Statutory Compliance Audits for PFI and Healthcare Estates

Independent Statutory Compliance Auditing to Safeguard Your FM Compliance

Ensuring statutory compliance is non-negotiable, especially within the high-risk, high-accountability environments typical of PFI contracts. Opex Consulting deliver comprehensive statutory compliance audits that provide assurance to investors, Project Companies, Trusts, and FM providers.

Our audits cover all aspects of asset management and the Planned Preventive Maintenance (PPM) regime, including the completion of required remedial works, and are benchmarked against SFG20 standards, the UK FM industry’s core interpretation of legal compliance for building maintenance. For healthcare environments, we additionally assess compliance against the relevant Health Technical Memoranda (HTMs) and Scottish HTMs (SHTMs).

What We Audit – Comprehensive Scope of Review

Documentation Review

Documentation Review

Asset register integrity.
PPM and remedial completion evidence and records.
Risk assessments and method statements.
Permit-to-work logs and compliance certification.

CAFM System & Data Audit

CAFM System & Data Audit

Review of task scheduling and closeout.
Evidence of escalation protocols.
Gap analysis for missed tasks or overdue work.
System structure, asset tagging, and data coverage.

Site-Based Asset Inspections

Site-Based Asset Inspections

Physical verification of key systems.
Comparison of documentation vs reality.
Sampling of critical systems (water, HVAC, fire, electrical).

Engineering Competence & Accountability

Engineering Competence & Accountability

Review of Authorised Persons (APs), Responsible Persons (RPs), Competent Persons (CPs) and in hospitals, Authorising Engineers (AEs).
Verification of qualifications, training, and role coverage.
Analysis of H&S systems and escalation pathways.

Specialist Compliance Areas

Specialist Compliance Areas

HTM & SHTM compliance (e.g., ventilation, medical gases, water safety).
SFG20 alignment for all PPM regimes.
Gap reporting against relevant standards and legal guidance.

Each audit results in a detailed written report supported by a visual dashboard via our online platform, Assuron. Non-compliances are presented with:

Visual dashboards hosted on our secure platform, Assuron.
Structured written reports aligned to contract schedules.
Remediation tracking to close non-compliances quickly.
Evidence packs suitable for use with authorities, boards, or legal partners.

Independent compliance insight that strengthens trust, drives improvement, and keeps your obligations on track.

Truly Independent: We don’t deliver FM or remedial works—so our findings are impartial and conflict-free.
Sector-Specific Expertise: From NHS trusts to MOD housing, we know the technical and legal frameworks of each estate type.
Action-Oriented: We help you fix what we find—working collaboratively with your FM and supply chain partners.
Platform-Based Reporting: Through our Assuron platform, audits become a live, trackable project, not a static report.
Trusted by All Stakeholders: SPVs, investors, FM providers, and authorities use us as a neutral, reliable voice.

Case Study: Restoring Compliance in a Flagship NHS PFI Estate

This project supported a major regional acute PFI hospital in restoring full facilities compliance and operational control across its estate.

Solution: Comprehensive asset survey and managed asset review to identify compliance gaps. Reset CAFM system elements and updated PPM schedules to be asset-based rather than purely time-based. Addressed a Legionella outbreak through skills refresh, training, and track-and-remediate management. Full statutory compliance audit against HTM 03, 04, and 06 standards.
Outcome: Delivered over 500 closed non-compliance items within 6 months and established revised PPM and reactive processes.

Closed over 500 open non-compliances within 6 months.
Established a revised PPM & Reactive process regime.
Managed our legionella outbreak through the track and remediate management process.
Systemised PPM and reactive planning and delivery.
Oversaw overhaul of PPM instruction sets and emergency planning procedures.

FAQs: Statutory Compliance for PFI Estates

Q: What is statutory compliance in FM?

A: It refers to the legal obligations placed on FM providers to maintain systems (e.g., fire, water, ventilation, gas, electrics) in accordance with UK law, regulations, and standards.

Q: How often should compliance audits be done?

A: Monthly sample monitoring is best, but otherwise at least annually (Large Sample size), or more frequently if you have concerns, are approaching expiry, preparing for handback, or recovering from performance issues.

Q: Is SFG20 enough for NHS estates?

A: No. NHS hospitals also require compliance with Health Technical Memoranda (HTMs), which are sector-specific or SHTMs for Scotland.

Q: Can we share audit findings with our Authority or SPV?

A: Yes. Our reports are contract-aligned and suitable for cross-stakeholder review and board-level assurance.

Q: Do you help with remedial planning?

A: Yes. While we don’t carry out the works, we help you prioritise, track, and close non-compliances with your FM team or contractors.

Buyer’s Guide: Choosing the Right Compliance Audit Partner

FM Independence

Avoids audit bias or conflicts of interest.

Sector Knowledge

HTM (SHTM), SFG20, and NHS-specific expertise ensures accurate audits.

Evidence Strength

Clear, structured output supports boards, legal teams, and regulators.

Follow-Through Support

Audits are only useful if they lead to fixes—make sure your partner can help with solutions, systems and processes.

Digital Reporting

Platform access and visualisation improve audit transparency and accountability.

FM Independence

Avoids audit bias or conflicts of interest.

Sector Knowledge

HTM (SHTM), SFG20, and NHS-specific expertise ensures accurate audits.

Evidence Strength

Clear, structured output supports boards, legal teams, and regulators.

Follow-Through Support

Audits are only useful if they lead to fixes—make sure your partner can help with solutions, systems and processes.

Digital Reporting

Platform access and visualisation improve audit transparency and accountability.

Don’t Let Compliance Failures Put Your PFI at Risk

Let’s audit your estate the right way—impartially, intelligently, and with action built in. Request a callback to speak with our compliance auditing specialists.