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The SIA Approved Contractor Scheme Self Assessment Workbook November 2011
The contents of this publication are copyright 2005 Security Industry Authority, all rights reserved. No part of the contents may be reproduced or transmitted in any form, by any means without prior written permission of the copyright owner.
1. 2. 3.
1. 2. 3. 4. 5. 6. 7. 8. 9.
Background Approved Contractor Scheme .............. iii The ACS Assessment Process ........................................ vi ACS Self Assessment Workbook Criteria
Strategy.......................................................................................................... 2 Processes ...................................................................................................... 9 Commercial Relationship Management ............................................... 20 Financial Management .............................................................................. 30 Resources ................................................................................................... 35 People .......................................................................................................... 41 Leadership................................................................................................... 60 Corporate Social Responsibility ............................................................ 65 Results ......................................................................................................... 67
1. Background Approved Contractor Scheme

1.1. About the SIA Approved Contractor Scheme Standard
There are a number of standards and business improvement models that currently exist. The most widely recognised of these within the UK are ISO 9000 and the European Foundation for Quality Management (EFQM) Excellence Model. In addition there are a number of British Standards applicable to the Private Security Industry. Paragraph 2.1 gives further detail. The Approved Contractor Scheme (ACS) Standard sets out the standards expected for approval. This Self Assessment Workbook provides the detail to enable organisations to show that they meet these standards. The ACS Workbook Guide, also available from the SIA website, www.sia.homeoffice.gov.uk gives additional guidance material and examples. These documents together support the purpose of the scheme, which is to protect the public and to maintain and improve standards within the Private Security Industry. The achievement level within the ACS Standard is set to validate existing good practice; encourage the development of new practices and discourage bad practice found in some organisations within the industry. The ACS Standard is comprehensive and organisations do not require separate certification to other standards, e.g. ISO9000 or specific British Standards, in order to be an approved contractor. However, in meeting ACS requirements, approved contractors are expected to work to the British Standard Codes of Practice appropriate to their activities see paragraph 2.1 below. The ACS Standard has been developed with a wide scope encompassing all aspects of a business. It provides a holistic view of how well an organisation meets the needs of all of its stakeholders including how it is: being managed and led providing services to its customers providing for and managing its employees considering the society and environment in which it operates The requirements of the ACS Standard are generic and can be applied to all organisations regardless of size and sector. The assessment process allows organisations to demonstrate, to an SIA approved assessor, how their way of conducting their business meets the required achievement level to become an SIA Approved Contractor. The assessors will apply the ACS Standard in a pragmatic way taking into account the nature of the applicants organisation and the context in which its services are delivered. The assessment process will also be used to provide input to the ongoing development and improvement of the ACS Standard. Any changes proposed to the ACS Standard will be subject to consultation with the Private Security Industry.
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1.2. The ACS Standard

The ACS Standard encompasses the key requirements found in ISO9000 and the existing Security Industry British Standards whilst challenging the industry to review its approaches in other areas covered by the EFQM Excellence Model. It consists of nine criteria, listed in Figure 1 ACS Standard Criteria. Each of the nine criteria is broken down into a number of sub-criteria that, when met, demonstrate how excellent service delivery and sound business management are achieved. The ACS Standard Definition document is available via the SIA website www.sia.homeoffice.gov.uk (in Publications Section) or on request to: The SIA, PO BOX 49768, London, WC1V 6WY The SIA and its approved Assessing Bodies will ensure consistent application of the ACS Standard across the Private Security Industry.
1.3. Who should consider applying?

The ACS Standard is applicable to any organisation that provides licensable security services as defined in the Private Security Act 2001. It is appropriate for all sectors and sizes of organisation within the industry as it allows organisations to develop their own methods of working within the guidelines laid down within the standard. The standard does not specifically require the development of a documented quality management system. However an organisation will have to demonstrate to an assessor how its chosen methods are effective in delivering high levels of customer satisfaction and a sustainable business. Many organisations will achieve this through documented procedures and records.
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Criterion Name 1 2 Strategy Processes Commercial Relationship Management Financial Management Resources People Leadership Corporate Social Responsibility Results
ACS Standard An SIA Approved Contractor has clear strategic direction enabling it to deliver value to all stakeholders. An SIA Approved Contractor has robust processes in place that ensure service delivery to its customers and stakeholders. An SIA Approved Contractor promotes robust and transparent commercial relationships with its customers, consumers and suppliers founded on mutual trust and respect. An SIA Approved Contractor is financially viable with sufficient resources to meet its current and future obligations. An SIA Approved Contractor has sufficient technical resources to sustain its business, meeting the relevant industry standards. An SIA Approved Contractor develops and implements plans to ensure its people are suitably trained, developed and cared for. An SIA Approved Contractor has effective leadership. An SIA Approved Contractor recognises and acts on its corporate social responsibility. An SIA Approved Contractor measures, understands and improves its achievements in relation to all stakeholders and adopts a continual improvement policy.
4 5 6 7 8 9
Figure 1 ACS Standard Criteria
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2. The ACS Assessment Process

The ACS assessment process, as shown in Figure 2 ACS Assessment High Level Process, is based on self assessment, independently verified by an SIA Approved Assessing Body.
ACS Assessing Body Conduct Verification Visit
Score
Send Report to SIA
Applicant Register Interest Complete Self Assessment Workbook Make Application to SIA
Arrange Verification Visit
Check Criteria Met
Fast Track Aproval
SIA Final Approval Decision
Intelligence Check SIA
Figure 2 ACS Assessment High Level Process Full details of how to become an SIA Approved Contractor are available on the SIA website; www.sia.homeoffice.gov.uk
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2.1. The Self Assessment Workbook

The Self Assessment Workbook (SAW) is a tool to help an organisation wishing to become an SIA Approved Contractor, and to prepare for a verification visit by an SIA approved assessor. The SAW is designed to help organisations determine whether they meet the ACS Standard prior to making a formal application to the SIA, when they will be required to pay an application fee and, on approval, a registration fee. Organisations which, after completing the self assessment workbook, conclude that they do not meet the ACS requirements should implement the improvements needed before making an application to the SIA. However, an organisation not reaching the required level may, at its own risk, proceed with an application to the SIA if they feel that they will reach the achievement level by the time the verification visit takes place in these cases it will be the independent verification rather than the self-assessment that will determine whether the SIA grants approval. The workbook presents the nine criteria of the ACS Standard and the associated sub-criteria. The indicators within each sub-criterion will allow an organisation to demonstrate: what they do how they do it the extent to which it is done within the organisation how the organisation knows its actions are successful Every organisation is different due to its size and the nature of its business and it is the responsibility of the applicant organisation to identify and demonstrate how its approaches meet the ACS standard.
To help organisations understand where they are in relation to the requirements of the standard up to five different achievement levels are defined for each indicator as shown in Figure 3 Example Achievement Level. The columns represent progressive improvement in performance from left to right. The required achievement level for the ACS Standard is indicated by the column title (with shaded cell) as so:
Required Achievement Level
For some indicators less than five different achievement levels are defined. In these cases the right hand columns are therefore intentionally blank. The required achievement level for all ACS self assessment workbook indicators is reviewed annually by the SIA and may be changed depending on current industry performance and the potential for improvement.
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2.4.3
Defined and implemented incident procedure exists. Required Achievement Level
There are no overall incident procedures developed by the organisation. Procedures may have been developed at an individual site in response to incidents previously at that site.
Incident procedures have been developed by the organisation. Employees working on a customer site/venue are advised of the procedures by colleagues when they arrive at a customer site for the first time.
There are procedures in place to deal with incidents at customer sites. Employees working at a customer site are continually made aware of the procedures. The procedures are followed on every occasion. These have been agreed with the customer.
All aspects of the previous column plus: Where these relate to a customer site the procedures have been developed in conjunction with and agreed by the customer. All relevant employees are fully aware of the procedures. Procedures are in place to monitor employees awareness. The procedures are followed on every occasion.
