design and Management) Regulations 2007
15.1.1 Health and Safety at Work etc. (CDM Regulations) (TSO, 2007), Construction (Head
Protection) Regulations 1989 (HMSO, 1989a) and the
Act 1974 Construction (Health, Safety and Welfare) Regulations
1996 (TSO, 1996). The CDM Regulations were revised
This legislation (TSO, 1974) was the first that applied to all following a consultation process by Health and Safety
work locations. The Act is primary legislation and places a Executive (HSE) in 2002 and new regulations and guidance
duty on employers and employees to work together to find provided in 2007. These recognised the need to reduce the
solutions to problems. It is known as an ‘enabling’ act, for bureaucratic implications and replaced the planning
all British legislation relating to health and safety. supervisor with the CDM co-ordinator. The CDM
requirements must be considered in all projects, and there The duty holder (responsible person) for the property must
are two categories of projects: reportable and non- undertake a risk review by ensuring a competent person
reportable. completes a survey for asbestos and then manages the risks
to health highlighted by this survey.
15.1.4 Confined Spaces Regulations The responsible person must manage the asbestos using the
1997 (TSO, 1997a) survey information. Generally only a ‘management survey’
is required for operational buildings, however it may be
Where entry by employees or others to a confined space is necessary to utilise a ‘refurbishment or demolition survey’
unavoidable, the appropriate risk assessments and for older style constructions to identify asbestos in the
arrangements for rescue in an emergency are mandatory. premises. The survey must provide sufficient information
A confined space is a place that is substantially enclosed to enable management, planning and risk assessment of the
ACMs or identify that there are no ACMs. The process is
(though not always entirely) and where serious injury
can occur from hazardous substances or conditions within shown schematically in Figure 15.1.
the space or nearby, which may cause asphyxiation by,
for example: The responsible person must make the surveys readily
available to anyone who may come in contact with or
—— lack of oxygen disturb the ACMs. It is important to check the condition of
the asbestos material for damage on a routine basis and
—— poisonous gas, fumes or vapour record all findings and incidents.
—— liquids or solid
See also HSG210: Asbestos Essentials (HSE, 2008) and
—— fire or explosion INDG223: Managing Asbestos in Buildings (HSE, 2012a).
—— dust concentrations
15.1.6 Control of Substances
—— hot conditions. Hazardous to Health
Regulations (COSHH) (TSO,
There is often crossover with Control of Substances
Hazardous to Health Regulations (COSHH) (TSO, 2002a) 2002a)
and Dangerous Substances and Explosive Atmosphere
Regulations (DSEAR) (TSO, 2002b). These regulations apply to all business and work-related
activity where hazardous substances are used. An employer
or his/her representative (e.g. FM), has a responsibility to
15.1.5 Control of Asbestos assess all work situations to establish if employees might be
exposed to a hazardous substance, be it a solid, liquid,
Regulations 2012 (TSO, 2012) vapour, dust, gas or biological agent. COSHH data sheets
are available from all suppliers of hazardous substances.
There is a duty that falls under section 2(2) of the Health
and Safety at Work Act to provide safe areas to work.
Asbestos has been in use as a building product for many 15.1.7 Electricity at Work Regulations
years and buildings built before 2000 are likely to be 1989 (HMSO, 1989b)
constructed with asbestos-containing materials (ACMs).
The regulations require that electrical systems should be
constructed and maintained at all times to prevent danger
Survey or injury, as far as is reasonably practicable. However, some
provisions within the regulations are absolute. For example,
it is the duty holder’s responsibility to assess the risks
associated with work ‘on or near’ live electricity. In certain
situations it is stipulated that technical knowledge and
Management Refurbishment or
experience are a prerequisite to avoiding danger or injury,
survey demolition survey
and there is an obligation placed on the ‘duty holder’ to
ensure that any electrical operatives employed (even if they
work for another company under a contract) are competent
Asbestos register to do the required work. These regulations provide an
plan/drawing example of where, in general terms, compliance can be
achieved by observing the requirements of a British
Standard, in this case BS 7671 (the IEE Wiring Regulations)
(BSI, 2008, updated 2011).
Risk
assessment Portable and transportable electrical equipment can be
periodically inspected and tested to show compliance with
this regulation, whether it is used on a construction site, as
a maintenance tool or on an office desk. Details are given in
Management plan HSE’s INDG236: Maintaining Portable Electric Equipment in
Low-risk Environments (HSE, 2012b) and the IET’s Code of
Practice for In-service Inspection and Testing of Electrical
Figure 15.1 Process to establish an asbestos management plan Equipment (IET, 2001). The frequency of inspection and
testing should vary according to the harshness of the task Legislation may also differ in Scotland (Scottish
or the working environment in which the equipment is Environment Protection Agency (SEPA)) in some aspects.
used. Some basic inspections should be undertaken by the Some areas of concern for building operations are discharges
users, such as laptop power leads being visually checked from flues, pumped sumps, refrigerant gases, oil stores
and not used if they are damaged or bare wires are visible. (generators etc), chemical stores and large water
It would be appropriate to follow a regular testing discharges—damage to the environment in the event of
programme in an environment that is accessed by the something going wrong should be considered. There are
public or has vulnerable occupants. These tests should be many Pollution Prevention Guidance (PPG) documents
recorded as evidence and be carried out by a competent available from the Environmental Agency to assist the duty
person using appropriate test equipment. holder in assessing the risks and preventing pollution.
High-risk areas such as battery rooms, UPS systems,

generators and high voltage systems may be maintained by 15.1.10 F-gas Regulations
specialists or internal teams but there is a requirement on
the duty holder to manage these hazardous areas safely to
prevent unauthorised or uncontrolled access (e.g. cleaners, The EU F-gas Regulation (Commission for the European
fire extinguisher technician, client). Usually a secure key Communities, 2006) became law on 4 July 2006. This
control system relevant to the risk hazard is adequate. imposes obligations on ‘operators’ of this equipment from 4
July 2007. F-gases include HFCs, which are the most
Chapter 62 of BS 7671: 2001: Requirements for Electrical common refrigerants in use today. The regulation aims to
Installations: IEE Wiring Regulations (BSI, 2008, updated minimise emissions of these gases, which affect global
2011) specifies the requirement to maintain documentation warming if they escape into the air. F-gas 2 regulations
for an electrical system following an electrical condition from 2015 are also being discussed in the European Union
report and record changes that have been made to the with more changes due to be imposed (see http://ec.europa.
system over the installation life. eu/clima/policies/f-gas/legislation/index_en.htm for details).
Further information can be found in the HSR25: ‘Operators’ are defined as the people or organisations that
Memorandum of Guidance on the Electricity at Work Regulations have actual power over the technical functioning of the
1989 (HSE, 2007) and HSG85: Electricity at Work: Safe equipment. The legal responsibility for compliance with
Working Practices (HSE, 2013a). the regulation lies with the operator.
15.1.8 Emissions into the atmosphere The Health and Safety Executive (HSE) requires F-gas
companies to be registered with a certification body;
Air quality and assessment is covered by a number of REFCOM and FIA are appointed as certification bodies for
mandatory items of legislation including the Clean Air Act their industries. From July 2011 all businesses must hold a
1993 (HMSO, 1993a), the Pollution Prevention and Control certificate and employ sufficient numbers of trained and
Act 1999 (TSO, 1999a), the Environmental Protection qualified (Category I–IV) F-gas technicians.
(Non-refillable Refrigerant Containers) Regulations 1994
(HMSO, 1994), and the The Air Quality Standards —— Category I certificate holders may carry out all
Regulations 2010 (TSO, 2010). European directives have refrigerant handling activities for any size of
driven much of this legislation, including the EU directive refrigeration and air conditioning (RAC) systems
on substances that deplete the ozone layer. The areas containing HFC refrigerants. This includes leakage
requiring greatest attention are in the installation and checking, refrigerant recovery, installation,
maintenance of air conditioning, refrigeration and fire- maintenance and servicing.
fighting systems.
—— Category II certificate holders may carry out
refrigerant recovery, installation, maintenance and
15.1.9 Environmental Protection Act servicing in relation to RAC systems containing
1990 (TSO, 1990) fewer than 3 kg of fluorinated greenhouse gases (or
fewer than 6 kg for systems that are hermetically
Building owners and operators now accept the need to sealed). Category II certificate holders may also
protect the environment from indiscriminate disposal or carry out leak checks on any plant provided that it
leakage of waste. Responsible persons should ensure that does not entail breaking into the refrigeration
not only is the company environmental policy in place but circuit containing fluorinated greenhouse gases.
also that implementation is achieved.
—— Category III certificate holders may carry out
Waste products should be accurately identified, transported refrigerant recovery in relation to RAC systems
by an accredited waste carrier and disposed of exactly as containing fewer than 3 kg of fluorinated greenhouse
planned at approved locations. A responsible person should gases (or fewer than 6 kg for systems that are
keep comprehensive records, such as waste transfer notes hermetically sealed).
and hazardous waste.
—— Category IV certificate holders may carry out leak
There are now considerable fines when prosecuted for checks on any plant provided that it does not entail
environmental incidents and it is important to assess all breaking into the refrigeration circuit containing
areas of potential contamination to water, soil or air. fluorinated greenhouse gases.
Table 15.1 F-gas testing requirements detection and means of giving warning are in place and
communicated effectively to all building users. Escape
Quantity of F-gas in system Testing requirement routes must be marked. Fire-fighting equipment should be
3 kg or more* At least once every 12 months in place and employees given appropriate instruction. Fire
escape routes should be lit with emergency lighting.
30 kg or more At least once every 6 months
Records/a log book should be kept up to date with periodic
300 kg or more At least once every 3 months; leak
reviews of arrangements and equipment and system tests.
detection systems must be installed
and, when in place, checking
requirements are halved Further sources of information include: The Building
Regulations 2000 Approved Document B: Fire Safety (HM
* 6 kg if equipment is hermetically sealed
Government, 2006), CIBSE Guide E: Fire engineering
(CIBSE, 2010), Fire Safety: An Employer’s Guide (TSO,
Note: Where a leak has been detected and repaired, a further check must
be carried out within one month to ensure that the repair has been
1999b) and Fire Safety in Construction Work (HSE, 1997).
effective.
Appendix V of BS 9999: 2008: Code of Practice for Fire Safety
in the Design, Management and Use of Buildings (BSI, 2008)
For stationary refrigeration, air conditioning, heat pump has a normative list of fire assets and routine inspections.
units and fire fighting equipment over 3 kg charge (6 kg if
hermetic), operators must:
—— prevent leakage and repair any leaks as soon as 15.1.12 The Health and Safety (Display
possible Screen Equipment) Regulations
—— arrange proper refrigerant recovery by certified 1992 (HMSO, 1992a)
personnel during servicing and disposal
—— carry out leak checks to the schedule shown in These regulations require the employer to assess the risk to
Table 15.1 their employees with regards to work comfort and welfare
associated with the regular use of display screen equipment
—— maintain records of refrigerants and of servicing (DSE). A useful document for managing DSE risks is
INDG36: Working with Display Screen Equipment (DSE)
—— ensure that only certified competent personnel (HSE, 2013b).
carry out leakage checks.
Note: Evidence of accreditation should be sought from 15.1.13 The Lift Regulations 1997
attending engineers before granting them site access. An
ACRIB SKILLcard is a suitable proof of identity (having a (HMSO, 1997) and Lifting
hologram picture of the individual) and provides written Operations and Lifting
evidence of the engineer’s competencies. Equipment Regulations 1998
(TSO, 1998a)
DEFRA Information Sheet RAC 8: R22 Phase-out (2012)
provides guidance to operators for the phase out of R22
HCFC refrigerants. Since 2010 it has been illegal to use If a lift has the capacity to carry passengers, it should be
virgin HCFCs; only reclaimed gas can be used for treated as a passenger lift (as opposed to a goods-only lift).
maintenance. From 1 January 2015 it will be illegal to use Lifts are subject to the The Lifts Regulations 1997 and the
any HCFC gases to service existing plant. Lifting Operations and Lifting Equipment Regulations
1998 (LOLER). Appropriate and regular maintenance
should be carried out, as well as the thorough statutory
15.1.11 The Regulatory Reform (Fire examinations (normally via an engineering insurance
Safety) Order 2005 (TSO, 2005), company) and that the reports are kept for at least two years
for inspection by health and safety inspectors. A lift log in
Fire Precautions Act 1971 which to record all events, including maintenance and
(HMSO, 1971) and The Fire breakdowns, is recommended. Escalators are not specifically
Precautions (Workplace) required to have statutory examinations but the HSE
guidance recommends that inspections be undertaken to
Regulations 1997 (TSO, 1997b) meet the requirements of the Health and Safety at Work
etc. Act 1974 (TSO, 1974).
Fire safety reforms have been implemented to simplify and
consolidate existing fire safety legislation. The Regulatory
Reform (Fire Safety) Order (TSO, 2005) makes compliance Lifting machinery and lifting equipment must be designed
easier by replacing existing legislation with a single, fire and constructed to comply with The Supply of Machinery
safety regime applying to all workplaces and other non- (Safety) (Amendment) Regulations 2011 (TSO, 2011).
domestic premises. Responsibility for fire safety is placed
on the duty holder for the building, who has responsibility A person carrying out a lift inspection should possess such
to assess the risks of fire and take steps to reduce them. theoretical and practical abilities as to be able to identify
defects and assess their importance. In general in the UK,
In multi-occupancy buildings it is important to have independent bodies of inspection engineers or insurance
communication and co-operation about the fire safety companies carry out inspections. The requirements for
requirements and a ‘fire committee’ may be necessary. All competence are described in the Lifting Operations
employers have a duty of care to carry out or conform with and Lifting Equipment Regulations 1998 (LOLER)
fire risk assessments. They should ensure means of fire (TSO, 1998a).
15.1.14 Lightning protection systems or form based. It is important to note that certain gas
incidents are included in RIDDOR process:
Every building having a lightning protection system —— F2508G1: report of a flammable gas incident
should have records on file including ‘as built’ drawings
and a log book in which all test dates and test results are —— F2508G2: report of a faulty gas fitting.
recorded. Annual checks are recommended (see BS 6651:
1999: Code of Practice for Protection of Structures Against
Lightning (BSI, 1999)). 15.1.18 Other relevant legislation
There is a plethora of legislation and regulation around the
15.1.15 Management of Health and o&m of buildings and people. Sources of relevant updated
information are on the HSE website and most documents
Safety at Work Regulations are freely available to download.
(TSO, 1999c)
Much of the content of these regulations is ‘absolute’ and
requires compliance. These regulations extend the 15.2 Requirements for
employer’s responsibilities as contained in the Health and inspection and testing
Safety at Work etc. Act 1974 (TSO, 1974). Employers are
required to make an assessment of the risks to employees in There is a considerable amount of routine inspection,
the workplace where there is a hazard identified that could maintenance and testing that needs to be recorded in order
cause harm to people (including visitors and members of to comply with statutory and regulatory requirements.
the public, young persons and expectant mothers) and must That is, the records of some maintenance work activities
keep records. If it is found that risks remain high or cannot should be retained for specified periods and may need to be
be eliminated or if precautions are complex, a permit-to- made available to audit or inspection authorities. A
work system should be employed. selection of requirements are given below and a more
comprehensive list is available to download from the
INDG163: Five Steps to Risk Assessment (HSE, 2011) is a CIBSE website (http://www.cibse.org/Knowledge/CIBSE-
useful guidance document. Guide/CIBSE-Guide-M).
15.1.16 The Pressure Systems Safety 15.2.1 Fire safety

