ACS Training Workshop

Northampton Worcester Nottingham

Falkirk London

October/November 20091

ACS Training Workshop

• Completing the SAW/OLAR• Preparing for the Assessment• Developing the Visit Plan• The role of the Assessor• Good Practice, Improvement Needs &

Improvement Options• Action Plans & Re-visits• ACS Sanctions Framework

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ACS Assessment Process

Jody Parker

ACS Quality Assurance Manager

On Line Achievement Record

• Your organisation is required to complete the online achievement record (OLAR) on initial application & annually thereafter.

• The Self-Assessment Workbook (SAW) is intended to enable completion of the online achievement record.

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ACS Standard Definition

• 9 Criteria, 89 Indicators

1) Strategy (7)

2) Processes (12)

3) Commercial Relationship Management (10)

4) Financial Management (6)

5) Resources (9)

6) People (26)

7) Leadership (9)

8) Corporate Social Responsibility (3)

9) Results (7)

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Self Assessment Workbook (SAW)

• five possible achievement levels for each (improvement from left to right)• required level for ACS is marked as Required Achievement Level• refer to Self Assessment Guide (see ACS Publications)• decide your self-assessment (box 1 to box 5)• take action where necessary and re-assess

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Record self assessment on-line

← use ‘evidence’ box to record summary points for sub-criterion

← use N/A if not-applicable (rare!)

← red marker indicates required level

← justify your score under each indicator

SAW – Poor Example(see handout)

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SAW – Good Example(see handout)

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Summary screens show your status

Common Improvement Needs Raised

• 2.4.2 - service level agreements

• 4.2.3 - ‘fit and proper’ management structure

• 6.1.1 – Screening & Vetting

• 6.2.1 – Training Plans

• 7.1.4 – Review Key Results

• 9.3.1- Employee performance indicators

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6 – People (6.1.1)

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SAW – 6.1.1 Weak Indicator(see handout)

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9 – Results (9.3.1)

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SAW – 9.3.1 Weak Indicator(see handout)

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Please Do

• Provide sufficient evidence in each indicator box

• Share the Experience – departments involvement

• Verify and test SAW prior to submitting OLAR

• Build ACS awareness–Staff/customer/consumers

• Review SAW as part of the Business Plan

• Complete/Review SAW each year

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Please Don’t

• Use one liners• Use ‘quotes’ e.g. ISO/QMS, Yes• Copy & Paste (same statements)• Leave blank boxes• Over score unless you can demonstrate it• Treat this as a one off exercise to gain ACS

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Tips for recording self assessment

• Record off-line first – in MS Word or similar

• Copy/paste from Word into the on-line record

• Click ‘Save’ every 10 minutes to save your on-line record

• Keep your justification to a few key points – no more than 500 characters in each text box

• No one else can access you assessment until you click ‘Submit’ – edit as often as you like

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Need more help…

• Contact the SIA in the first instance

• The ACS Standard and the application process are designed for anyone to use

• Only the SIA and ACS Assessing Bodies are fully qualified to advise

Any Questions?

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Preparing for an ACS Assessment

Keith Leyland

CCAS

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Understand the assessor’s objective

• The Assessor’s objective is to verify, for each required Indicator, the score you have input into your Self Assessment Workbook (SAW).

• To achieve this the assessor will seek information using a number of methods including research, observation, interview and review of documentation.

(To be amplified in “The role of the assessor”)

Review your SAW

• Ensure that the information in your SAW is current and correct.

• Maybe conduct a “desktop” audit to confirm you are as ready as possible.

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Gather required information

• Ensure the information required by the assessor to develop the Visit Plan is available.

(See presentation Preparing the Visit Plan for detailed requirements)

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Hints and Tips

• Begin planning as early as possible.

• Speak to your Assessor as early as you are able.

• Maybe prepare an “evidence dossier” cross-referenced to the SAW.

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Hints and Tips (continued)

• Brief stakeholders (employees, customers, suppliers, any other individuals who you think may be able to contribute to your assessment – police, local business contacts) on the assessment process. Confirm assessor confidentiality and impartiality.