Figure 3 Example of Achievement Level The ACS standard has been designed as a quality standard for application in relation to all the activities regulated by the SIA. However, the SIA recognises that certain British Standard Codes of Practice provide more detailed good practice relating to a particular activity such as security guarding or door supervision. This self assessment workbook therefore identifies appropriate British Standards that approved contractors must conform with. Since these are codes of practice and not requirements standards it is anticipated that some detail in the codes of practice will not be appropriate to every contractor. In such cases, a contractor should consult their assessing body or the SIA to provide advice. F Existing Security Industry Codes of Practice identifies the relevant codes of practice for each activity for which ACS approval is available. Contractors seeking approval for a particular activity must work to the code(s) of practice listed. Additional information about the British Standard Codes of Practice can be found at: www.bsi-global.com Information about the EFQM Excellence Model can be found at: www.quality-foundation.co.uk
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Standard Number*
BS7858
Title
Security Screening of Individuals Employed in a Security Environment Code of Practice Closed Circuit Television (CCTV) Management and Operation Code of Practice Static Site Guarding and Mobile Patrol Services Code of Practice Door Supervisors/Stewards Code of Practice Manned Security Services Cash in Transit (Collection and Delivery) Code of Practice Key holding and Response Services Code of Practice Close Protection Services within the United Kingdom Code of Practice The use of General Purpose Security Dogs Code of Practice
Use for:
All activities regulated by the SIA
BS7958 BS7499 BS7960
Public Space Surveillance (CCTV) Security Guarding Door Supervision
BS7872
Cash & Valuables in Transit
BS7984 BS8507-1 BS8517-1 n/a
Key Holding Close Protection Security Guarding Vehicle Immobilisation
BPA Code of Practice for Parking Enforcement* Figure 4 Existing Security Industry Codes of Practice
*Vehicle Immobilisers should work to the British Parking Association Code of Practice for Parking Enforcement or equivalent. If new British Standard codes of practice are published that detail further good practice in relation to an activity regulated by the SIA then the SIA will expect approved contractors to conform to these codes of practice within 6 months of their publication.
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Figure 5 Overlap between ISO9000 and the ACS Standard. Generally an organisation that conforms to all the requirements of ISO9001:2008 can expect to meet the required ACS achievement level for around two-thirds of the 89 ACS Self Assessment Workbook indicators. The remaining 30 or so ACS indicators are not directly covered by ISO 9001:2008 Some indicators in the workbook have corresponding legal requirements. For organisations wishing to confirm they meet these requirements, information can be found from the website of the Department for Business, Enterprise & Regulatory Reform www.bis.gov.uk or at the Business Link web site www.businesslink.gov.uk
ACS Criteria Strategy Processes Commercial Relationship Management Finance Resources People Leadership Corporate Social Responsibility Results
Coverage of ACS Criteria by ISO 9001 Good Good Very Good Good Very Good Good Some None Some
Figure 5 Overlap between ISO 9001:2008 and the ACS Standard
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2.2. Who should complete the workbook and be involved in the self assessment process?
The self assessment workbook can be used in a number of ways. It may be completed by one or more of the following: the senior management a cross section of managers a cross section of levels within the organisation a person within the organisation responsible for quality or standards It is recommended that as many people as possible in the organisation participate in the self assessment to ensure it is a true reflection of the organisation. Multi-sited organisations may choose to use a copy of the workbook at each site, in order to satisfy themselves that they are consistently meeting the requirements across the organisation. The results can usefully inform the completion of the single self assessment workbook required for ACS application.
2.3. How to use the workbook

The ACS Self Assessment Workbook and the supporting ACS Achievement Record have been designed to enable organisations to: work through the criteria in any order start, stop and start again as and when the time and resources are available Work through each of the indicators selecting the column that best represents the performance of your organisation. You must meet, in a way appropriate to your business, all the requirements listed in the extreme left hand column before moving across to the next column. Work across the columns to the right until you reach your achievement level, i.e. the highest column you are completely achieving. The required achievement level for the ACS Standard is marked. Where a column begins with the phrase All aspects of the previous column plus: then every requirement of the previous column must be satisfied plus all those in the next column. Note the items you have considered to be key in determining your position. When thinking about your achievement level consider: what you do how you do it the extent to which you do it how you know your actions are successful
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For each indicator, complete a summary of key points or simply note the relevant approaches, e.g. covered in assignment instructions at every site. This will help you to create an improvement plan, where needed, and provide information that will help the assessor to plan the verification visit more effectively. If a particular indicator is not appropriate to your organisation then mark that it is not applicable. However, in such a case, you must explain why it is not appropriate. Care needs to be taken not to assume that because something is currently not done that way within a sector that it is not applicable. Generally, the number of indicators that are not applicable will be very low. For example: Indicator 3.1.3 A selection process for sub contractors exists and is used would not be applicable if your organisation does not use sub-contractors in the delivery of any contracts. To familiarise yourself with the SAW and the process should take you about one hour. The time involved to actually complete the SAW is dependent on the size of your organisation. As a guide the minimum time requirement for a small organisation, i.e. with an annual turnover up to 1 million should be approximately one day. For a large or multi-site organisation, i.e. with an annual turnover of over 4 million, it could take as much as five days. If you are unsure or require clarification on any of the content of the workbook then please refer to the ACS Workbook Guide, available from the SIA website www.sia.homeoffice.gov.uk. This guide is based on feedback during the development of the workbook and on early experience of its application. It will be updated periodically.
2.4. Recording achievement against the ACS Standard

In order to record your self assessment, you will need to access the online Achievement Record on the ACS section of the SIA website. You will need the email address (user name) that you used to register and the password sent to the email address. On the main menu of the online Achievement Record you will find guidance on how to use the online Achievement Record, including some good practice tips on completing the self assessment. Take some time to read these. Record your self assessment in the online Achievement Record. Please refer to the guidance document on the SIA website, entitled Tips for completing your ACS self assessment for further information about how to complete your self assessment online. This can be found at www.sia.homeoffice.gov.uk/Pages/acs-routes.aspx As you complete your online Achievement Record, your scores for each indicator are automatically summarised in a separate graph and table providing immediate visual confirmation of your position against the ACS Standard. All scores of 0 indicate achievement of the ACS Standard. All positive scores indicate that you are performing above the ACS Standard in that area. Negative scores indicate where the ACS Standard has not been met. In order to become an SIA Approved Contractor you must achieve at least a score of 0 in all indicators. The only exception will be any indicators that are Not Applicable. You can save and exit the online Achievement Record, and then return to it at another time to edit or update your self assessment. When you are satisfied that you have completed the online self assessment, and are ready to submit this to the SIA, press the SUBMIT button. Once you have submitted your self assessment to the SIA, your assessment cannot be edited. Your assessment will be made available to the assessor who carries out your verification visit and they will use your self assessment to help plan their visit.
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3. ACS Self Assessment Workbook Criteria
Please Note Key To Changes:

Requirements change for 2011 Good Practice change for 2011 Clarification for 2011
If requirements have materially changed from the 2008 Workbook this is highlighted by a note on the left hand side of the relevant indicator table.
Significant clarifications to the standard are now highlighted in blue
If good practice boxes have been added this is highlighted by a note on the right hand side
Pl ea s e no t e S IA AC S a s s e s so rs wi l l a s se s s a nd r ep or t a gai n st th e c ha ng ed SA W r e qui re m e n ts f r o m 1 No v e mb e r 20 1 0 . Th e n ew r eq uir e m en t s b e co m e ma nd a to ry ( par t of A CS T er m s & C on di ti o ns of App ro val ) f ro m 1 April 20 1 1 .
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1. Strategy
An SIA Approved Contractor has clear strategic direction enabling it to deliver value to all stakeholders.
1.1 1.1.1 An SIA Approved Contractor has an approach to business that enables delivery of value to all stakeholders. The organisation has a clear approach to business that is acted on and communicated to all staff. Required Achievement Level The organisation can describe its overall approach to business including its role, purpose or mission. All aspects of the previous column plus: The approach to business supports delivery of service to the customer. The approach to business is explained to employees when they join the organisation. All aspects of the previous column plus: There is ongoing communication of the approach to business to employees including their role in its delivery. All aspects of the previous column plus: The approach to business focuses on meeting the needs of customers, consumers and the wider public. What is important to the business and what is expected of employees are clearly defined. Plans to maintain and develop the business are in line with the approach to business. All aspects of the previous column plus: The approach to business clearly addresses the needs of other key stakeholders. Employee understanding of the approach to business is monitored through checks during service delivery.