Regulations 2000 (TSO, 2000)
The Fire Precautions (Workplace) Regulations 1997 (TSO,
Pressure systems and equipment that contain a ‘relevant 1997b) were made under the European Communities
fluid’ or gas under pressure >0.5 bar above normal (Amendment) Act 1993 (HMSO, 1993b) and the UK Fire
atmospheric pressure can cause death or serious injury Precautions Act 1971 (HMSO, 1971). Responsibility for fire
should the contents be released unintentionally. Each year safety within a building lies with the duty holder, who is
in the UK there are about 150 dangerous occurrences required to make an assessment of the risk from fire and
recorded involving unintentional releases. The aim of The keep a written record of this assessment. The fire service is
Pressure Systems Safety Regulations 2000 (TSO, 2000) is to able to offer advice and assistance in meeting this obligation
prevent risk or injury from the uncontrolled release of and can provide guidance to avoid costly over-provision in
stored energy. this area.
Pressure systems are fully described in HSE Approved The Fire Precautions Act 1971 (HMSO, 1971) requires
Code of Practice L122: Safety of Pressure Systems (HSE, regular testing and inspection of fire safety systems. The
2000). They most commonly include compressed air Act applies to alarm systems, sprinkler installations and
systems and steam systems, but may also include calorifiers fire extinguishers. Smoke extract systems also need to be
and some water boilers (including catering machines) tested regularly to demonstrate their capability. Part 1 of
depending on temperatures and working pressures (bar/ BS 5839: Fire Detection and Alarm Systems For Buildings
litres). Written schemes of examination and testing must be (BSI, 1988–2004) states that it is the responsibility of the
held on-site and are normally drafted by insurance system owner to ensure that the testing company is
companies (‘a competent person’). The regular maintenance accredited to a recognised industry body and has audited
and appropriate testing should be specified in the written quality systems in place, and that the engineer is trained
scheme. It is important to maintain records and it may be and competent on the equipment.
necessary for an engineering insurance inspector to be
present to validate some tests.
15.2.2 Gas safety
15.1.17 The Reporting of Injuries, The Gas Safety (Installation and Use) Regulations 1998
Diseases and Dangerous (TSO, 1998b) were made under the Gas Act 1986 (HMSO,
1986). The Regulations deal with safety, installation and
Occurrences Regulations 2013 use of gas fittings and cover gas storage, distribution, supply
(RIDDOR) (TSO, 2013) and use. Work on gas fittings and storage vessels may only
be carried out by competent persons who hold a current
The duty holder must understand the RIDDOR process certificate. The registration of competent persons is the
and have in place a procedure to manage and prevent responsibility of the Gas Safe Register, the only body
reportable incidents. HSE has a specific system for currently recognised by HSE. The competencies are gained
reportable events; the reports can be online, by telephone through asset-based training programmes and the
competent gas person must be trained and certified to work enforces the Workplace (Health, Safety and Welfare)
on the asset. Regulations 1992 (HMSO, 1992b).
Landlords are required to maintain gas appliances and Guidance is available in B&ES (2013) Guide to Good
their flues in tenanted properties on an annual basis and Practice TM19: Internal Cleanliness of Ventilation Systems
provide tenants with a written record of gas safety. Where and TM26: Hygienic maintenance of office ventilation systems
inspections and supporting record documents are not to (CIBSE, 2000). Kitchen extract fans and duct systems must
the required standard, technicians or their employers can be inspected regularly and thoroughly cleaned of grease to
be taken to court and fined or imprisoned. prevent fire.
There are several recognised techniques for cleaning

15.2.3 Water quality ductwork that are described in the above publications and
are likely to be used by specialist duct cleaners to address
Water quality inspections are based around the need to particular situations.
prevent any risk from legionellae bacteria. There is
considerable guidance available, such as HSE Approved There is a legislative requirement for local exhaust
Code of Practice L8: The Control of Legionella Bacteria in ventilation (LEV) to be in a safe and operational order. LEV
Water Systems (HSE, 2013c), TM13: Minimising the risk of is an extract system for the safety of the operator or
Legionnaires’ disease (CIBSE, 2013) and AG20/2000: Guide building occupants.
to Legionellosis: Risk Assessment (BSRIA, 2000). Clear design
guidance is provided and, again, it is important to
demonstrate that the inspection and testing regime is 15.2.7 Competency of staff
properly managed and the results are being recorded and
acted upon. There is a legislative requirement to undertake When considering competence, it is important to ensure
a water hygiene risk assessment and review that assessment that the requirements are in proportion to the risk
on a regular basis. The maintenance, inspection and testing associated with the inadequate competence. In some larger
regime is specified in the risk assessment and specific to the organisations this may be formal and cover areas of high
system. risk related to both safety and business.
Competency is stated as a requirement in many regulations,

15.2.4 Lifts and lifting equipment standards and codes of practice. The definition of
competency in most of these documents is not specific, but
The need for in-service inspection of lifts and escalators is uses the following criteria.
essential, as discussed in section 15.1.13, and property
owners and operators need to understand the difference —— Knowledge and understanding of the working
between maintenance and inspections. Maintenance is the practices used in the organisation for which they
on-going servicing (i.e. lubrication, cleaning and work—training and qualifications that ensure
adjustment) and is completed by the lift manufacturer or a acquisition of the necessary knowledge of the field
lift specialist accredited by a national lift inspection body. for the tasks that they are required to perform.
—— Experience showing adequate knowledge of the
The Safety Assessment Federation (SAFed) has published hazards and failures of the equipment for which
guidelines on the supplementary tests of in-service lifts they are responsible.
(SAFed, 2006), which are amended regularly to
accommodate changes or dangers in the industry. —— Other qualities appropriate to their duties, such as
the ability to communicate effectively with their
LOLER requires the planning, supervision and execution peers, any staff working under their supervision
of lifting operations to ensure safety, the safe use of lifting and supervisors. An appreciation of their own
plant and periodic thorough examination by competent limitations and constraints, whether of knowledge,
persons. experience, facilities, resources etc and a willingness
to point these out.
15.2.5 Work equipment Some companies are defined as competent by association or