• Confirm that non-employees are prepared to contribute and obtain their availability.

• Confirm senior manager availability.

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ANY QUESTIONS?

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Developing the Visit Plan

Delivered by Keith Leyland

of CCAS

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Assumptions

• The date of the assessment has been agreed.

• The number of days for the assessment has been agreed.

Gathering information

• The Assessor will contact you prior to the assessment to obtain information required to create the Visit Plan. The Assessor will be seeking the information contained in the next few slides.

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Type, size & complexity of the organization

• Sectors granted eligibility for.• Geographic location of branches.• Number of contracts and different types of customers and

their location.• Nature of the services provided e.g. shift work, night work,

weekend work.• Whether the company is centralised or decentralised. If

decentralised where are key records kept?• Degree of autonomy of any branches.• Level of formality within the organization.• Number of levels and type of management.

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Number and availability of staff

• Directors

• Managers

• Supervisors

• Licensed employees broken down by sector

• Support/administration

• Sub-contractors (including self-employed individuals and individuals deployed on sub-contract from other companies)

• Identification of key staff to be interviewed and their availability

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Determine methods for obtaining evidence

• Face to face interviews.

• Focus groups.

• Telephone interviews.

• Site visits and observation of activities being carried out.

• Determine restrictions – geography, shift pattern, availability.

• Locations of records.33

Potential for consumer and/or stakeholder contact

• Suppliers

• Professional services (accountants, consultants, bank)

• Employees of customers

• General public

• Representatives of user groups

• Police

• Business groups

• Community representatives

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Management system maturity

• Determine the maturity of the management system in place and the expectations of the leaders regarding the assessment process. For example, businesses with a mature management system and culture may be expecting a higher degree of “added value”.

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Creating the Visit Plan (see handout)

• The Assessor will use the information you have provided and will create a Visit Plan taking into account the SIA Planning guidelines.

• The handout associated with the

presentation gives examples of the guidelines.

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Submitting the Visit Plan

• The Assessor should submit the Visit Plan to the company assessed at least 5 days prior to the assessment.

• The Assessor will submit the Visit Plan to SIA at least 3 days prior to the assessment.

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ANY QUESTIONS?

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The Role of the Assessor

Delivered by Kay Aitkin

of National Security Inspectorate

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Assessor’s Role

• The assessor’s role is one of:

– verification

– provision of feedback

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Assessor’s Role

• What is ‘verification’?– Relies on realistic self assessment– Check the self assessment– Confirms the evidence

• How?

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Assessor’s Role

• Interviews with:– key senior personnel

– customers

– employees

• security officers

• office based personnel

– other stakeholders/consumers

• Targeted questions– relationships between the criteria, sub-criteria and

indicators

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Assessor’s Role

• Test results

• Focus on – actual practices– extent of deployment– Outcomes

• Review documentary evidence where relevant

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Assessor’s Role

• Apply judgement– scoring– identify strengths and areas for improvement

• Provide feedback – discussion

• Provide confidence to SIA – applicant meets requirements

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Assessor’s Role

Any Questions?

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Good Practice, Improvement Needs & Improvement Options

Delivered by Kay Aitkin

of National Security Inspectorate

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Feedback

• 3 types of feedback

– Good Practice

– Improvement Needs

– Improvement Options

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Good Practice

• What the organisation is doing well

– relative to size of organisation

– industry model

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Good Practice

XXX have developed effective relations with police and local authorities. This includes attending joint quarterly meetings where they review all incidents.

This has led to changes to the way XX maintain records of incidents, with a view to ensuring that any staff member can provide comprehensive statements as necessary. This in turn assists other agencies in taking forward prosecutions or other action. (1.4.1, 8.1.2)

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Improvement Needs

• Raised when the organisation does not meet the required achievement level in any indicator

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Improvement Needs

XX use sub contractors to deliver door supervision services. However, the company used to provide this service is not an Approved Contractor. (3.1.3)

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Improvement Options

• Raised:– when meeting the required achievement level– to help the organisation improve

• What could be done not how to do it

• Organisation decides whether they take action– checked in following year

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Improvement Options

XX may wish to consider conducting a year-on-year comparison of the results from the employee questionnaire.