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1. Strategy
1.1 1.1.2 An SIA Approved Contractor has an approach to business that enables delivery of value to all stakeholders. Key stakeholders are aware of the organisations overall approach to business. Required Achievement Level The organisations role, purpose or mission is communicated to customers, consumers and the wider public if requested. All aspects of the previous column plus: Potential customers are always made aware of the role, purpose or mission during the acquisition of new business Existing customers are always made aware of the role, purpose or mission during the acquisition of new business. All aspects of the previous column plus: Customers and where appropriate other key stakeholders are always made aware of the organisations overall approach to business as part of negotiations to acquire new business. All aspects of the previous column plus: Other stakeholders such as consumers, police and other authorities are made aware of the organisations overall approach to business. Customers are asked to comment on how well the approach to business is applied. There is ongoing communication of the approach to business to all stakeholders such as consumers, police, other authorities and the wider public. Other stakeholders are asked to comment on how well the approach to business is applied by the organisation and by its employees.
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1.2 1.2.1
An SIA Approved Contractor can demonstrate clear policies for the delivery of service to required standards. Critical success factors have been clearly identified and internal measures are in place to monitor progress towards achievement. Required Achievement Level
Internal financial measures are in place. Review of performance against measures happens infrequently or if a problem occurs.
Critical success factors have been identified. Internal measures include financial measures and customer service levels. Review of performance against measures happens on a regular basis.
All aspects of the previous column plus: Internal measures also include employee measures.
All aspects of the previous column plus: All measures have targets and are reviewed on a monthly basis by all appropriate leaders.
All aspects of the previous column plus: Progress towards achievement of targets is monitored through an internal balanced scorecard or other valid mechanism.
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1. Strategy
1.2 1.2.2 An SIA Approved Contractor can demonstrate clear policies for the delivery of service to required standards. Goals, objectives and targets are clearly visible for all levels of the organisation. Required Achievement Level Goals, objectives and targets are set at a high level within the organisation. Goals, objectives and targets are set at a high level within the organisation. They cover the financial and service delivery aspects of the organisation. Employees are aware of the goals, objectives and targets that affect their area of service delivery. Goals, objectives and targets are discussed with individuals. There is a link between the goals, objectives and targets of individual employees and the organisations overall objectives. They cover the financial, service delivery and employee aspects of the organisation. Employees are aware of how their individual goals and objectives are linked to the organisations overall objectives. Goals, objectives and targets can be traced down through the organisation. They are developed through discussions with the employee responsible for their achievement. There is a clear link with the role, purpose or mission and plans to maintain and/or develop the business. They cover all aspects of the organisation such as financial, service delivery, employee and reputation.
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1. Strategy
1.2 1.2.3 An SIA Approved Contractor can demonstrate clear policies for the delivery of service to required standards. Procedures have been defined to ensure compliance to working standards or codes of practice and are fully implemented. Required Achievement Level The organisation has decided to deliver customer service according to internally agreed standards. The organisation is committed to delivering a quality service to its customers that is based on established high standards or a code of practice. Where a British Standard Code of Practice exists for a particular industry sector (as determined by the SIA) organisations seeking approval for the sector should work to it. Any deviation from the recommendations of a particular Code of Practice should be justified. Employees responsible for service delivery are aware they must deliver to these standards. They have been implemented in service delivery areas. A process for checking compliance exists. All aspects of the previous column plus: All employees are aware the standards or code of practice and the necessity to meet the requirement. They are understood and implemented throughout the organisation. There is an implemented programme of regular internal audits to ensure full compliance. All aspects of the previous column plus: There is an implemented programme of regular external audits to ensure full compliance. All aspects of the previous column plus: The organisation participates in the development of private security industry code(s) of practice.
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Good practice added for 2011
1. Strategy
1.3 1.3.1 An SIA Approved Contractor can demonstrate a coherent plan for the business which is regularly reviewed. A plan for the business exists with a clear review schedule. Required Achievement Level A plan for the business exists that is primarily financial in scope. A plan for the business exists that is based on the financial needs of the organisation and the needs of customers. The plan for the business is reviewed at least annually unless driven by exceptional events. All aspects of the previous column plus: The plan for the business also reflects: the approach to business of the organisation the needs and expectations of customers and employees All aspects of the previous column plus: The plan for the business also incorporates analysis of performance against internal indicators and indicates targets for the coming period. A schedule for the ongoing review of performance against the plan for the business exists and is fully implemented. All aspects of the previous column plus: The plan for the business also: is based on an understanding of the needs and expectations of all stakeholders incorporates an understanding of information gained from learning activities, analysis of competitor information, benchmarking exercises, and social, environmental and legal issues
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1. Strategy
1.4 1.4.1 An SIA Approved Contractor can demonstrate an effective internal and external communications strategy. The management of internal and external communication is handled effectively. Required Achievement Level The organisation communicates with its customers and employees in an unplanned and ad-hoc manner. Responses to adverse publicity about either the organisation or events within the sector are unplanned. Planned communication takes place between the organisation, its customers and employees. There are some procedures in place to manage adverse publicity about either the organisation or events within the sector. All aspects of the previous column plus: The organisation has identified the communication needs of its customers and employees All opportunities for communication between the organisation, customers and employees are used. The procedures to manage adverse publicity also include: a designated spokesperson authorised levels of sign-off on comments These procedures are always used. All aspects of the previous column plus: Any feedback received on the way the organisation communicates is reviewed and improvements made in future communication. Information concerning the communication needs of customers and employees is used to plan how the organisation communicates with these groups. The procedures to manage adverse publicity about either the organisation or events within the sector also include: keeping of records of any responses made involving customers in the planning of responses These procedures are always used. All aspects of the previous column plus: The organisation has also identified the communication needs of other stakeholder such as consumers, police, other authorities and the wider public. This information is used to develop and implement plans to communicate with these stakeholders. Every available opportunity for communication between the organisation and other stakeholders is used. The organisation checks the awareness and understanding of stakeholders to ensure the effectiveness of its communication.
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2. Processes
An SIA Approved Contractor has robust processes in place to ensure delivery to its customers and stakeholders.
2.1 2.1.1 An SIA Approved Contractor can demonstrate that it has identified and understands its key service delivery processes. Key service delivery processes have been identified and are understood by all. Required Achievement Level The organisation has identified the key processes for the delivery of services to its customers. Requirements change for 2011 All aspects of the previous column plus: These are documented in training manuals or in individual procedures and are reliably followed in practice. All aspects of the previous column plus: These have standards of performance which can be assessed for compliance. The organisation has identified its key service delivery processes. These are documented in training manuals or in individual procedures and are reliably followed in practice. All key service delivery processes have an identified responsible manager or director. Key service delivery processes have measures of performance that are monitored. Key service delivery processes are reviewed to ensure continuing relevance. Key service delivery processes are regularly tested outside routine site visits and inspections to ensure continuing effectiveness. All aspects of the previous column plus: The identified responsible manager or director takes an active interest in the achievement of a high level of performance. All process measures have performance targets. The impact of performance in key service delivery processes is understood by all. Processes are reviewed to ensure continuing relevance and effectiveness in the delivery of excellent service to the customer. Actions resulting from tests of the key service delivery processes, are created with resolution timeframes.
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2. Processes
2.2 2.2.1 An SIA Approved Contractor can demonstrate that it has a sound plan to ensure continuity of service delivery. There is a sound plan to ensure continuity of service delivery. Required Achievement Level Plans for business continuity during periods of labour shortages exist. All aspects of the previous column plus: The plans also cover incident and crisis management in all aspects of service delivery. The plans are reviewed periodically to ensure continued effectiveness. All aspects of the previous column plus: The plans also contain: details of actions to be taken named multiple responsible people There is a schedule to review the continuing relevance and effectiveness of the plans. The plans cover the full scope of the business. All aspects of the previous column plus: The plans for business continuity are tested regularly for effectiveness. Actions resulting from tests of the plans for business continuity are created with resolution timeframes.
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2. Processes
2.3 2.3.1 An SIA Approved Contractor can demonstrate that it has processes in place to identify customer needs. The organisation understands its customers requirements. Required Achievement Level The organisation conducts fact finding discussions with new customers to identify their requirements. All aspects of the previous column plus: The organisation contacts or meets with its customers to: clarify requirements following a complaint All aspects of the previous column plus: The organisation also contacts or meets with its customers to: discuss ongoing requirements discuss changes to existing requirements All aspects of the previous column plus: The organisation has regular, meetings with all customers. All employees at a customer site are fully aware of that customers requirements. All aspects of the previous column plus: There are procedures in place to monitor the awareness of employees of customer requirements.