audit from an industry body or accreditation company. If
The Provision and Use of Work Equipment Regulations this area of work is important to your business, it is
1998 (TSO, 1998c) require the nature and degree of risk important that the process of accreditation is acceptable for
associated with equipment and its use, and the means the level of risk to the business. Reviewing the criteria for
available to reduce those risks, to be identified by a accreditation of high-risk companies may identify that they
competent person. Equipment owners and operators are are not audited, which could pose an additional risk.
required to determine the frequency of inspection.
Some accreditation bodies are mandatory, such as Gas Safe
Register and REFCOM. Others demonstrate that a
15.2.6 Ventilation duct hygiene and company has recognised industry processes, which may or
local exhaust ventilation may not be audited, such as ECA, NICEIC, OFTEC, FIA,
BAFE, etc.
Approved Code of Practice L24: Workplace Health, Safety
and Welfare (HSE, 1996) requires workplace equipment to Where tasks are identified to be a significant risk and
be inspected, maintained or cleaned to prevent ill health or proportionally relevant to the business, it is important that
danger to employees. Expanding on Section 2 of Health the point of failure is identified and the competency
and Safety at Work etc. Act 1974 (TSO, 1974) the guidance assessed to address that point.
References HSE (1996) Workplace (Health, Safety and Welfare) Regulations 1992 (as
amended by the Quarries Miscellaneous Health and Safety Provisions
Regulations 1995) Approved Code of Practice L24: Workplace Health,
B&ES (2013) Guide to Good Practice TM19: Internal Cleanliness of Safety and Welfare (Sudbury: HSE Books)
Ventilation Systems (London: B&ES)
HSE (1997) HSG168: Fire Safety in Construction Work (Sudbury: HSE Books)
BSI (1988–2004) BS 5839: Fire detection and alarm systems for buildings (6
parts) (London: BSI) HSE (2000) HSE Approved Code of Practice L122: Safety of Pressure
Systems (Sudbury: HSE Books)
BSI (1999) BS 6651: 1999: Code of practice for protection of structures against
lightning (London: BSI) HSE (2007) HSR25: Memorandum of Guidance on the Electricity at Work
Regulations 1989 (Sudbury: HSE Books)
BSI (2008, updated 2011) BS 7671: 2001: Requirements for electrical
installations. IEE Wiring Regulations (16th edition) (London: BSI) HSE (2008) HSG210: Asbestos Essentials: A Task Manual for Building,
Maintenance and Allied Trades of Non-licensed Asbestos Work (Sudbury: HSE
BSI (2008) BS 9999:2008: Code of practice for fire safety in the design, Books)
management and use of buildings (London: BSI)
HSE (2011) INDG163: Five Steps to Risk Assessment (Sudbury: HSE Books)
BSRIA (2000) AG20/2000: Guide to Legionellosis: Risk Assessment
(Bracknell: BSRIA) HSE (2012a) INDG223: Managing Asbestos in Buildings: A Brief Guide
(Sudbury: HSE Books)
CIBSE (2000) TM26: Hygienic maintenance of office ventilation systems
(London: CIBSE) HSE (2012b) INDG236: Maintaining Portable Electric Equipment in Low-
risk Environments (Sudbury: HSE Books)
CIBSE (2013) TM13: Minimising the risk of Legionnaires’ disease (London:
CIBSE) HSE (2013a) HSG85: Electricity at Work: Safe Working Practices (Sudbury:
HSE Books)
CIBSE (2010) CIBSE Guide E: Fire engineering (London: CIBSE)
HSE (2013b) INDG36: Working with Display Screen Equipment (DSE)
Commission for the European Communities (2003) ‘Directive 2002/91/EC (Sudbury: HSE Books)
of the European Parliament and of the Council of 16 December 2002 on
the energy performance of buildings (‘The Energy Performance of HSE (2013c) HSE Approved Code of Practice L8: The Control of Legionella
Buildings Directive’)’ Official Journal of the European Communities L1/65 Bacteria in Water Systems (Sudbury: HSE Books)
(Brussels: Commission for the European Communities)
IET (2001) Code of Practice for In-service Inspection and Testing of Electrical
Commission for the European Communities (2006) ‘Regulation (EC) No Equipment (London: IET)
842/2006 of the European Parliament and of the Council of 17 May 2006
on certain fluorinated greenhouse gases’ Official Journal of the European SAFed (2006) Guidelines on the Supplementary Tests of In-service Lifts
Union L 161/1 (Brussels: Commission for the European Communities) (London: SAFed)
DEFRA (2012) Information Sheet RAC 8: R22 Phase-out (London: TSO) TSO (1974) Health and Safety at Work etc. Act 1974 (London: TSO)
HM Government (2006) The Building Regulations 2000 Approved TSO (1990) Environmental Protection Act 1990 (London: TSO)
Document B: Fire Safety (London: HM Government)
TSO (1996) Construction (Health, Safety and Welfare) Regulations
HMSO (1971) Fire Precautions Act 1971 (London: HMSO) (London: TSO)
TSO (1997a) Confined Spaces Regulations 1997 (London: TSO)

HMSO (1984) Building Act 1984 (London: HMSO)
TSO (1997b) The Fire Precautions (Workplace) Regulations 1997

HMSO (1986) Gas Act 1986 (London: HMSO)
(London: TSO)
HMSO (1989a) Construction (Head Protection) Regulations 1989

TSO (1998a) Lifting Operations and Lifting Equipment Regulations 1998
(London: HMSO)
(London: TSO)
HMSO (1989b) Electricity at Work Regulations 1989 (London: HMSO) TSO (1998b) The Gas Safety (Installation and Use) Regulations 1998
(London: TSO)
HMSO (1992a) The Health and Safety (Display Screen Equipment)
Regulations 1992 (London: HMSO) TSO (1998c) The Provision and Use of Work Equipment Regulations
1998 (London: TSO)
HMSO (1992b) Workplace (Health, Safety and Welfare) Regulations 1992
(London: HMSO) TSO (1999a) Pollution Prevention and Control Act 1999 (London: TSO)
HMSO (1993a) Clean Air Act 1993 (London: HMSO) TSO (1999b) Fire Safety: An Employer’s Guide (London: TSO)
HMSO (1993b) European Communities (Amendment) Act 1993 (London: TSO (1999c) Management of Health and Safety at Work Regulations 1999
HMSO) (London: TSO)
HMSO (1994) The Environmental Protection (Non-refillable Refrigerant TSO (2000) The Pressure Systems Safety Regulations 2000 (London: TSO)
Containers) Regulations 1994 (London: HMSO)
TSO (2002a) Control of Substances Hazardous to Health Regulations
HMSO (1997) The Lifts Regulations 1997 (London: HMSO) (London: TSO)
TSO (2002b) Dangerous Substances and Explosive Atmosphere TSO (2011) The Supply of Machinery (Safety) (Amendment) Regulations
Regulations (London: TSO) 2011 (London: TSO)
TSO (2005) The Regulatory Reform (Fire Safety) Order 2005 (London: TSO)
TSO (2012) The Control of Asbestos Regulations 2012 (London: TSO)
TSO (2007) The Construction (Design and Management) Regulations
2007 Statutory Instrument 2007 No. 320 (London: TSO)
TSO (2013) The Reporting of Injuries, Diseases and Dangerous
TSO (2010) The Air Quality Standards Regulations 2010 (London: TSO) Occurrences Regulations 2013 (RIDDOR) (London: TSO)
Health and comfort 16-1
16 Health and comfort
16.1 Indoor air quality Summary
16.2 Thermal comfort This chapter identifies various factors that are included in O&M responsibilities and can exert an
influences influence on the health, safety and wellbeing of the occupants of a building.
16.3 Air distribution systems The influence of air quality is discussed and the monitoring of air quality is explained, with key
contaminant influences described in detail. Air quality standards relating to health and safety are
16.4 Comfort during
outlined.
modifications to existing
buildings Thermal comfort influences are covered, as well as the relationship between activity rates, clothing
levels and ambient conditions.
16.5 Recommended
assessment schedules The need for air distribution systems to supply fresh or purified air to work places is recognised,
as well as the importance of duct and system cleanliness. Assessment of the potential effects of
References
refurbishment works on occupants’ wellbeing is examined with factors such as noise, airborne
Bibliography contaminants and ventilation considered. Assessment schedules for air quality, air distribution
installations and thermal comfort are recommended and outlined.
The progressive introduction of regulations to support the works with others to deliver its policies in
Health and Safety at Work etc. Act 1974 (TSO, 1974) has environmental protection and pollution control.
led to increasing awareness of factors affecting the health, Poor outdoor air quality can be a contributing
safety and welfare of the workforce. As well as the factor to health problems, however DEFRA is not
requirement to consider health and safety in operational responsible for policies on indoor air quality and
procedures, a healthy environment must be provided in the recommends obtaining more information on indoor
workplace. Air quality is prominent in these considerations. air quality related matters from the HPA.
As well as the potential for contaminants to be created by —— Health Protection Agency (HPA) is an independent
working procedures, pollutants from the ambient UK organisation that was set up by the Government
environment can also be drawn into the workplace by in 2003 to protect the public from threats to their
mechanical or natural ventilation, which needs to be health from infectious diseases and environmental
managed. The Construction (Design and Management) hazards. It does this by providing advice and
Regulations 2007 (TSO, 2007) requires designers and information to the general public, health
operators to think about user comfort with the requirement professionals (such as doctors and nurses) and
to satisfy the Workplace (Health, Safety and Welfare) national and local Government. From April 2013
Regulations 1992 (HMSO, 1992), which includes the the HPA became part of Public Health England.
internal environment. HPA is an observer on COMEAP.
—— Committee on the Medical Effects of Air Pollutants
Thermal comfort requirements under statutory obligations (COMEAP) is an independent advisory committee
are modest, but productivity can suffer when temperature that provides expert advice to UK Government
extremes are encountered. health departments on the effects on health of both
outdoor and indoor air pollutants. It produced
Specific regulations cover the matter of cleanliness in Guidance on the Effects on Health of Indoor Air
ventilation systems, in addition to the need for a supply of Pollutants (COMEAP, 2004).
wholesome air to the workplace. As well as meeting these
requirements, it is important for management to keep some
form of written record of the measures taken.
The UK-based organisations concerned with setting policy

16.1 Indoor air quality
and enforcing air pollution requirements are listed here.
Air quality within a building is influenced by external and
—— Health and Safety Executive (HSE) is the national internal factors. The ability to maintain satisfactory air
independent watchdog for work-related health, quality depends on identifying the factors that affect air
safety and illness. It is an independent regulator quality in a particular application, controlling or eliminating
and acts in the public interest to reduce work- detrimental factors and promoting beneficial ones.
related death and serious injury across UK
workplaces. It should be the first resort for guidance External factors include:
on indoor air pollution.
—— vehicle traffic, including parking facilities
—— Department for Environment, Food and Rural
Affairs (DEFRA) makes policy and legislation and —— building geography: urban or rural
—— neighbouring land use: industrial or commercial. contaminant sources, such as generator flues, car-park
facilities and cooling towers, should be monitored to
Internal factors can include: determine any effects on the quality of ventilation air intake.
—— occupant-related effects
Petroleum or other fossil-fuel-derived combustion products
—— effects of furnishing equipment and building are the most common cause of deteriorating external air
materials. quality. Any vehicle or generator fumes may be sampled by
an air quality consultant to determine whether infringement
The primary methods of controlling air quality are: of World Health Organization (WHO) or HSE guidelines
has occurred. However, these pollutants are likely to cause
—— elimination: removing potential contaminants
an odour nuisance within a building before any one
from the workplace
chemical component reaches unacceptable levels.
—— substitution: replacing materials with alternatives
that are less harmful Where dilution to undetectable levels is not possible
—— dilution: the reduction in concentration of harmful because of the siting of fresh air intakes or the need to
contaminants through the introduction of less maintain minimum fresh air supply rates, gas phase or
contaminated or uncontaminated air. absorption filtration should be applied to remove noxious
fumes. CO cannot be removed by activated carbon filters,
but most other harmful gases can.
16.1.1 External factors
Indoor contaminants cannot be monitored exhaustively
External pollutants may be diluted by locating fresh air without incurring excessive costs due to the low
intakes away from pollutant sources. This normally concentrations encountered and the large number of
involves siting ventilation air intakes at roof level, away contributory substances. It is usual to monitor surrogate
from chimney flues, soil vents, standing water and cooling contaminants and, because of their association with other
towers. Air ventilation intakes at ground-floor level should potentially harmful contaminants, arrive at an indication
be avoided wherever possible. of relative air quality. Results may then be compared with
similar property findings and WHO or HSE standards to
Where a ventilation air intake is unavoidably close to determine what standards are reasonably achievable,
pollution sources, control measures must be implemented bearing in mind the nature of work, occupancy levels and
to remove or reduce contaminants to acceptable levels; ventilation system capabilities.
TM21: Minimising pollution at air intakes (CIBSE, 1999)
gives detailed guidance. The following paragraphs cover the typical contaminants
assessed.
16.1.2 Internal factors

