ACS Training Workshop Northampton Worcester Nottingham Falkirk London

1. ACS Training Workshop Northampton Worcester Nottingham Falkirk London October/November 2009

2. 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

3. ACS Assessment Process Jody Parker ACS Quality Assurance Manager

4. 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.

5. 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)

6. 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

7. Record self assessment on-line • use ‘evidence’ box to record summary points for sub-criterion • red marker indicates required level • use N/A if not-applicable (rare!) • justify your score under each indicator

8. SAW – Poor Example(see handout)

9. SAW – Good Example(see handout)

10. Summary screens show your status

11. 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

12. 6 – People (6.1.1)

13. SAW – 6.1.1 Weak Indicator(see handout)

14. 9 – Results (9.3.1)

15. SAW – 9.3.1 Weak Indicator(see handout)

16. 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

17. 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

18. 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 Tips for recording self assessment

19. 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

20. Any Questions?

21. Preparing for an ACS Assessment Keith Leyland CCAS

22. 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”)

23. 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.

24. 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)

25. 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.

26. 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.

27. ANY QUESTIONS?

28. Developing the Visit Plan Delivered by Keith Leyland of CCAS

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

30. 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.

31. 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.

32. 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

33. 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.

34. 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

35. 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”.

36. 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.

37. 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.

38. ANY QUESTIONS?

39. The Role of the Assessor Delivered by Kay Aitkin of National Security Inspectorate

40. Assessor’s Role • The assessor’s role is one of: • verification • provision of feedback

41. Assessor’s Role • What is ‘verification’? • Relies on realistic self assessment • Check the self assessment • Confirms the evidence • How?

42. 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

43. Assessor’s Role • Test results • Focus on • actual practices • extent of deployment • Outcomes • Review documentary evidence where relevant

44. Assessor’s Role • Apply judgement • scoring • identify strengths and areas for improvement • Provide feedback • discussion • Provide confidence to SIA • applicant meets requirements

45. Assessor’s Role Any Questions?

46. Good Practice, Improvement Needs & Improvement Options Delivered by Kay Aitkin of National Security Inspectorate

47. Feedback • 3 types of feedback • Good Practice • Improvement Needs • Improvement Options

48. Good Practice • What the organisation is doing well • relative to size of organisation • industry model

49. 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)

50. Improvement Needs • Raised when the organisation does not meet the required achievement level in any indicator