2.3.2
There is an awareness of the impact of service delivery on consumers at all levels of the organisation. Required Achievement Level
The impact of service delivery on consumers (the wider public affected by the security service) is not considered by the organisation.
The impact of service delivery on consumers is discussed when there has been a complaint or adverse publicity concerning the sector.
The impact of service delivery on consumers is discussed at a senior management level at regular intervals. All employees are aware of the impact of service delivery on consumers and, where appropriate, their role in protecting the public.
The role of protecting the public is discussed throughout the organisation and forms part of discussions with the customer. All employees are trained in: their role in protecting the public how this interfaces with the police and with other authorities
All aspects of the previous column plus: There are procedures in place to monitor this awareness that are fully implemented.
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2. Processes
2.3 2.3.3 An SIA Approved Contractor can demonstrate that it has processes in place to identify customer needs. The management of contractual arrangements with the customer has been defined and implemented. Required Achievement Level Contractual arrangements are managed in an ad-hoc manner. There are procedures in place for the establishment and management of contractual arrangements with key customers. These include: negotiation of the terms and conditions of supply documentation confirming terms and conditions of supply All aspects of the previous column plus: Some of the contracts and/or terms and conditions of supply have been signed as approved by both parties. All aspects of the previous column plus: The procedures also include the establishment of written contracts. All contracts are signed as approved by both parties or customer refusal to sign can be evidenced. The procedures are applied to all customers. The building of the customer /service provider relationship is a high priority. All aspects of the previous column plus: The procedures also ensure adherence to the contractual arrangement. Contracts are monitored for review and renewal periods.
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2. Processes
2.4 2.4.1 An SIA Approved Contractor can demonstrate that it has processes in place to monitor and manage service delivery to both customers and consumers. Customers are made aware of and agree to the provision of service via subcontractors. Required Achievement Level Subcontractors are used on site without the knowledge or agreement of the customer. Customers are advised by the organisation that subcontractors are being used. The customer has the opportunity to ask that the subcontractors are removed from any particular assignment. All aspects of the previous column plus: The use of subcontractors is agreed with the customer before their deployment. The customer has the opportunity to ask that the subcontractors are no longer used. All aspects of the previous column plus: Customers are given confirmation that all subcontractor organisations used to deliver security services are SIA Approved Contractors.
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2. Processes
2.4 2.4.2 An SIA Approved Contractor can demonstrate that it has processes in place to monitor and manage service delivery to both customers and consumers. Customer and consumer performance indicators and service level agreements have been established. Required Achievement Level No customer or consumer performance indicators have been established. Service level agreements are agreed for key customers with some indication of required performance standards. Performance against the indicators is reviewed regularly. All customer contracts and/or terms and conditions of supply have an agreed service level agreement with performance indicators. Performance targets are agreed and reviewed regularly with the customer. Where customer targets are not met action plans are developed together. Timescales for improvement are agreed. All aspects of the previous column plus: Service level agreements with customers include some consumer indicators. These relate to users impacted by service delivery. Performance against these indicators is regularly reviewed internally. All aspects of the previous column plus: There are additional consumer measures in place. These relate to the: general public the police other authorities These are regularly reviewed with the customer. All consumer performance indicators have targets aimed at improving the results. Where targets are not met action plans are developed with agreed completion timescales.
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2. Processes
2.4 2.4.3 An SIA Approved Contractor can demonstrate that it has processes in place to monitor and manage service delivery to both customers and consumers. Defined and implemented incident procedures exist. Required Achievement Level There are no overall incident procedures developed by the organisation. Procedures may have been developed at an individual site in response to incidents previously at that site. Incident procedures have been developed by the organisation. Employees working on a customer site are advised of the procedures by colleagues when they arrive at a customer site for the first time. There are procedures in place to deal with incidents at customer sites Employees working at a customer site are continually made aware of the procedures. The procedures are followed on every occasion. These have been agreed with the customer and are followed. All aspects of the previous column plus: Where these relate to a customer site the procedures have been developed in conjunction with the customer. All appropriate employees are fully aware of the procedures.
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2.4.4
All procedures are regularly reviewed. Required Achievement Level
Service delivery procedures are reviewed after a customer complaint has been received or an incident has highlighted an improvement opportunity.
All aspects of the previous column plus: All associated service delivery procedures are also reviewed by the manager or director responsible. There are processes in place that enables issues and improvements to be raised by users.
All aspects of the previous column plus: Service delivery procedures are reviewed on a regular basis.
All aspects of the previous column plus: There are processes in place that enable service delivery issues and improvements to be raised and reviewed outside of the review process.
All aspects of the previous column plus: All of the organisations procedures are subject to regular review. There are processes in place for all procedural issues and improvements to be raised and reviewed outside of the review process.
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2. Processes
2.4 2.4.5 An SIA Approved Contractor can demonstrate that it has processes in place to monitor and manage service delivery to both customers and consumers. Procedures exist to ensure the attendance of employees on customer sites. Required Achievement Level Employees are not required to register their arrival and departure from work. Requirements change for 2011 All employees working at a customer site/venue are required to register their arrival and departure from work. These procedures apply only to customer sites that are considered to be high risk. All aspects of the previous column plus: Attendance records are kept to ensure that procedures are followed. These are implemented for every employee working at a customer site/venue for every site. Attendance at customer sites is registered where employees are required to visit multiple sites during the course of their work period. Attendance records are reviewed by management on a routine basis. Employees are aware of the importance of adhering to these procedures. Procedures are in place to deal with employee non-attendance at customer sites. All aspects of the previous column plus: Targets are set and routinely monitored for attendance at customer sites. All aspects of the previous column plus: Electronic means are used to register attendance at customer sites.
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2. Processes
2.5 2.5.1 An SIA Approved Contractor can demonstrate that it has a process in place to improve its processes to the benefit of all stakeholders. Plans for improvement exist, based on the review of actual performance. Required Achievement Level Improvements are actioned on an ad-hoc basis. These improvements are generally conducted without the coordination of management, with no prioritisation. Improvement plans exist for some service delivery areas and there is some co-ordination and prioritisation of activities. Reviews are undertaken occasionally to ensure activities deliver some improvement. Improvement plans exist that cover customer site based processes. Improvement activity is coordinated and prioritised. All plans have dates for delivery and expected improvement targets. Improvement plans are reviewed at a local level. All aspects of the previous column plus: Improvement plans exist that cover processes internal to the organisation. Prioritised improvement plans are produced as a result of the review of performance. Regular reviews of all plans for improvement are conducted by the appropriate level of management to ensure delivery of improvement. All aspects of the previous column plus: All plans have assigned owners, dates for delivery and expected outcomes.
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2. Processes
2.5 2.5.2 An SIA Approved Contractor can demonstrate that it has a process in place to improve its processes to the benefit of all stakeholders. Procedures for the implementation of changes are in place and used. Required Achievement Level Procedures are in place to manage the implementation of changes to procedures. Procedures are in place to manage the implementation of changes to policies and procedures. These include: communicating the change to the relevant employees maintenance of document version control These procedures are used to implement major changes. Procedures are in place to manage the implementation of changes to procedures that are relevant to the type and impact of the change. These include: communicating the change to the relevant employees training, where appropriate, takes place prior to the change being implemented maintenance of document version control These procedures are used to implement changes to service delivery processes. Progress is monitored to ensure delivery of desired results. All aspects of the previous column plus: The procedures to implement change are clear and designed to maximise its effectiveness. These include: reviewing the introduction of technology to improve procedures conducting pilots or other means of controlling the implementation of change communicating the change to all appropriate stakeholders reviewing how the change was managed to identify improvements to the procedures. These procedures are used for all implemented changes.
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3. Commercial Relationship Management

An SIA Approved Contractor promotes robust and transparent commercial relationships with its customers, consumers and suppliers founded on mutual trust and respect.