16.1.3.1 Respired CO2
All three primary methods of control are applicable to
indoor pollution, i.e: Ventilation is largely supplied to dilute body odour, which
is influenced by occupancy levels and the metabolic activity
—— eliminating contaminants by preventing the use of rate of occupants (see Chapter 1 of CIBSE Guide A:
volatile solvents Environmental design (CIBSE, 2006a)). Respired CO2
—— substituting where possible with water-based paints provides a useful indication of whether adequate fresh air is
being supplied. Obviously, this can be determined only
—— diluting dust and odours through the introduction under normal occupancy conditions. Where occupancy
of fresh, filtered air. levels are low, the room air volume itself may be sufficient
to dilute respired CO2. Under such conditions, monitoring
Ventilation systems with terminal re-circulatory facilities may become an unreliable measure of odour dilution and
may act as secondary contaminant sources, as internally more subjective methods may need to be employed.
generated dust and microbes will, unless removed by Analysis is normally carried out using colorimetric gas
regular filter replacement and cleaning, accumulate and be detection tubes or gas cells.
ejected back into the workplace.
Guidance on indoor air quality is provided in Chapter 1 of 16.1.3.2 Airborne particles

CIBSE Guide A: Environmental design (CIBSE, 2006a) and
TM40: Health issues in building services (CIBSE, 2006b). Dust arises from human activity, deterioration of building
Assessment of indoor air quality relies on the experience of and furnishing fabric, and work practices. Particles may be
engineers, building managers and air quality consultants to drawn in from the external environment by the ventilation
determine whether satisfactory ventilation rates are system or generated in the workplace. The majority of dust
maintained, occupancy levels are within guidelines and is harmless to healthy adults, although some particles may
housekeeping practices are effective. carry harmful chemicals arising from fuel combustion or
pathogenic microorganisms shed by occupants. What
proportion of dust presents a particular hazard cannot
16.1.3 Air quality monitoring readily be determined. The total dust burden is measured,
therefore, and assumptions made that the greater the dust
External contaminants may be assessed through visual burden, the poorer the air hygiene and the greater the
inspection of fresh air intakes and their proximity to likelihood that harmful contaminants are present. Analysis
pollution sources. Local pollution data can be obtained is normally carried out using a laser particle counter or by
from local authority monitoring stations. Specific gravimetric (filtration) methods.
16.1.3.3 Noxious gases Comfort depends on occupant activity, clothing and

ambient conditions, including air temperature, air
Noxious gases may be introduced from outside the building movement and radiant heat sources.
through the ventilation system or generated within the
workplace. Typical gases sampled for include ozone (O3), When correctly designed, the building can maintain
formaldehyde (CH2O), CO2, oxides of nitrogen and sulphur comfortable and stable temperatures within a building over
dioxide (SO2). the course of a normal day. Both natural ventilation and
facade engineering take advantage of the natural buoyancy
Volatile organic compounds (VOCs) are often sampled as of warmer air to rise to heat, cool and ventilate a building.
part of detailed building investigations. They are unlikely In the case of natural ventilation, there is no or minimal
to be present in significant concentrations; sampling to mechanical assistance and energy input.
establish their presence and concentration will generate
data to allow an informed decision to be taken to reduce For buildings to achieve a high level of energy efficiency
them if they are present. and create a comfortable environment for occupants, there
must be appropriate dialogue between architects, facade
engineers, building services engineers, structural engineers,
16.1.3.4 Microorganisms service providers and the building operators.
Bacteria and fungi are always present in the indoor Part of comfort is created by protection from solar gain and
environment but, in most cases, not at levels to be excessive light and glare that comes from increased use of
significantly detrimental to healthy adults. Microorganism floor to ceiling glazing. Techniques include brise soleil
concentrations are largely a result of occupancy levels and (shading to reduce glare and overheating), anti-glare film
environment hygiene practices within the occupied and blinds (both venetian and vertical). Films, including
environment. Temperature, humidity and fresh air anti-bomb shatter protection film, do deteriorate and need
ventilation rates affect their proliferation, and satisfactory replacing, which is neither cheap nor easy and blinds are
control of these components should ensure that microbe often damaged easily.
levels are not detrimental to occupants.
When natural ventilation cannot control the environment,
Airborne microorganisms may be sampled by drawing air systems such as air conditioning are introduced. The aim
across a growth medium followed by laboratory incubation of air conditioning is to control the thermal environment,
and analysis to allow enumeration and species identification. largely through simple adjustments to air temperatures.
The method by which air temperature is adjusted, and the
effect that this has on overall comfort control, will depend
16.1.4 Air quality standards on the form of air conditioning employed and its ability
to provide a uniform thermal environment. Increased
For the purpose of health, safety and welfare, exposure, to cooling demand may be met by increased cool air supply,
any contaminant known to be detrimental to health or to which may lead to increased air movement and discomfort
cause a nuisance such that normal work activities cannot be from draughts. Alternatively, the demand for greater
pursued, must be eliminated regardless of whether or not heating may affect relative humidity, resulting in
any air quality guideline has been breached. Exceptions to detrimental physiological symptoms unless humidity
this are where exposure to pollutants is unavoidable because control is put in place.
they form a normal part of work practices, in which case
appropriate personal protection will be required. Heating, ventilation and air conditioning systems are
designed and installed to meet predicted thermal loads and
occupancy patterns for a particular building design. The
In the UK, the HSE publishes occupational exposure
ability of the system to maintain comfort is assessed at the
standards and maximum exposure limits for harmful
commissioning stage by recording cooling and heating
substances in EH40: Occupational Exposure Limits (HSE,
temperature and air volume flow rates during system
revised annually). These should be consulted in the event
regulating procedures. Air movement in the conditioned
that elimination is not possible to ensure that control
space may also be measured at this stage. Confirmation that
measures meet the stated criteria. WHO publishes air
design assumptions are adequate cannot be given until
quality guidelines (WHO, 2000) based on observable health
actual occupancy levels are realised and the full range of
effects and includes a margin of protection for more
weather conditions experienced.
sensitive individuals.
Occasionally, heating and cooling systems do not work as
expected; this can be due to one or more of these problems:
16.2 Thermal comfort —— inappropriate design
influences —— poor installation
—— incomplete commissioning
The amount of heat generated within buildings is higher
than in the past due to increases in building envelope air —— poor operation.
tightness, occupant density and the amount of electrical
equipment, especially personal computers. Consequently, When both systems run, and ‘fight’ each other, this leads to
internal comfort conditions have become more difficult to considerable discomfort and waste of energy. It is worthwhile
achieve and control. Poor thermal control is largely reviewing the systems regularly and carrying out ‘continuous
responsible for the discomfort of occupants, both directly commissioning’ to ensure performance is optimised (see
and through increased perception of poor air quality. section 7.8)
16.2.1 Pre-occupancy environmental condensate drain trays or carry-over water on duct surfaces,
are prevented or controlled. Minimum standards of
monitoring cleanliness should be applied based on visual inspection
and scheduled maintenance periods. Such routine
Time constraints often preclude a comprehensive thermal
inspections will be facilitated if the items to be inspected
assessment of the building environment at the
are located in easily accessible areas.
pre-occupancy stage; factors such as normal occupancy
conditions, thermal load and weather conditions cannot be
simulated readily to obtain the operational performance of As standards of cleanliness are partly subjective, some
a building throughout a complete annual cycle. Instead, components should be cleaned as a matter of routine. These
commissioning and its resulting data have to be relied on at components include air intake equipment prior to filtration,
this stage, so adequate time must be allowed for the post-filter chambers, condensate trays, cooling coils during
commissioning process. the cooling period and humidification equipment during
the heating period.
It must be assumed that any alterations to the intended use
of the building will have taken due account of the original Filter condition provides the most convenient indicator of
design capabilities of the structure and its engineering other condition-related maintenance requirements, and
services. However, for older buildings, the design intent full cleaning of all AHU components should be undertaken
may not always be available and may have to be reassessed. at least once a year to return these to optimum hygienic
condition. Unexpected contamination should be
investigated to establish its source and whether it constitutes
16.2.2 Post-occupancy environmental a risk to occupants.
monitoring
Risk assessments should be prepared for each AHU to
As part of routine maintenance, air temperature and relative identify specific maintenance requirements and to confirm
humidity will be monitored, through either a building that adequate air filtration is applied, as determined by
management system (bms) or manual measurements. minimum filter standards and air source evaluation. The
However, this does not take into consideration the effects of risk assessments should take account of any harmful
air movement, radiant heat sources and personal preferences. deposits that may build up in the system.
The two primary means of determining whether satisfactory The effectiveness of on-going maintenance should be
comfort is maintained are physical monitoring and personal assessed periodically and validated independently to
evaluation by maintenance personnel, independent confirm that satisfactory standards are being achieved.
consultants and building occupants. A comprehensive
assessment can be carried out in accordance with ANSI/
ASHRAE Standard 55-2010 (ASHRAE, 2010) or equivalent. 16.3.1 Air distribution ductwork
Where comfort control has been brought into question,
experience, observations and communication with
occupants to establish their views are all necessary to carry New ductwork needs to be stored and installed in
out a preliminary assessment. accordance with current standards of good practice,
particularly to ensure the prevention of contamination.
The factors that affect comfort and the effectiveness of the Independent inspections should be undertaken during
air conditioning systems, together with the way they installation and at the final inspection for deficiencies and
interact and how they can be manipulated, must be defects. At the time of installation, adequate access should
understood before any meaningful assessment of be provided to facilitate inspection of sensors and fire
environmental monitoring can be carried out. curtains, and to monitor cleanliness.
It is possible that a building may meet all the standards for The handover of clean ductwork and high standards of on-
temperature, humidity and air quality, but still be perceived going maintenance should limit subsequent contamination
as uncomfortable due to draughts, so the air flow patterns of duct surfaces. Representative areas of ductwork may be
will need to be examined using thermal comfort analysers. examined. For an office type of working environment, this
would typically be on a five-yearly basis. Other ductwork
systems, such as kitchen extract where a fire risk applies
and laboratory/hospital supplies where cleanliness
16.3 Air distribution systems standards are even more critical, require more frequent
examination. Where distribution systems are extensive,
Air handling units (AHUs) should be operated in accordance separate areas may be examined more frequently, providing
with The Workplace (Health, Safety and Welfare) an indication of the condition of similar duct runs; see also
Regulations 1992 (HMSO, 1992), pursuant to the provision B&ES Guide to Good Practice TR19: Cleanliness of
of a suitable volume of fresh or purified air. This requires Ventilation Systems (B&ES, 2014), Catering Information
that the highest appropriate standards of filtration be Sheet 10: Ventilation of Kitchens in Catering Establishments
applied and that on-going maintenance be based on (HSE, 2007) and Catering Sheet 12: Maintenance Priorities
reasonably practicable planned preventative measures, in Catering (HSE, 2000).
including hygiene.
The cleanliness of supply ductwork systems is more serious
AHUs must be routinely inspected to ensure that than that of extract duct systems because of its more direct
deteriorating components, such as spent filters, are replaced association with occupants; nevertheless, extract duct
as necessary and that other conditions likely to affect air systems should be kept under review especially where air
quality, for example, water pooling within chambers, recirculation is operated.
Distribution ductwork systems with an unknown or What concentrations are likely to arise? Who will be
questionable maintenance history may be affected by more affected?
significant contamination. More importantly, ducts or
plenums may be of an age where the materials contain
asbestos and are now deteriorating. The passage of supply 16.4.3 Personal protective equipment
air across damaged or unsealed asbestos tiles presents an
unacceptable hazard and must be dealt with as a priority Assess the type of protection necessary to prevent nuisance
task. or adverse health effects. Office modifications are likely to
generate dust, which may constitute a nuisance to
For most applications, the ratio of air volume flow rate to maintenance staff and building occupants in the locality of
the exposed internal surface area of the duct makes it the works; additionally, some of the dust released may
unlikely that HSE exposure limits for airborne asbestos contain recognised hazardous materials (e.g. glass fibre).
fibres (see EH40: Occupational Exposure Limits (HSE, revised Any activity that generates dust will require the protection
annually)) will be exceeded. However, an avoidable hazard of maintenance staff, office occupants and equipment,
remains and a failure to take reasonable control measures is including ventilation systems.
likely to be poorly received by building occupants.
Dust, in itself, may cause irritation while associated
microorganisms may be released in high concentrations,
particularly during the renovation of old structures. Vapour
16.4 Comfort during migration from construction materials may occur during
modifications to existing the work and for some time after it is completed. Adhesives
and paints used in construction will have been assessed as
buildings safe for use, although most will specify the need for
ventilation to control concentrations and dilute odours.
An assessment of any major modifications and refurbishment Precautions should be taken to protect construction
should be undertaken to determine the effect on building workers and building occupants from inhalation, ingestion
occupants and maintenance staff. The following headings and skin contact with potentially hazardous materials.
indicate the areas that should be addressed. Protective measures can include orinasal masks that cover
the mouth and the nose, gloves and dilution by supply air
ventilation or local exhaust ventilation.
16.4.1 Noise nuisance
Enclosures should be erected around the work area or at
Can normal office work continue without interruption? If access routes to contain contaminants. Coveralls and eye
not, what precautions are necessary? Consider the following and respiratory protection should be provided for anyone
options: working within the enclosure. Gloves should be supplied to
—— out-of-hours working prevent skin irritation, particularly for eczema sufferers.
—— acoustic barriers Contaminant levels should be monitored within and local