This would enable target setting and more effective monitoring of any progress made. (6.1.3, 9.3.1)

Good Practice, Improvement Needs and Improvement OptionsG

Any Questions?

Good Practice, Improvement Needs and Improvement Options

Any Questions?

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Action Plans

Delivered by Jim Eaton

of ISOQAR

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Action Plan

• When do you need to complete an Action Plan?

• When an Improvement Need has been raised during the assessment

Action Plan

• The next step depends on your route to approval e.g.

– Standard route– Fast track– Passport

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Action Plans

• Standard route companies

– Not approved until Improvement Needs (IN) have been resolved.

– If cannot be resolved within 6 months of eligibility a new application is generally required.

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Action Plans

• Fast track assessment/any re-verification or renewal. Already approved, so additional information has to be established.– Is the issue isolated?

– Is the issue systematic?

– Can it be rectified within a reasonable period i.e. 3-6 weeks?

– It can be rectified but not within 6 weeks?

Action Plan

• Passport

This will need to be discussed with your AB as the required action may vary.

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Action Plans

• In all cases, where a revisit is required due to INs being raised, an action plan and re-visit date should be discussed.

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Action Plan

• What needs to be included within the Action Plan?

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Action Plan

• Indicator number as referenced in the Assessors report

• Details of IN raised (establish root cause)• Expected date IN to be resolved e.g. within 3-6

weeks or longer if required.• A brief explanation of what the action entails

including corrective and preventive action• Details of person responsible for actioning the IN• Date of re-visit, if relevant

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Action Plans

• What are the typical or potential areas which are the general cause for an extended timescale?

– Vetting and screening

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Action Plan

• The Action plan needs to be sent to the SIA and the Assessing Body (AB) within five working days of receiving the Assessors summary report ACSEnquiries@the-sia.org.uk

• Inform the Assessing Body of the progress and ask for guidance if required.

• Inform the SIA and the AB when completed.

• Prepare for the re-visit.

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Action plan

• Do all INs require a revisit?

• No e.g. licensing, which can be checked on the SIA website, the majority of other cases will require a re-visit

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Action Plan

• Any questions?

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Re-visits

Delivered by Jim Eaton

of ISOQAR

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Re-visit

• During the assessment the Assessor would have determined if linked indicators had been broken down or weakened by the IN.

• Additional INs or IOs (Improvement Options) may need to be raised e.g. any IN raised is likely to link into Criteria 9 – results.

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Re-visit

• A Re-visit will be booked within the agreed timeframe, usually with the same Assessor and as agreed with the SIA Quality Assurance Manager.

• What happens next?

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Re-visit

• The Assessor will send a new visit plan showing the people they wish to meet and areas they wish to review.

• A re-visit will be conducted to review the IN(s) raised.

• If the Assessor is satisfied with the actions taken and that robust procedures are in place a recommendation will be sent to the SIA to sign the IN(s) off.

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Re-visit

• The Assessor will update the original Assessment Report and send it to the company and the SIA within 5 working days.

• It is the SIAs final decision, whether to grant

approval or not, so if the SIA Quality Assurance Manager is satisfied with the Assessors recommendation they will take the appropriate action.

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Re-visit

• If the Assessor is not satisfied with the findings the IN will remain in place and a further Action Plan will be required.

• At this point the SIA may intervene.

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Re-visit

• Will the revisit cost more?

• It is likely that the AB will make a charge for the re-visit depending on the circumstances, complexity and details involved.

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Re-visits

Any questions?

xACS Sanctions Framework

Stephen Grieve

ACS Quality Assurance Manager

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ACS Sanctions Framework

• Available on ACS webpage at www.sia.homeoffice.gov.uk

• Read in conjunction with ACS Terms & Conditions

• Proportionate Approach – Right of Appeal

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Any final questions?

Remember your feedback/evaluation form.

Thank you!

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