3.1 3.1.1 An SIA Approved Contractor can demonstrate how it manages the procurement of goods and services from its suppliers and monitors its ongoing performance. Purchasing procedures have been identified and are implemented. Required Achievement Level There are no purchasing procedures in place. Suppliers are usually selected solely on the basis of cost. There are guidelines as to who in the organisation can make or authorise purchases for items that may impact the quality of service delivery. Purchases of these items are only made from preferred suppliers. Preferred suppliers have been selected based on a demonstrated ability to meet all quality, cost and service requirements. Feedback from employees on performance is sometimes considered before making purchases. There are purchasing procedures in place that contain clearly defined specifications/requirements for all purchases that impact the quality of service delivery. These are appropriate for the size/type of purchase being made. Appropriate approval levels have been defined and are understood by relevant staff. The list of preferred suppliers is actively maintained and updated on a regular basis, based upon a review of supplier performance All aspects of the previous column plus: An ethical purchasing policy exists identifying the organisations clear intention to address environmental, social and ethical issues. All aspects of the previous column plus: Preferred suppliers should be selected after considering their approach and policies relating to, for example: Child labour; Forced labour, Health & Safety; Discrimination, Freedom of association; Fair pay for employees; Anti-corruption; Environmental impact; and; Working hours.
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3.1 3.1.2 An SIA Approved Contractor can demonstrate how it manages the procurement of goods and services from its suppliers and monitors its ongoing performance. The organisation works with its suppliers to improve performance against agreed requirements. Required Achievement Level Delivery timescales are agreed for each order when placed. Past performance is considered when new purchases are required. Performance requirements, e.g. specifications, delivery requirements, are determined and suppliers are advised accordingly. Suppliers are given feedback if performance requirements are not met. Performance requirements i.e. specifications delivery requirements, are determined and agreed with suppliers. Discussions take place to review supplier performance against the agreed requirements. All aspects of the previous column plus: Regular meetings are conducted with key suppliers to review performance against targets. Where performance is below standard actions for improvement including timescales are agreed. All aspects of the previous column plus: Actions arising from review meetings are documented with defined actions and timescales for resolution. Where performance is below standard actions for improvement including timescales are agreed. The organisation works with the supplier to improve performance. All levels of the organisation are given the opportunity to work with suppliers and customers to improve processes.
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3.1 3.1.3 An SIA Approved Contractor can demonstrate how it manages the procurement of goods and services from its suppliers and monitors its ongoing performance. A selection process for subcontractors exists and is used. Required Achievement Level Subcontractors are employed as and when required. Subcontractors are required to hold a valid SIA licence. All aspects of the previous column plus: There are implemented procedures for the selection of subcontractors which ensure appropriate vetting and screening procedures. All subcontractors sign a confidentiality agreement. All subcontractors are given contract terms and conditions of engagement and the provision of equipment is agreed and documented in the contract. All aspects of the previous column plus: All subcontractor organisations used to deliver a security service are ACS approved subcontractors are paid on an invoice only basis within agreed timeframes. All aspects of the previous column plus: Where appropriate, a process exists for the audit of the performance of sub-contractors.
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3.2 3.2.1 An SIA Approved Contractor can demonstrate how it offers professional advice to its customers on the delivery of appropriate services consistent with the organisations strategy and business ethics. Professional advice is offered to customers on the best approach to meet their needs. Required Achievement Level Professional advice is offered to customers on an ad-hoc basis. It is possible for any employee to offer advice to a customer regardless of their level of experience and training. All aspects of the previous column plus: There is some consultation with appropriate personnel who are sufficiently skilled to give advice. Discussions are held with potential customers on how best to meet their needs as part of the tendering process. These discussions are conducted by appropriate skilled personnel to ensure the appropriate alignment of the customer requirements. When a customer specifies a level of security that is not, in the opinion of skilled personnel, appropriate, then the resulting limitations to the service delivered are communicated to the customer. All aspects of the previous column plus: Discussions are held with existing customers when contracts are due for renewal to ensure the service offered is still the most appropriate. There are defined procedures in place for qualified personnel to offer advice to customers. All discussions focus on: ensuring the advice is relevant to customer needs developing the service offered to the customer Customer opinion of the advice given is sought and the lessons learned are fed back as improvements to the process. All aspects of the previous column plus: Any changes to the recommendations made are explained and documented. The use of technology is encouraged to better meet customer needs.
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3.2 3.2.2 An SIA Approved Contractor can demonstrate how it offers professional advice to its customers on the delivery of appropriate services consistent with the organisations strategy and business ethics. An approach to responding to tender/request for services exists and is implemented. Required Achievement Level The organisation has an ad-hoc approach to responding to tender/requests for service. There is a process in place to respond to requests for service either through a tendering process or otherwise. This includes undertaking precontract site visits and risk assessment, which where appropriate take account of any TUPE requirements. The process is used for some responses to procurement requests. There is a process in place for responding to the short notice requirements of a customer. All aspects of the previous column plus: The process to respond to requests for service includes: understanding the customer requirements undertaking pre-contract site visits and risk assessment which, where appropriate, takes account of any TUPE requirements. demonstrating a fit and proper management Selected people are responsible for the tendering process. Lessons learned from all bids are fed back into the process in the form of improvements. The process is used for all responses to procurement requests. All aspects of the previous column plus: There is a process in place to ensure a feasibility study is conducted prior to the commencement of a contract. For example, environmental/technical challenges and considerations are evaluated. All aspects of the previous column plus: ACS benchmarking data is used to support tender submissions and requests to supply services.
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3.2 3.2.3 An SIA Approved Contractor can demonstrate how it offers professional advice to its customers on the delivery of appropriate services consistent with the organisations strategy and business ethics. A process for canvassing and obtaining new business exists and is implemented. Required Achievement Level New business is obtained in an adhoc manner. The organisation has a well defined process for canvassing and obtaining new business. The process is based around ethical behaviour and integrity. It clearly links to the approach to business of the organisation. All aspects of the previous column plus: The process for canvassing and obtaining new business is consistent with the plans for the business. In canvassing and tendering for business the organisation highlights the benefits of using SIA Approved Contractors. All aspects of the previous column plus: The company makes use of approaches such as networking at industry event, local business forums and/or sector specific groups. The company reviews unsuccessful bids and learns lessons for future tendering.
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3.3 3.3.1
An SIA Approved Contractor can demonstrate how it manages relationships with customers. A process for ongoing customer site visits has been defined and implemented. Required Achievement Level
Customer site visits take place occasionally. There is no one individual responsible for conducting the site visits for specific customers.
There is a process with supporting procedures for ongoing customer site visits. These detail the frequency of visits by supervisors. The organisation adheres to the procedures for some of its key customers.
All aspects of the previous column plus: The procedures for ongoing customer site visits also detail the purpose of visits by supervisors. The organisation adheres to the procedures for supervisor visits for all customers.
All aspects of the previous column plus: The larger customers have a designated owner who is responsible for the management of the account. The procedures for ongoing customer site visits also include senior management visits.
All aspects of the previous column plus: Every customer has a pre designated owner who is responsible and accountable for the successful management of that account. The organisation adheres to the procedures for supervisor and senior manager visits for all customers.
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3.3 3.3.2 An SIA Approved Contractor can demonstrate how it manages relationships with customers. A customer complaints procedure is in place and implemented. Required Achievement Level Customer complaints are handled in an ad-hoc manner. No response is sent to the customer. Adverse customer feedback is classified and treated as a complaint. Customer complaints are handled in a timely manner. All complaints receive a standard response. Adverse customer feedback is classified and treated as a complaint. Customer complaints are handled in a timely manner. Customer complaints are recorded and analysed to look for patterns. Information on complaints is reviewed by the leaders of the organisation and improvements are implemented. All customers receive an individual response to their complaint. All aspects of the previous column plus: Efforts are made to ensure all complaints are resolved to the satisfaction of the customer. All aspects of the previous column plus: Information on complaints received and their resolution is published and made available on request.
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3.4 3.4.1 An SIA Approved Contractor can demonstrate how it manages relationships with consumers. Procedures are in place to handle consumer feedback and are implemented. Required Achievement Level Consumer complaints are received via the customer and are handled in an ad-hoc manner. Adverse consumer feedback is classified and treated as a complaint. Consumer complaints are received via the customer and are handled in a timely manner. A standard response is sent to the customer in reply. All aspects of the previous column plus: The customer receives an individual response to the consumer complaint; either in writing or through scheduled meetings. All aspects of the previous column plus: Consumer complaints are separated from customer complaints. Both the customer and the consumer receive an individual response to any complaint. Actions are taken based on consumer complaints. Consumer complaints are directly solicited and are handled in a timely manner. Consumer complaints are recorded and analysed to look for patterns. Information on complaints is reviewed by the leaders of the organisation and improvements to service delivery procedures are implemented.