—— relocation of local office staff for the duration of to the enclosure to confirm effective control. If control
work levels are exceeded, precautions should be modified.
—— ear defenders for maintenance staff.

16.4.4 Ventilation
Monitor noise levels during the works and record sound
pressure levels to confirm that preconstruction assumptions Ventilation systems offer a means of controlling
were correct. If noise levels exceed the control limits, review contaminants, including collection and removal. Measures
precautions and modify as necessary. should be taken to ensure that adequate fresh or purified air
is provided to dilute generated contaminants. Recirculating
Account also needs to be taken of the noise that mechanical systems should be isolated within the work zone to prevent
plant can make as part of an assessment in selecting the distribution of contaminants to other occupied building
plant for a building. Noise is also a health and safety in areas. Extract diffusers should be taped shut and terminal
design issue. Further advice is available from the HSE recirculatory systems isolated unless required for
regarding The Control of Noise at Work Regulations 2005 ventilation and comfort control. Terminal equipment
(TSO, 2005). should be examined before starting the works and after
completion to assess the need for filter replacement and
unit cleaning.
16.4.2 Airborne contaminants
Where extract ventilation has been isolated, local exhaust
Which of the following contaminants are likely to be ventilation may be required to prevent pressurisation of the
released into the air? What precautions are necessary to work area. Exhaust ventilation will also help consequent
protect health, safety and welfare? contaminant dilution. Contaminants should not be
—— particulates exhausted into the atmosphere without an assessment of
the discharge point to confirm that it is safe to do so.
—— fibres
—— gases and vapours Treatment (filtration) of the exhaust may be necessary
depending on property boundaries, the discharge point and
—— microbes height and the prevailing wind direction (see CIBSE, 1999).
16.4.5 Who should carry out safety 16.5.3 Thermal comfort

assessments?
Initial assessment cannot determine the effect of occupants
and equipment until normal occupancy conditions are
For the majority of refurbishments and modifications, realised. Likewise, the effect of solar gain and weather
familiarity with the hazards through day-to-day experience conditions cannot be assessed by carrying out a one-off
should be sufficient to identify the effect of work on the spot check; a thorough validation exercise would be
building environment and occupants and to recommend required.
the appropriate control measures and precautions.
Monitoring the effectiveness of precautionary measures Once the building is occupied, building maintenance
may require the assistance of a competent person, such as personnel should record air temperatures and relative
an occupational hygienist or air quality consultant to humidity levels as part of on-going routine assessments.
provide independent assurance that the health, safety and Occupants’ comments as to satisfaction with working
welfare of occupants is protected. It is important that his/ conditions should be monitored where appropriate and
her recommendations is acted upon. compared with bms data and manual temperature readings
to ascertain the likely cause of any complaints.
16.4.6 Notification and record Periodic independent assessment is recommended to

keeping validate routine monitoring. Where dissatisfaction cannot
be readily attributed to monitored conditions,
assessment of the thermal environment should be
Notification of construction work should be made in undertaken. This should include a visual assessment of the
writing to building and office managers. Records of the workspace, together with measurement of air speed,
safety assessments, together with noise and air quality draught, radiant heat gain, air temperature and humidity.
analysis results, should be kept within an on-site building Where occupant complaints are concentrated within one
log identifying assumptions made and precautions section or department, it may be appropriate to review the
implemented. system design.
Routine monitoring at an appropriate frequency should be

carried out to confirm satisfactory sensor calibration.
16.5 Recommended Independent validation of control sensor settings may be
carried out to identify discrepancies. Special investigations
assessment schedules should be carried out in response to an exceptional level of
complaints (e.g. in excess of 15–20 per cent of occupants).
16.5.1 Air quality monitoring
Initial assessments are recommended at handover, prior to References

occupation, to confirm that satisfactory standards of air
quality have been achieved and that system ventilation ASHRAE (2010) ANSI/ASHRAE Standard 55-2010: Thermal
Environmental Conditions for Human Occupancy (Atlanta, GA: ASHRAE)
operation is unlikely to be detrimental to the health of
occupants.
B&ES (2014) Guide to Good Practice TR19: Internal Cleanliness of
Ventilation Systems (London: B&ES Publications)
On-going assessments are carried out under normal
occupancy conditions and should be carried out within one CIBSE (1999) TM21: Minimising pollution at air intakes (London: CIBSE)
year of handover to confirm that satisfactory office and air
distribution system hygiene standards are being maintained. CIBSE (2006a) CIBSE Guide A: Environmental design (London: CIBSE)
CIBSE (2006b) TM40: Health issues in building services (London: CIBSE)

Routine monitoring should be carried out on the basis of
initial assessments. It is recommended that air quality COMEAP (2004) Guidance on the Effects on Health of Indoor Air Pollutants
indicators be routinely reviewed to assess seasonal (London: COMEAP)
variations, confirm the validity of initial assessments and
demonstrate a commitment to the maintenance of HMSO (1992) Workplace (Health, Safety and Welfare) Regulations 1992
satisfactory working conditions. Statutory Instruments 1992 No. 3004 (London: HMSO)
HSE (2000) Catering Sheet 12: Maintenance Priorities in Catering (Sudbury:

HSE)
16.5.2 Air distribution system
HSE (2007) Catering Information Sheet 10: Ventilation of Kitchens in
Installation proposals should be reviewed to confirm that Catering Establishments (Sudbury: HSE)
adequate access has been allowed to facilitate maintenance
and inspection. An intermediate inspection may be carried HSE (revised annually) EH40: Occupational Exposure Limits (Sudbury:
out at first fit and a final inspection as part of defect and HSE)
deficiency inspections.
TSO (1974) Health and Safety at Work etc. Act 1974 (London: TSO)
On-going assessments are recommended on an annual basis TSO (2005) The Control of Noise at Work Regulations 2005 Statutory
to validate the efficacy of planned preventative maintenance. Instruments 2005 No. 1643 (London: TSO)
TSO (2007) The Construction (Design and Management) Regulations Harrington JM, Gill F, Aw T-C and Gardiner K (1998) Occupational
2007 Statutory Instrument 2007 No. 320 (London: TSO) Health (Oxford: Blackwell Science Publications)
WHO (2000) Air Quality Guidelines for Europe (2nd edition) (Brussels: HSE (1995) HSG132: How to Deal with Sick Building Syndrome (Sudbury:
WHO) HSE Books)
HSE (1996) Workplace (Health, Safety and Welfare) Regulations 1992 (as
amended by the Quarries Miscellaneous Health and Safety Provisions
Bibliography Regulations 1995) Approved Code of Practice L24: Workplace Health,
Safety and Welfare (Sudbury: HSE Books)
BSI (2004) BS EN ISO 14001: 2004: Environmental Management Systems:
Requirements with Guidance for Use (London: BSI) HSE (2000) HSG202: General Ventilation in the Workplace: Guidance for
Employers (Sudbury: HSE Books)
BSI (2004) BS ISO 14004: 2004: Environmental Management Systems:
General Guidelines on Principles, Systems and Supporting Techniques (London: Loyd SR (1997) FMS1: Guidance and the Standard Specification for
BSI) Ventilation Hygiene (Bracknell: BSRIA)
BSI (2011) BS EN ISO 19011: 2011: Guidelines for Quality and Environmental TSO (1999) Control of Substances Hazardous to Health Regulations 1999
Management Systems Auditing (London: BSI) Statutory Instruments 1999 No. 2667 (London: TSO)
EPA (1994) 402-R-94-007: Indoor Air Pollution: An Introduction for Health TSO (2000) Management of Health and Safety at Work Regulations 1999
Professionals (Washington DC: US Environmental Protection Agency) HSC L21: Approved Code of Practice and Guidance (Sudbury: HSE Books)
Hansen D (1994) The Work Environment: Indoor Health Hazards (volume 3) TSO (2006) The Control of Asbestos Regulations 2006 Statutory
(London: Taylor & Francis/CRC Press) Instruments 2006 No. 2739 (London: TSO)
Training 17-1
17 Training
17.1 Management Summary
17.2 Competency
An organisation’s personnel are recognised to be its greatest asset, and staff training needs to be
17.3 Training policy statement planned and managed. The achievement and demonstration of individual and corporate competency
17.4 Identification of training is discussed in this chapter, together with the need to have a formal training policy.
needs
Reference is made to the importance of identifying particular training requirements and more general
17.5 Training plan training needs such as coverage of health, safety and quality management. An organisational plan and
17.6 Means of provision a dedicated budget are proposed for the training activity.
17.7 Certification Means of providing training are highlighted and the importance of a suitable training environment
17.8 Evaluation is identified.
17.9 Records The need to ‘confirm’ training by some form of certification in order to evaluate the results and to
References keep records of training individual personnel is identified.
The greatest asset of any organisation is its employees and highlight training needs. They must then plan and initiate
developing their skills is a sensible investment. Employees the training, which may be from in-house resources or by a
need to replace or refresh existing skills throughout their specialist training provider. The selection of an outside
careers in order to maintain their market value. In turn, specialist may require a small-scale trial to assess the
well-trained and committed staff are better able to suitability, effectiveness and cost. Once a satisfactory source
contribute to the future success of the organisation. or method has been identified, the training should be
implemented. There is then an on-going role in evaluating
Training is a management tool that enables a company to the effectiveness of the training. The cycle is one of learning
attract and select the best qualified personnel and retain and on-going improvement. What forms of training do and
them. A prospective employer that is able to demonstrate do not work for that organisation are learnt systematically
clear career opportunities and objectives, and that promotes through an iterative process.
development training, will always be in demand.
Emphasis on short-term profits must be countered by
A commitment to training is essential to the success of an demonstrating the effectiveness of training and the benefits
organisation. Training should be a strategic priority in the to the organisation.
management and future development of businesses.
Training is a long-term investment but is an area that has
traditionally suffered from cost cutting in many
organisations seeking higher levels of profit. Unreserved 17.2 Competency
commitment from senior management is essential to
developing a culture where training is properly valued Within the building services industry there is an increasing
throughout an organisation. The B&ES service providers’ requirement for designers, engineers, technicians and
association includes a requirement for a training policy to tradesmen to be able to demonstrate and prove competence.
be in place, supported by records of employees’ skills It is particularly important that those involved in an
and competencies as part of their membership assessment operation or process that is inherently hazardous are
scheme. competent to perform the required tasks safely. The
maintenance function is also responsible for the provision
Many professional institutions, including CIBSE, require and management of internal comfort conditions for the
their members to keep themselves up to date in their building occupants and the business critical engineering
technical, professional and managerial knowledge by support services that allow the business to function.
undergoing continuous professional development (CPD).
Employers have a responsibility to do all that is reasonable
and practicable to ensure that correct and appropriate
training is provided to ensure that employees are competent
17.1 Management to undertake their roles.
The organisation of training cannot be left to chance; lack The Management of Health and Safety at Work Regulations
of consistency of purpose will result in failure. (TSO, 1999) define a competent person as ‘a person who has
sufficient training and experience or knowledge and other
Organisations should begin by identifying the most qualities’. Proof of competence is enshrined in health and
important operational requirements or problems to safety legislation, and much of that legislation applies to
the building services industry. The need to demonstrate or