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3.4 3.4.2 An SIA Approved Contractor can demonstrate how it manages relationships with consumers. An approach to the management of consumer contact is in place and implemented. Required Achievement Level Consumer contact is made during the delivery of the service to the customer. Front line employees are given instructions on how to deal effectively with the consumer. The organisation is aware of consumer opinion through the number of complaints, including items of adverse feedback it receives via its customers. Front line employees are given instructions on how to deal effectively with the consumer. All aspects of the previous column plus: The organisation gathers other information, in addition to complaints (including items of adverse feedback), from its customers regarding the consumers view of them. All aspects of the previous column plus: The organisation invites feedback directly from the consumer. All employees are given ongoing instructions on the correct way to deal effectively with the consumer. There are procedures in place to monitor employee performance to ensure compliance with instructions. All aspects of the previous column plus: Consumer opinion of the organisation is valued. The organisation actively gathers information from a number of sources regarding the consumers view of them. The organisation actively communicates with the consumer to promote a positive image of itself and the sector/s in which it operates.
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4.
Financial Management
An SIA Approved Contractor is financially viable with sufficient resources to meet its current and future obligations.
4.1 4.1.1 An SIA Approved Contractor can demonstrate that it has suitable financial resources to manage its financial obligations. Two years accounts can be presented and/or the availability of funding for the achievement of the plan for the business can be evidenced. Required Achievement Level Organisations operating for four or more years: Requirements change for 2011 The organisation has at least the last two years annual accounts available and can demonstrate it has the funding available to achieve its plan for the business. Organisations operating for under four years: The organisation has annual accounts available for the number of years it has been in business and can demonstrate it has the funding available to achieve its plan for the business. Newly created organisations: The organisation can demonstrate it has the funding available to achieve its plan for the business. All aspects of the previous column plus: There is a clear link between the financial plans for the business and related activity such as marketing, service delivery and business improvement. The organisation has financial forecasts/projections for key aspects of the business. There are no outstanding county court judgements against the organisation or its directors. Where required, the organisation submits annual accounts and returns to Companies House within the specified time limits. All aspects of the previous column plus: The organisation has financial forecasts/projections for all aspects of the business. There is clear information about how the organisations finances are managed. The organisation is aware of its credit rating and this is commensurate with its plans for the business. The organisation maintains a recording system identifying and verifying all income streams. All aspects of the previous column plus: The organisation makes its staff aware of relevant financial aspects, including the financial performance of the organisation. All aspects of the previous column plus: The organisation enters into open book approach with customers in relation to its finances.
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4. Financial Management
4.2 4.2.1 An SIA Approved Contractor can demonstrate strong financial processes to safeguard the interests of its stakeholders. Clear and effective management of the payroll can be evidenced. Required Achievement Level The organisation uses a documented cash payment approach to its payroll management. Payroll is managed to legislative standards. Tax codes are applied in a timely manner. Employees are paid through a PAYE compliant system. Payroll is managed to legislative standards. Tax codes are checked and correctly applied in a timely manner ensuring HMRC guidance has been followed. Month-end and year-end procedures are run within deadlines. The organisation complies with all HMRC guidance including Income Tax (Earnings and Pensions) Act 2003 (ITEPA) when defining roles as contract of service (employment) or contract for services (selfemployment) All aspects of the previous column plus: There is a direct link between the hours worked and the wages paid. This also applies where staff are paid by others e.g. a factoring company, an agency, or subcontractor. Payments to employees are made on time within the contractual payment cycle. All queries relating to payroll are handled effectively and lessons learned are fed back in to improved procedures. There is clear information for employees on their pay, deductions and the payroll system in use. All aspects of the previous column plus: Employees are paid through an automated payroll system. There is clear information for employees on their pay, deductions and the payroll system in use. All aspects of the previous column plus: There is a structured salary scheme for all staff, which promotes fair and consistent pay to security operatives, and avoids differences in pay arising from specific customer contract negotiations. The organisation makes efforts to ensure that differences in salary are determined by an objective assessment of roles, responsibilities and performance.
Requirements change for 2011 Clarification for 2011
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4.2.2
Financial procedures are defined, understood and implemented (i.e. there are sound fiscal controls in place). Required Achievement Level
Requirements change for 2011
Financial resources and liabilities are managed and controlled through audited or certified annual accounts. These processes ensure the use of financial resources to support the plan for the business.
All aspects of the previous column plus: Financial resources and liabilities are also managed and controlled through e.g.: sales ledger purchase ledger cash flow and expenses
All aspects of the previous column plus: Financial resources and liabilities are also managed and controlled through: risk management including contingency arrangements such as advanced or staged payments, or utilising the services of a factoring company. asset management
All aspects of the previous column plus: Financial plans are reviewed regularly to ensure relevance and viability and include areas for cost savings. Performance indicators are in place and are regularly reviewed.
All aspects of the previous column plus: The organisation makes regular use of available financial benchmarking data to analyse its financial performance.
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4.2 4.2.3 An SIA Approved Contractor can demonstrate that they have strong financial processes to safeguard the interests of their stakeholders. A clear fit and proper management structure with defined and understood authority levels is in place. Required Achievement Level All directors or partners or any Sole Trader must: hold the appropriate SIA licence(s), not be an un-discharged bankrupt not be a person to whom a moratorium period under a debt relief order relates Requirements change for 2011 not be a person subject to a bankruptcy restriction order or debt restriction order not be subject to disqualification under the Company Directors Disqualification Act 1986 or the Company Directors Disqualification (Northern Ireland) Order 2002 as amended. Not be a sole trader , director or partner of any business or firm providing security industry services that was placed in liquidation, administration or receivership within the previous 12 months unless they have taken adequate steps to satisfy the SIA that they are fit and proper to the circumstances of their case. All aspects of the previous column plus: Accountability of each director or partner has been defined and is understood. Limited companies meet statutory requirements and file necessary changes to Companies House within the specified time period. There is a clearly defined and communicated management structure, including any links to parent organisation, subsidiaries, groups and franchises. All aspects of the previous column plus: Authority levels have been defined and are understood as required to ensure the smooth running of the organisation.
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4.3 4.3.1 An SIA Approved Contractor can demonstrate that it carries the required business insurance. There is sufficient insurance cover to meet contractual requirements. Required Achievement Level The organisation has contractual insurance that: covers the annual value of the contracts is appropriate in content subcontractors (companies or individuals) meet the organisations own insurance requirements. The company ensures all hazardous activities undertaken are disclosed to and agreed by insurance underwriters e.g. Work offshore Work airside Work on or alongside railway tracks Work at height Work at nuclear, chemical, oil or gas sites All aspects of the previous column plus: The organisation also has the correct insurance cover, appropriate to its size and operations , covering where appropriate: public liability employer liability efficacy /inefficacy vehicles security dogs use of Licence Dispensation Notices wrongful arrest fidelity bonding loss of keys/consequential loss of keys financial loss either including or excluding products (or both) terrorism cover deliberate/criminal acts of employees (which are accidental on the part of the company) property within the custody, possession or control for the purpose of the service provided design instruction/advice in connection with supplied services
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4.4 4.4.1
An SIA Approved Contractor can demonstrate that it understands the market place and has financial plans to meet its strategic direction. Analysis of the market place in which the organisation operates is conducted. Required Achievement Level
The organisation is aware of developments in the market place in which it operates.
The organisation is aware of and understands developments in the market place in which it operates. It uses this information as the basis: of its planning process for making financial decisions
All aspects of the previous column plus: The organisation actively gathers and uses information about the market it currently operates in.
All aspects of the previous column plus: The organisation also actively gathers and uses information about the market it may want to enter in the future.
All aspects of the previous column plus: The organisation makes use of SIA ACS benchmark scores to compare its performance and to inform marketing activity.
5. Resources
An SIA Approved Contractor has sufficient technical resources to sustain its business, meeting the relevant industry standards.
5.1 An SIA Approved Contractor can demonstrate that it has effective management information systems for all aspects of its business with appropriate backups and contingencies. 5.1.1 Information key to the business has been identified and is produced and delivered in an effective and timely manner to relevant employees and other stakeholders Required Achievement Level Information is produced and delivered in an ad-hoc manner as and when the need arises. The key information relevant to providing service delivery has been identified. It is produced on a regular basis in line with organisational requirements. It is delivered in an effective and timely manner to the relevant employees and other stakeholders. Key information relevant to all areas of the business has been identified. All information is produced on a regular basis in line with organisational requirements. All information is delivered in an effective and timely manner to the relevant employees and stakeholders. All aspects of the previous column plus: Key information is reviewed by relevant employees and other interested parties.