prove competency applies as much to the designer and
17.4 Identification of training
engineer as it does to the technician and tradesman. needs
Training at every level should be focused, organised and
delivered to meet that requirement. In a few instances,
training required is very specific, such as: 17.4.1 Training needs and the building
—— The Fluorinated Greenhouse Gases Regulations To achieve the working or living environment, buildings
2008 (TSO, 2008), which make it a legal requirement utilise building engineering services to control that
for anyone maintaining stationary refrigeration, air environment within appropriate limits. Buildings contain
conditioning or heat pump equipment to have one an increasing amount of advanced technology that controls
of the following: not only the internal environment, but also the business
processes carried out within the building. Those
—— City & Guilds Certificate in Handling responsible for operating and maintaining the building
Refrigerants Scheme 2078. need to acquire and develop the appropriate technical and
managerial competency.
—— Construction Industry Training Board Safe
Handling of Refrigerants Reference 206710. For a building to be managed successfully, all the factors
that contributed to the original decision to construct the
—— The Gas Safety (Installation and Use) Regulations building have to be understood:
1998 (TSO, 1998), where Gas Safe sets the primary —— business objective
qualification as:
—— building design concept
—— City & Guilds Certificate Domestic Natural —— method of construction
Gas Installation and Maintenance and
Emergency Services Operations 6012. —— building services
—— financial objectives
—— The Energy Performance of Buildings (Certificates
—— facilities management
and Inspections) (England and Wales) Regulations
2007 (TSO, 2007), where: ‘An energy assessor must —— environmental and social issues
be a member of an accreditation scheme approved
—— core business process.
by the Secretary of State.’
The skills and knowledge required to manage, operate and
maintain the building services economically and effectively
must be identified and suitable resources applied to carrying
17.3 Training policy statement out that function. For example, within a business critical
environment, it is common practice to set an engineering
knowledge test on essential points of key systems for
The organisation (internal or external) charged with the
prospective technicians, supervisors and managers. A
responsibility for operating and maintaining a building
probationary period of three months to ‘get to know the
needs to identify a policy that provides a clear statement of
building’ for successful candidates may then ensue.
what it is seeking to achieve by way of training and
development. The policy statement should identify the
technical, health, safety, quality and performance standards 17.4.2 Assessment of training needs
relevant to the o&m function.
The training needs assessment is used to compile a
The aims of the training strategy should be to: comparative inventory of the knowledge base and skills
possessed by an individual operative against a specified
—— support and develop the business aims of the competency outline. The difference between the specified
company requirements and the actual measured ability is the
training required.
—— identify the resources for training
The use and provision of job descriptions for each of the
—— identify the benefits that will result from training core competencies within an organisation identifies the:
—— key responsibilities
—— enable managers and staff to contribute towards the
achievement of business targets. —— levels of authority
—— duties and demarcations
The training strategy should also set out key business —— qualifications.
targets and communicate these to staff, including the:
If these basic competencies are established for each post, a
—— importance of training within the company training matrix can be created for the core posts within the
organisation and this can be used as a comparator to assess
—— relationship between training needs and training training requirements for specific jobs.
—— importance of personal commitment to The establishment of a training matrix has the additional
self-development. benefit of providing a basis for reviewing the existing
Training 17-3
structure and future restructuring of the service organisation

and also provides an employee selection criterion. There is
17.5 Training plan
no financial case for employing staff who do not satisfy the Training has a cost and this has to be accounted for
criteria identified within the job description; to do so will financially. Each business unit or department within an
only increase the overall training costs.
organisation needs to identify:
Additional training needs will be required to meet —— how the training will meet the business targets
particular project and organisational requirements. These —— the resources that will be allocated
may include:
—— the investment value within the annual business
—— professional and technical qualifications plan for the forthcoming financial year
—— trade skills —— the method of measurement of the benefit achieved.
—— management skills Training plans are subject to change. A process for the
—— specialist process skills review of the training plan should be in place to ensure that:
—— training is prioritised to meet the changing needs of
—— understanding of health and safety procedures and
the business
legislation
—— actual commitment is made in accordance with the
—— understanding of environmental issues training plan
—— understanding of facilities management. —— training is delivered according to business or
project needs
17.4.2.1 Health and safety —— any additional or new training requirements are
identified, prioritised and scheduled
The subject of health and safety is a major element of staff —— regular reviews of expenditure on training are
training and maintaining competency through undertaken.
continual development and training plans. The
establishment of safe systems of work for all the o&m Regular reviews of the training activity are essential to
functions is a statutory requirement. Staff have to be trained ensure that training meets both the short- and long-term
to understand the requirements of the legislation that apply targets, that it remains effective and that there is a
to the tasks they are required to carry out and to recognise continuing commitment from all levels of management.
the possible risks to health in carrying out those tasks. Risk
assessments need to be in place that identify the potential
hazards, while implementation of safe systems of work
should eliminate or reduce the risk. 17.6 Means of provision
17.4.2.2 Quality management Having assessed the training needs, the method and
resources to deliver that training have to be identified.
Customers have an increasing expectation of service and Training can be delivered through:
performance. Engineering staff involved in the o&m of a —— universities
building need to be provided with the appropriate skills in:
—— further and higher education colleges
—— customer awareness
—— independent training organisations
—— quality aims and objectives of the business —— internal courses utilising expertise available within
—— quality management procedures the business or the original design team
—— distance learning courses
—— performance criteria and measurement techniques
—— cross-training
—— individual responsibility for quality
—— online/interactive training products (e-learning)
—— continuous improvement cycle.
—— trade organisations and professional institutions
17.4.2.3 Risk management —— equipment or product manufacturers

—— seminars and conferences.
Those responsible for the o&m of the maintenance function
need to identify and understand the factors that represent The choice of training method and provider will be based
the greatest risk to the continuity of the core business on the effectiveness and value for money required by the
process. These should be formally documented and individual company.
translated into procedures and work practices to eliminate
such risks. The engineering management staff has to be
trained to undertake the task of quantifying the risks and to
prepare o&m working procedures that keep the risks to a 17.7 Certification
minimum. The resulting information, understanding and
working procedures then have to be conveyed to the The certifying authority is an important issue in the
operational staff. selection of training courses, particularly where proof of
competence is required. It is desirable that the certification may be necessary to produce them in court so a central
is provided by a national or industry recognised authority. register is recommended. Ideally, the records should be:
—— easily accessible
Where there is no certifying authority, certification from
other bodies may be accepted but should, generally, be —— available at all times
restricted to:
—— reviewed on a regular basis
—— registered training organisations
—— kept up to date.
—— trade associations
—— reputable manufacturers of plant or equipment The training records have another important and valuable
relevant to the business. use: to provide statistics on the training carried out by the
organisation. For example:
—— number of person days of training carried out in
any one period
17.8 Evaluation
—— types of training provided
Having provided the training, there needs to be evaluation —— cost of training provided.
to assess its effectiveness and to ensure that:
—— skills acquired by the employee are adequate for the These statistics should be made available to employees and
task or process to be carried out customers to maximise the value of the training
achievement.
—— training has met the employee’s training need
—— training has met the overall business aims and
objectives.
References
It is essential to prove measurable benefit as a result of
providing training. The criteria for demonstrating the TSO (1998) The Gas Safety (Installation and Use) Regulations 1998
Statutory Instruments 1998 No. 2451 (London: TSO)
actual cost effectiveness or operational benefit of the
training should be detailed and set out when the training
TSO (1999) Management of Health and Safety at Work Regulations 1999
programme is still at the approval stage.
Statutory Instruments 1999 No. 3242 (London: TSO)
TSO (2007) The Energy Performance of Buildings (Certificates and

Inspections) (England and Wales) Regulations 2007 Statutory Instruments
17.9 Records 2007 No. 991(London: TSO)
Good training records are essential to prove the competence TSO (2008) The Fluorinated Greenhouse Gases Regulations 2008
and development of each individual employee. Indeed, it Statutory Instruments 2008 No. 41 (London: TSO)
Index I-1
Index codes of practice 5-3

collateral warranties 8-5
decommissioning 7-8
defects 2-5, 2-6, 7-7, 12-3
Collective Redundancies and Transfer of defects liability period 8-4 to 8-5
Note: page numbers in italics refer to Undertakings (Protection of depreciation 12-7
figures; page numbers in bold refer to Employment) Regulations (TUPE) design changes 2-2
tables. 2006/14 4-5 design guides 2-8 to 2-9
combined heat and power (chp) 5-5 design issues 2-2, 3-2 to 3-3, 10-2 to 10-3
accounting procedures 13-3
comfort see thermal comfort design life 12-1
acoustic emission analysis 14-3
commissioning 2-2, 6-5, 7-1 to 7-8, 8-1 design options 2-3
air conditioning 6-2, 16-3
commissioning managers 7-2 to 7-3 design parameters 2-5
air distribution systems 15-6, 16-4 to 16-5,
commissioning specialists 7-3 to 7-4 design risks 10-5
16-6
Committee on the Medical Effects of Air designers’ responsibilities 2-1 to 2-5, 9-4
air quality see indoor air quality
Pollutants (COMEAP) 16-1
Air Quality Standards Regulations 2010 15-3 design-out maintenance 3-2
competency 6-6, 13-2, 15-6, 17-1 to 17-2,
airborne contaminants 16-2 to 16-3, 16-5 dilapidation reports 14-4
17-3 to 17-4
Approved Document L 5-3, 5-5 to 5-6 discretionary maintenance 3-7
compliance requirements 15-1 to 15-6
‘as built’/‘as installed’ drawings 9-2 disposal risks 10-4, 10-5
computer-aided facilities management (cafm)
asbestos control 15-2, 16-5 disputes (contracts) 4-9, 4-11
9-3, 13-2
asset and equipment costs 11-2, 11-7 documentation 3-3, 9-1 to 9-4
computer-based data collection 14-4
asset register 4-4, 11-4 to 11-5, 12-5, 13-3, 14-3 computer-based information systems 9-3 asset register 4-4, 11-4 to 11-5, 12-5, 13-3,
asset replacement strategy 2-5 computer-based maintenance management 14-3
atmospheric pollutants 16-2 systems (cmms) 13-2 availability data 10-3
audits 3-5, 10-4, 13-1 to 13-6 condition based maintenance 3-4, 3-5 to 3-6 building log books 6-2, 6-5, 7-4, 7-7, 14-1
availability data 10-3 condition grading 14-3 to 14-4 commissioning and testing 7-4
condition monitoring 3-5 to 3-6 contracts 4-10 to 4-11
backlogs of maintenance 3-4, 11-6 to 11-8 condition surveys 14-1 to 14-5 handover information 8-4
benchmarking 5-3, 5-6, 5-9, 10-4, 11-3 conditions of contract 4-10 maintenance audits 13-1
beneficial occupation 8-1, 8-3 Confined Spaces Regulations 1997 15-2 manufacturers’ literature 9-2
bim (building information modelling) 2-2, Construction (Design and Management) operational notes 7-5, 13-3 to 13-4
8-4, 9-2 Regulations 2007 2-101, 2-104, 9-2, specifications 4-10 to 4-11
bms (building management systems) 15-1 to 15-2, 16-1 training records 17-4
6-3 to 6-5, 7-7, 9-3 Construction (Health, Safety and Welfare) updating 9-2
BREEAM assessment method 7-1, 9-2 Regulations 1996 15-1 web-based 7-4
briefing 2-3 consumables 11-2 ductwork 15-6, 16-4 to 16-5, 16-6
BSRIA guide BG1/2007 9-1, 14-1 contaminants see airborne contaminants dust hazards 16-2
budgetary control 11-6 to 11-8, 11-7 continuous commissioning 7-6 to 7-7
buildability 2-5 contractors economic life factors 12-1 to 12-7,
building characteristics 11-4 access to plant 13-2, 13-3, 15-5 12-9 to 12-32
Building Controls Industry Association audits 13-1 to 13-4 electrical power load efficiency 5-6 to 5-7
(BCIA) 6-6 insurance 4-12 electrical testing 14-2, 15-2
building information modelling (bim) 2-2, performance incentives 6-3 Electricity at Work Regulations 1989
8-4, 9-2 prequalification 4-3 15-2 to 15-3
building log books 6-2, 6-5, 7-4, 7-7, 14-1 range of services 3-4 electricity consumption 5-9
building management systems (bms) specialist 4-2 to 4-3, 4-7, 7-3 to 7-4 electronic data collection 14-4
6-3 to 6-5, 7-7, 9-3 technical proficiency 13-3 emissions control 5-2, 5-5, 15-3
building priorities 3-6 to 3-7 warranties 3-5 employer’s liability insurance 4-12
Building Regulations 5-3, 5-6, 7-2, 15-1 contracts 4-1 to 4-12
end user training 8-3
building user guides 9-2 bespoke 4-6
energy consumption 5-2, 5-3, 11-3
business focused maintenance 3-4 contractual relationships 8-5
business risks 10-2 to 10-3, 10-5 benchmarks 5-3, 5-6, 5-9
control system maintenance 6-3
metering and monitoring 5-3, 5-5 to 5-6, 6-2,
disputes 4-9, 4-11
(computer-aided facilities management) 11-3, 13-3
cafm documentation 4-10 to 4-11
9-3, 13-2 energy efficiency 5-1 to 5-8, 15-1
enforcement 4-8, 4-10
call-out only contracts 4-2 energy management systems (enms) 5-2
first-year operation and maintenance 2-5
capital expenditure (capex) 11-5, 11-8, mobilisation 4-5, 4-11 to 4-12 energy performance
11-8 to 11-9, 12-7 performance-related incentives 6-3 assessment 2-1, 7-1
carbon dioxide (air quality) 16-2 standard forms of contract 4-6 to 4-7 legislation and codes of practice 5-3, 15-1
carbon emissions 5-2, 5-3 to 5-4, 5-5 tendering procedures 4-3 to 4-11 monitoring 6-2, 13-3
Carbon Reduction Commitment (CRC) 5-3 types 4-1 to 4-3 Energy Performance of Buildings (Certificates
Carbon Trust 5-2, 5-4 Contracts (Rights of Third Parties) Act 1999 and Inspections) Regulations 2007
caretaker maintenance contracts 4-2 4-9 17-2
CDM Regulations see Construction (Design control centres 6-4 energy prices 5-1, 5-5, 11-3
and Management) Regulations 2007 Control of Asbestos Regulations 2012 15-2 Energy Savings Opportunity Scheme (ESOS)
certification of staff 15-6, 17-3 to 17-4 Control of Substances Hazardous to Health 5-3
changes see modifications; upgrades Regulations 2002 (COSHH) 13-2, engineering services elements classification
chp (combined heat and power) 5-5 15-2 14-2, 14-3
classification of plant elements 14-2, 14-3 control sensors 5-7, 6-1 to 6-2, 6-3, 6-5 Enhanced Capital Allowances (ECAs) 11-5
Clean Air Act 1993 15-3 control sequences and set-points 5-6, 6-2, 6-3 environmental assessment rating tools 2-1,
client’s requirements 2-1, 2-3, 2-4, 3-1 to 3-2, control systems 5-7, 6-1 to 6-6, 7-7, 12-6 7-1
4-10 to 4-11, 11-4 cost reimbursable contracts 4-7 environmental control 16-3
client’s responsibilities 9-4, 13-2 costs 2-2, 5-5, 11-1 to 11-9 environmental monitoring 16-4, 16-6
closed-down buildings 12-4 see also capital expenditure (capex) Environmental Protection Act 1990 15-3
cmms (computer-based maintenance costs plus fee percentage 4-8 Environmental Protection (Non-refillable
management systems) 13-2 Refrigerant Containers) Regulations
CO2 emissions 5-2, 5-3 to 5-4, 5-5 damages (contracts) 4-11 to 4-12 1994 15-3
I-2 Maintenance engineering and management
environmental responsibilities 2-1, 13-3 Housing Grants Construction and maintenance strategy 3-2, 3-6 to 3-8
see also emissions control; energy Regeneration Act 2011 4-9 maintenance tasks 11-5 to 11-6
efficiency hvac systems 16-3 maintenance techniques 3-3 to 3-6
EPBD (European Directive on Energy maintenance tenders see tendering procedures
Performance of Buildings) 5-3 indoor air quality 16-1 to 16-6 maintenance types 3-4
equipment costs 11-2, 11-7 information systems 3-3, 9-3 Management of Health and Safety at Work
equipment selection 2-3 to 2-4 inspection and maintenance contracts Regulations (MHSW) 1999 10-1,
equipment warranties 3-5, 8-4 4-1 to 4-2 15-5, 17-1
escalators regulations 15-4 inspections 8-3 management of maintenance 3-4 to 3-5, 3-9,
ESOS (Energy Savings Opportunity Scheme) air distribution systems 16-4, 16-6 9-3
5-3 client’s 13-2 see also maintenance policy; maintenance
essential maintenance 3-7 frequency 7-7, 16-6 strategy
EU Emissions Trading System 5-3 statutory requirements 15-5 to 15-6 manufacturer-based contracts 6-3
EU procurement rules 4-5 to 4-6 visual 14-1, 14-2 manufacturers’ literature 9-2
European Directive on Energy Performance of see also condition surveys manufacturer’s recommendations 3-5
Buildings (EPBD) 5-3 installation risks 10-5 manufacturers’ warranties 3-5, 8-4
express and implied terms 4-9 to 4-10 installers materials 2-2, 2-3 to 2-4, 11-2
external interfaces 6-4 first-year maintenance responsibility mean time between failures (mtbf) 10-3
2-5 to 2-6 mean time to repair (mttr) 10-3
facilities management (fm) 2-2 to 2-3, 4-6, warranties 2-5, 2-6 measured contracts 4-2
4-7, 9-3, 13-2 insurance 4-12 metering 5-3, 5-5 to 5-6, 6-2, 11-3, 13-3
failure modes and effects critical analysis investment appraisal 11-9, 12-5 microorganisms 16-3
(fmeca) 3-4 invoicing procedures 13-3 mobilisation of contract 4-5
failure rates 12-3 it infrastructure 6-3 to 6-4, 6-6 modifications
feedback 2-2, 2-3, 13-3 to 13-4 costs 2-2
feed-in tariffs 5-4 key performance indicators (kpis) 13-2 fine tuning 7-5
F-Gas Regulations 15-3 to 15-4 repeat testing and commissioning 7-6,
financial control 11-6 to 11-8, 11-7 labour costs 11-2, 11-6, 11-7 12-4
fine tuning 7-5 labour only contracts 4-1 upgrading control systems 6-5 to 6-6,
Fire Precautions Act 1971 15-4, 15-5 latent defects insurance 8-5 12-6
Fire Precautions (Workplace) Regulations legislation 4-9 to 4-10, 15-1 to 15-5 see also replacement costs
1997/99 15-4, 15-5 see also statutory requirements mothballing 7-8
first-year operation and maintenance liability for defects 8-4 mtbf (mean time between failures) 10-3
2-5 to 2-6 life cycle considerations 3-7 to 3-8 mttr (mean time to repair) 10-3
Fluorinated Greenhouse Gases Regulations life cycle costs 2-2, 5-7, 11-8
2008 17-2 life expectancy 12-2 to 12-3, 12-9 to 12-32 net present value 11-8
fm (facilities management) 2-2 to 2-3, 4-6, see also economic life factors noise nuisance 16-5
4-7, 9-3, 13-2 Lifting Operations and Lifting Equipment non-destructive testing 14-2, 14-3
fmeca (failure modes and effects critical Regulations 1998 (LOLER) 15-4, noxious gases 16-3
analysis) 3-4 15-6
frequency of inspections 7-7, 16-6 Lifts Regulations 1997 15-4 o&m manuals see operation and maintenance
frequency of maintenance 3-5, 3-8 to 3-9 lighting efficiency 5-6 (o&m) manuals
frequency of surveys 14-1 to 14-2 lightning protection systems 15-5 occupants
fresh air requirements 16-5 liquidated and ascertained damages comfort and wellbeing 12-4, 16-1, 16-3 to
fuel costs 5-1, 5-5, 11-3 4-11 to 4-12 16-4
fuel selection 5-4 to 5-5 local exhaust ventilation (lev) 15-6 controls 6-2
fully comprehensive contracts 4-2 log books 6-2, 6-5, 7-4, 7-7, 14-1 feedback from 6-2
lump sum contracts 4-8 training 8-3 to 8-4
Gas Safe 17-2 occupational hazards 16-5
Gas Safety (Installation and Use) Regulations maintainability 2-5, 2-8:9 operating expenditure (opex) 11-8
1998 15-5, 17-2 maintenance audits see audits operation and maintenance (o&m) manuals
Global Estate Measurement Code (GEMCode) maintenance backlogs 3-4, 11-6 to 11-8 computer-based 7-4, 9-3
11-1 to 11-2 maintenance budget 11-6 to 11-8, 11-7 content 9-1
maintenance contractors see contractors handover 8-4
handover 8-1 to 8-5 maintenance contracts see contracts preparation and updating 9-2
hazardous substances 15-2, 16-5 maintenance cost categories 11-1, 11-1 to 11-2 referenced to assets 14-1
health and safety maintenance free components 3-2 responsibilities for 9-4
audits 13-2 maintenance frequencies 3-5, 3-8 to 3-9 operational energy management 5-2 to 5-3,
documentation 7-4, 9-2, 14-1 maintenance management 3-4 to 3-5, 3-9, 9-3 13-3
legislation 15-1 see also maintenance policy; maintenance operational hazards 10-1, 16-5
permits-to-work 13-2, 15-5 strategy operational risks 10-1 to 10-6
personal protective equipment 16-5 maintenance manuals see operation and opex (operating expenditure) 11-8
recommissioning 7-7 maintenance (o&m) manuals
training 17-3 maintenance policy 2-1, 3-1 to 3-2 partial possession 8-1, 8-3
Health and Safety at Work etc. Act 1974 9-2, maintenance priorities 3-6 to 3-7, 14-3 partial replacement 12-6
15-1, 16-1 maintenance programmes 3-7 to 3-8 particulates pollution 16-2
Health and Safety (Display Screen Equipment) maintenance requirements 2-3, 2-4, 2-5 to 2-6, payback on investment 11-8
Regulations 1992 15-4 3-1 to 3-2, 4-10 to 4-11, 6-2 to 6-3 payment mechanisms 4-7 to 4-8
health and safety file 7-4, 9-2, 14-1 maintenance review meetings 13-2, 13-3 payment procedures 4-12, 13-3
Health Protection Agency (HPA) 16-1 maintenance schedules 3-3, 3-4, 6-5, 7-7 performance benchmarking 10-4, 11-3
heating, ventilation and air conditioning maintenance services 3-4 performance incentives 6-3
(hvac) systems 16-3 audits 13-2 to 13-3 performance monitoring 6-2, 6-3, 13-2
heating and hot water efficiency 5-6 delivery options 3-6, 3-8, 6-3 performance requirements 3-3
high-risk activities 10-4 service level agreements (slas) 4-1 performance risks 10-5
hours of operation 12-4 specialist services 4-2 to 4-3, 4-7, 11-2 periodic system validation 7-7
Index I-3
permits-to-work 13-2, 15-5 renewal interventions 12-5 to 12-6 Supply of Goods and Services Act 1982 4-9
personal protective equipment (ppe) 16-5 see also upgrades Supply of Machinery (Safety) Regulations 1992
PFI (Private Finance Initiative) 2-3, 4-6 replacement costs 11-2 to 11-3 15-4
phased handover 8-1, 8-3 see also economic life factors sustainability 13-3
planned preventive maintenance (ppm) 3-4, replacement strategy 2-5 system availability 10-3
3-7, 4-2, 10-3, 11-5 Reporting of Injuries, Diseases and Dangerous system redundancy 10-2 to 10-3
plant classification 14-2, 14-3 Occurrences Regulations 2013 system resilience 10-3
plant selection 2-3 to 2-4 (RIDDOR) 15-5
pollutants 16-2 to 16-3 resilience of system 10-3 target cost mechanism 4-8
Pollution Prevention and Control Act 1999 revenue expenditure 11-8 technical proficiency 13-3
15-3 risk assessment 10-1 to 10-6, 16-4 see also competency
portable electrical equipment 15-2 risk management 10-3 to 10-4, 17-3 technological life 12-2, 12-3, 12-4
post-completion testing 7-5 to 7-6 routine maintenance checks 6-2 tendering procedures 4-3 to 4-11
post-occupancy environmental monitoring run to failure 3-4 testing 7-4, 7-6, 15-5 to 15-6
16-4 see also commissioning
power quality surveys 14-2 Safety Assessment Federation (SAFed) 15-6 thermal comfort 16-1, 16-3 to 16-4, 16-6
ppe (personal protective equipment) 16-5 safety assessments 16-6 thermal imaging 14-2
ppm (planned preventive maintenance) 3-4, Sale of Goods Act 1979 4-10 tools (equipment) 8-4
3-7, 4-2, 10-3, 11-5 schedule of rates 4-8 training 6-6, 17-1 to 17-4
pre-occupancy environmental monitoring scheduled maintenance 3-3 Transfer of Undertakings (Protection of
16-4 seasonal commissioning 7-5 Employment) Regulations (TUPE)
prequalification, contractors’ 4-3 sectional completion 8-1, 8-3 2014 4-5, 4-10
Pressure Systems Safety Regulations 2000 semi-comprehensive contracts 4-2 transportable electrical equipment 15-2
15-5 service delivery options 3-6 troubleshooting 7-7
preventive maintenance 3-4, 3-7, 4-2, 10-3, service level agreements (slas) 4-1, 13-2
11-5 service levels audits 13-2
ultrasonic measurement 14-3
price submission 4-11 service life see economic life factors
Unfair Contract Terms Act 1977 4-10
priorities 3-6 to 3-7 service providers see contractors
unoccupied buildings 4-2, 7-6, 12-4
Private Finance Initiative (PFI) 2-3, 4-6 service record sheets 11-2
unplanned maintenance 3-4, 11-6
procurement methods 4-1 to 4-3 shutdown systems 7-6, 7-8
upgrades 6-5 to 6-6, 12-6
procurement procedures 4-3 to 4-5 sinking funds 12-6
see also replacement costs
procurement risks 10-5 solar shading 16-3
useful life 12-2, 12-3
professional indemnity insurance 4-12 spares 3-2, 8-4, 11-2, 13-3
user guides 9-2
protective equipment 16-5 specialist services 4-2 to 4-3, 4-7, 7-3 to 7-4,
user training 8-3 to 8-4
Provision and Use of Work Equipment 11-2
Regulations 1998 15-6 specialist surveys 14-2 utility costs 11-3, 11-4, 11-7
public liability insurance 4-12 specialist tools and equipment 8-4
public-sector clients 2-3, 4-5, 4-6 specifications 4-10 to 4-11 value engineering 2-4
specifying materials and components 2-3 to variable speed drives 5-7
quality assurance 13-3 2-4 ventilation requirements 16-5
quality management 17-3 staff competency see competency ventilation systems 15-6, 16-2
quality submission 4-11 staff training see training vibration analysis 14-3
standard forms of contract 4-6 to 4-7 virtual private networks (vpns) 6-4
rcm (reliability-centred maintenance) 3-4 standard terms of contract 4-3 visual inspections 14-1, 14-2
recommissioning 6-2, 7-5 to 7-6, 12-4 standby plant 10-2, 10-3
record keeping see documentation statutory maintenance 3-5, 3-7 warranties
redundancy of equipment 2-3, 10-3 statutory requirements installers 2-5, 2-6
refrigerants regulations 15-3 to 15-4 energy efficiency 5-3, 15-1 manufacturers 3-5, 8-4
refrigeration systems 5-7 health and comfort 16-1 see also collateral warranties
refurbishment projects 5-4, 6-2, 7-8, 15-2, 16-6 inspection, testing and certification 3-5, 7-4, water quality inspections 15-6
Regulatory Reform (Fire Safety) Order 2005 7-7, 8-3, 15-5 to 15-6 whole-life costing see life cycle costs
15-4 structured cabling systems 6-4 withholding payment 4-12
reliability-centred maintenance (rcm) 3-4 subcontractors 4-7, 7-3, 11-2 Workplace (Health, Safety and Welfare)
renewable energy 5-4 sub-metering 5-5, 5-6 Regulations 1992 16-1, 16-4
Renewable Heat Incentive 5-4 Sulphur Content of Liquid Fuels Regulations
renewal costs 11-1, 11-2 to 11-3 5-5 ‘zero carbon’ 5-3