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5. Resources
5.1 5.1.2 An SIA Approved Contractor can demonstrate that it has effective management information systems for all aspects of its business with appropriate back-ups and contingencies. Relevant versions of applicable documents are available at the point of use. Required Achievement Level Document version control is applied in an ad-hoc manner. Not all of the most up to date documents are available at the point of use. Document version control is applied to key service delivery documents. The most up to date documents are available at most sites. Document version control is applied to all service delivery documents. The most up to date versions of applicable documents are available at the point of use. All aspects of the previous column plus: Document version control is a well defined process. It is applied to all service delivery and key business documents.
5.1.3
Adherence to the Data Protection Act 1998 is apparent. Required Achievement Level
Compliance with the Data Protection Act 1998 is evident in all aspects of the organisations business, including notification to the Information Commissioner where required.
All aspects of the previous column plus: All employees are made aware of individual responsibilities for data protection compliance, including updates where appropriate.
All aspects of the previous column plus: All employees receive training outlining their individual and organisational responsibilities for data protection compliance, including updates. Refresher training is conducted where appropriate. There are procedures in place to monitor employee awareness of their own and the organisations responsibilities for data protection.
All aspects of the previous column plus: The organisation conducts a risk assessment against the Data Protection Act and High Risk areas have additional controls.
All aspects of the previous column plus: Compliance with the data protection act is audited with ICO guidance (see www.ico.gov.uk) or through a recognised compliance assessment.
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5. Resources
5.1 5.1.4 An SIA Approved Contractor can demonstrate that it has effective management information systems for all aspects of its business with appropriate back-ups and contingencies. Personnel records and other key information are maintained in accordance to legal requirements. Required Achievement Level Personnel records and other key information is handled and stored in a way that is consistent with legal requirements. All aspects of the previous column plus: There are procedures relating to the maintenance of personnel records and other key information that reflect current legal requirements. The procedures are implemented for all service delivery data and information, personnel and financial records. All aspects of the previous column plus: The procedures are followed for all records and all forms of data and information.
5.2 5.2.1
An SIA Approved Contractor can demonstrate that it has the required premises, procedures and equipment to conduct business effectively. Lease and ownership papers are relevant to the organisation.
Required Achievement Level The business occupies premises that are owned or leased by them. The length of the lease should be consistent with business plan.
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5. Resources
5.2 5.2.2 An SIA Approved Contractor can demonstrate that it has the required premises, procedures and equipment to conduct business effectively. Administrative offices are fit for purpose. Required Achievement Level Administrative offices and/or operational centres are fit for purpose and secure. The work environment of administration offices and/or operational centres has been assessed and is effectively managed. The organisation considers: Adequate lighting and sanitary facilities Workstation assessments Adequate storage and waste disposal Heating and lighting Restroom Fire and emergency equipment General Housekeeping All aspects of the previous column plus: The address for correspondence and promotional material complies with company law. All aspects of the previous column plus: Feedback is sought from employees regarding the suitability of the work environment and any improvements made by the organisation.
Requirements change for 2011 Good practice added for 2011
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5.2.3
Control rooms/response rooms are designed, fitted and equipped in a manner appropriate to purpose.
Required Achievement Level The organisation has determined the design, construction, layout and equipment requirements for their control rooms/ response rooms. Requirements change for 2011 The level of design, construction, layout and equipment is directly related to risks associated with customer contracts. The control rooms / response rooms are appropriately constructed to ensure physical security, safety and integrity, for the protection of employees and the safeguarding of customer records and property. Where the control rooms/response rooms are outsourced, the organisation ensures that the control rooms/response rooms are fit for purpose. All aspects of the previous column plus: Improvements to design, construction, layout and equipment are implemented where new or amended contracts increase the risk to physical security, safety and integrity of employees and/or to customer records and property. All aspects of the previous column plus: The control rooms/ response rooms are designed is accordance with good ergonomic practice. The following should be factored into the design: Architectural factors Design and layout of individual work stations Arrangement of monitors Design of control panels Seating Environmental factors All aspects of the previous column plus: The structure of the control rooms/ response rooms can withstand possible major hazard events. Such as: Vapour Cloud Explosions (VCEs) Boiling Liquid Expanding Vapour Explosions (BLEVEs) Pressure bursts Exothermic reactions Toxic gas releases Fires, including pool fires, jet fires, flash fires and fire balls.
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5. Resources
5.2 5.2.4 An SIA Approved Contractor can demonstrate that it has the required premises, procedures and equipment to conduct business effectively. Equipment owned is recorded, adequately maintained and appropriate for its purpose. Required Achievement Level The equipment used is poorly maintained and/or unsuitable for the purpose to which it has been allocated. Some of the equipment used is appropriate for the purpose to which it has been allocated. There is no record of equipment owned and issued. Missing equipment may go undetected. Maintenance occurs on an ad-hoc basis. All equipment is appropriate for the purpose to which it has been allocated. Equipment relating to service delivery is recorded and regular checks are conducted to ensure the records are complete and up to date. There is a schedule for the maintenance of all equipment that is applied to equipment used for service delivery. All aspects of the previous column plus: There is a comprehensive equipment register which covers all the equipment owned by the organisation. Regular checks are conducted to ensure the register is complete and up to date. There is a schedule for the maintenance of all equipment that is implemented and up to date.
5.2.5
Service delivery to customers and safety for employees are improved by investment in technology. Required Achievement Level
Clarification for 2011
The organisation does not invest in technology to ensure service delivery to its customers or the safety of its employees.
Where appropriate, the organisation explores opportunities for the use of technology to improve service delivery with customers and suppliers.
The organisation actively encourages the adoption of proven servicing enhancing technology by customers to improve service delivery and ensure the safety of its employees.
All aspects of the previous column plus: The organisation actively researches new and emerging s technology for relevance in the enhancement of service delivery to its customers and safety to its employees.
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6. People
An SIA Approved Contractor develops and implements plans to ensure its people are suitably trained, developed and cared for.
6.1 6.1.1 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures. There is a defined and implemented recruitment policy. Required Achievement Level The requirements for each role within the organisation have been defined. These include such information as experience, skills and qualifications required. Private Security Industry Act 2001licensing requirements are adhered to. Employees must have the legal right to work in the UK. The recruitment policy meets all employment law requirements and defines how screening of staff is carried out. The company has a process for regularly checking the validity of SIA licences and right to work in the UK. The organisation ensures that all work permit/visa conditions are complied with. All aspects of the previous column plus: The organisation works to BS 7858 or appropriate industry sector equivalent in relation to its recruitment activities. Interviews for all potential recruits are conducted, documented and retained for one year. Recruitment records are maintained for all employees. Re-screening makes use of screening records from another Approved Contractor where these are available. All aspects of the previous column plus: Defined job requirements are used to: place an appropriately worded advertisement that takes into account relevant legal requirements. All aspects of the previous column plus: Additional background checks with written responses covering ten years employment history are completed within 16 weeks of commencement of employment. Re-vetting is conducted, where applicable, prior to: promotion transfer to high-risk site Any home visit for the purpose of vetting is subject to signed written consent from the applicant. All aspects of the previous column plus: A drugs and alcohol policy exists which outlines the aims and purpose of the policy, explains who is covered by the policy, and clearly sets out the organisations rules in relation to drug and alcohol use.
Requirement change for 2011
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6. People
6.1 6.1.2 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures. Defined employee training, development and improvement policy and procedures are in place, implemented and communicated. Required Achievement Level PSIA licensing training is the only training that takes place. There is a training and development policy with supporting procedures that covers company and assignment-specific training as well as training required for an SIA licence. They are implemented for employees requiring an SIA licence. These employees are aware of the policies and procedures. All aspects of the previous column plus: There are well defined training, development and improvement policies and supporting procedures in place. They apply to all employees and are fully implemented. All employees are aware of the policies and procedures. There are procedures in place to monitor extent of implementation and employee awareness.
6.1.3
A process for obtaining staff opinions on the organisation, their job and conditions exists and is implemented. Required Achievement Level
The organisation does not ask employees for their opinions about the organisation, their job or working conditions.
Individuals have the opportunity to express their opinion. Issues raised are acted upon where appropriate.