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Maintenance engineering

cover.indd 1 07/10/2014 15:55

A guide for designers, maintainers,

The Chartered Institution of Building Services Engineers

No part of this publication may be reproduced, stored in a

This document is based on the best knowledge available at

Typesetting and layout by Bonnie Craig for CIBSE Publications

Printed in Great Britain by The Lavenham Press Ltd.,

Note from the publisher

This publication is primarily intended to provide guidance to those responsible for

CIBSE Maintenance Task Group and Steering Group

CIBSE Technical Director

3 Maintenance strategy and techniques 3-1

4 Maintenance contracts 4-1

5 Energy efficiency and maintenance 5-1

6 Controls for building services 6-1

7 Commissioning and testing 7-1

8 Handover procedures 8-1

9 Operating and maintenance documentation 9-1

11 Operation and maintenance costs 11-1

12 Economic life factors and end of economic life 12-1

13 Maintenance audits 13-1

14 Condition surveys 14-1

15 Legislation and compliance 15-1

16 Health and comfort 16-1

Building services engineers provide the internal environ­

Chapter 2 provides designers with an insight into what

CIBSE Guide M: Maintenance engineering and management

Design Standards BS 8544: 2013: Guide for life cycle

2 Guidance for building services designers

Table 2.1 Typical questions to be addressed by designers

Table 2.2 Establishing the client’s requirements covering maintainability

Finally, what is the projected replacement strategy for these

Blank page — see over for Appendix 2.A1

Appendix 2.A1: Design guide to maintainable buildings

Formation of project team including:

* RIBA Plan of Work 2013 for project

1. Feasibility 2. Outline proposals 3. System design

Operations and maintenance/facilities expertise:

4. Detailed design 5. Production information 8. Construction

Review options to date Asset listing Ensure installation is as design drawings

3 Maintenance strategy and techniques

Some key issues that need consideration are: —— web-based technology

—— o&m and maintenance management system —— safeguarding assets.

—— set and monitor performance through key

Maintenance of engineering assets and services within

A third option is to employ directly a maintenance labour

Contract Flexible service provided Monitoring by client may be necessary

Table 3.2 Example categorisations —— Priority 1—Statutory maintenance: Legal health

Non-suppressed tasks are defined as those tasks that are

Once the strategy is developed, resourcing costs must relate Example:

Table 3.3 Standard planned maintenance ‘float’ allowances

performance During the In Use Phases of Buildings (London: BSI)

management/ BSI (2014a) BS ISO 55000: 2014: Asset Management: Overview,

4.1 Procurement methods In selecting which of these procurement methods to

Private sector clients have a great deal more flexibility in

4.1.1.2 Labour only

—— inspection and maintenance A subset of this type of arrangement is also referred to as a

The choice of service provider should be heavily influenced

provider who arranges subcontracts and incorporates their —— site visits

Table 4.1 Comparison of standard forms of contract (Source: NEC)

—— Contracts (Rights of Third Parties) Act 1999 (TSO,

The specification will usually be bespoke for each

5 Energy efficiency and maintenance

Building services engineers provide the internal environ