All aspects of the previous column plus: Supervisory staff are asked their opinions about the organisation, their job or working conditions on a regular basis. The organisation monitors its progress in improving the perception of its supervisory staff.
All aspects of the previous column plus: All employees are asked their opinions about the organisation, their job or working conditions on a regular basis. Key performance measures exist. Improvement plans are in place and some are implemented. The organisation monitors its progress in improving employee perception.
All aspects of the previous column plus: Key performance measures exist with targets. Plans for improvement are developed and implemented based on results achieved. Delivery of improvements is reflected in improved employee retention.
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6. People
6.1 6.1.4 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures. Employee records are maintained. Required Achievement Level Employee records contain personal and bank details. Requirement change for 2011 Good practice added for 2011 Employee records are occasionally checked to ensure the information contained is up to date. Employee records are maintained for all employees. They contain up to date information relating to: personal details such as name, address bank details PAYE information vetting information where relevant for the role PSIA licensing information where required such as licence number, expiry date There are procedures in place to ensure the records are up to date. Employees understand what information is held and how it is stored. All aspects of the previous column plus: The records also contain: up to date information relating to full employment history as obtained during the recruitment process training records disciplinary and grievance information where relevant. The company follows HMRC guidance regarding due diligence record keeping for the use of labour providers. All aspects of the previous column plus: The records also contain up to date information relating to: records of discussions relating to performance All aspects of the previous column plus: The organisation makes use of the SIA Company Licence tracker. The company has a policy that requires licensable staff to notify the SIA of criminal convictions and changes to address.
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6. People
6.1 6.1.5 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures. A defined grievance procedure is in place which is implemented and communicated. Required Achievement Level The organisation applies the default statutory procedure. There is a company specific grievance procedure that complies with the minimum legal requirements. Employees are given a copy of the procedure when they join the organisation. The procedure is followed when necessary. It is clearly written and easily understandable by all employees. All aspects of the previous column plus: The defined grievance procedure goes beyond the minimum legal requirement. For example using independent conciliation as an alternative way of resolving disputes
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6. People
6.1 6.1.6 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures. Defined terms and conditions of employment exist which are implemented and communicated. Required Achievement Level Terms and conditions of employment are issued verbally. All employees are given a written copy within eight weeks of employment starting. Terms and conditions state: name of employer and employee job title and/or job description start date details of pay and allowances total number of hours and days required employee benefits statement details of notice and termination period disciplinary, grievance and appeals procedures place of work or notification that place of work varies All aspects of the previous column plus: Terms and conditions of employment have been defined for each role. Contracts and/or Terms and Conditions of employment also include: details of any probationary period details of any provisional period subject to screening if applicable requirements to adhere to policies and procedures details of any equipment supplied All aspects of the previous column plus: Contracts are revised when changes to employment conditions are made. Changes to terms and conditions are discussed with staff prior to implementation. All aspects of the previous column plus: Contracts of employment are issued to all staff within four weeks of employment starting. All aspects of the previous column plus: Contracts of employment are issued to all staff before or as employment starts.
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6. People
6.1 6.1.7 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures. A defined disciplinary process is in place which is implemented and communicated. Required Achievement Level The organisation would apply the default statutory procedure. There is a company specific disciplinary procedure that complies with the minimum legal requirements. Employees are given a copy when they join the organisation. The procedure is followed when necessary. It is clearly written and easily understandable by all employees. All aspects of the previous column plus: The defined disciplinary procedure goes beyond the minimum legal requirements.
6.1.8
A defined policy exists covering Transfer of Undertakings which is implemented and communicated Required Achievement Level
The organisation is aware of its obligations under TUPE and there are procedures in place to manage a Transfer of Undertakings. The organisation cooperates fully in the exchange of information required for a smooth transfer, TUPE information is exchanged in a timely fashion.
All aspects of the previous column plus: The procedures ensure: assessment of the training needs of the employees . induction into company provision of required training within reasonable specified timeframes. full screening or re-screening of employees where prior screening information is not complete.
All aspects of the previous column plus: The procedures contain details of how the staff will be integrated into the organisation where practicable. All employees files are assessed to ensure full compatibility with existing employee records.
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6. People
6.1 6.1.9 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures. Roles and responsibilities are defined for all employees. Required Achievement Level Roles and responsibilities are not clearly defined. Roles and responsibilities have been defined for all levels of management. They are understood throughout the whole organisation. Roles and responsibilities have been defined for all employees. These have been communicated to and are understood by all employees All aspects of the previous column plus: Roles and responsibilities are reviewed regularly to ensure and maintain relevance to the business. There are procedures in place to monitor ongoing awareness of roles and responsibilities.
6.1.10
A defined policy relating to equality and diversity exists which is implemented and communicated. Required Achievement Level
The organisation is aware of its responsibilities under Equal Opportunities but has not developed an approach to managing equality and diversity requirements.
There is a defined equality and diversity policy that complies with the minimum legal requirements. Employees are given a copy of the policy when they join the organisation. It is clearly written and understandable by all employees. The policy is followed when necessary.
All aspects of the previous column plus: The defined equality and diversity policy goes beyond the minimum statutory legal requirement. The organisation actively manages its equality and diversity policy and acts appropriately when employees are found to be working outside of it.
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6. People
6.1 6.1.11 An SIA Approved Contractor can demonstrate that it manages its human resources through clear policies and procedures. An induction pack/training including an introduction to policies and procedures exists. Required Achievement Level An induction pack is available. The induction pack covers basic information only including, for licensable staff where relevant: adherence to terms and conditions of licence or LDN the wearing or carrying of identification the requirement to report new criminal convictions and cautions All aspects of the previous column plus: An induction pack is given to all employees on the day employment commences. The induction pack covers the organisations guidelines on: disciplinary procedures grievance procedures instruction on how to report on job incidents the wearing of a uniform personal appearance health and safety procedures equality and diversity procedures general conduct expected drugs and alcohol policy where applicable maintenance of customer confidentiality management structure All aspects of the previous column plus: The induction pack also covers the organisations guidelines on: requirements of the Data Protection Act 1998 key company contacts the right to union representation All aspects of the previous column plus: This is supported by face to face induction training. The additional information/training covers: the history of the company the approach to business of the organisation feedback mechanisms for both employee and customers an overview of customer base Understanding of induction material is checked. All aspects of the previous column plus: All levels of employees are made aware of the opportunity to pursue relevant recognised qualifications e.g. NVQ, Management, etc. Senior management are personally involved in the induction process.
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6. People
6.2 6.2.1 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to an agreed standard. All employees have training plans and records. Required Achievement Level Good practice added for 2011 No training plans or records exist. All employees have professional/vocational training records that show: programme of study completed certificate expiry dates are recorded and monitored where relevant dates when training was conducted details of the training provider and/or trainers involved All aspects of the previous column plus: Where appropriate, employees have professional/vocational training plans that show: details of planned training planned completion date a named person who is responsible for ensuring the training takes place All aspects of the previous column plus: Records of all personal development needs and training undertaken are maintained. All aspects of the previous column plus: Training records are regularly reviewed with the employee to ensure they are accurate
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6. People
6.2 6.2.2 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to an agreed standard. All employees are trained to the required standard Required Achievement Level Employees who require an SIA licence have received and passed the necessary training as defined by the relevant training specifications. All aspects of the previous column plus: All employees requiring an SIA front-line licence are given appropriate additional job training. All other employees are given adequate job training. Training is given on the use of any equipment that is required to fulfil each role. Subject specific modules relating to a role are also given. All aspects of the previous column plus: There is ongoing assessment of training needs which are addressed. All staff holding a door supervisor licence have taken the SIA licencelinked physical intervention training module. All aspects of the previous column plus: The effectiveness of all training is evaluated on an ongoing basis.
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6. People
6.2 6.2.3 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to an agreed standard. All supervisors are trained to the required standard for their role. Required Achievement Level No additional training is given to any personnel being appointed to or holding supervisory positions. Supervisors are encouraged to improve their knowledge of additional topics that would improve their leadership skills. Employees in supervisory positions are given specific training relating to the skills required for leadership, for example: the role of a supervisor team behaviour leadership decision making problem-solving communication skills performance review time management customer service All aspects of the previous column plus: In addition supervisors receive specific training in additional topics that would improve and enhance their leadership skills. Supervisors undertake recognised training and qualifications. Training needs are monitored, reviewed and recorded. All aspects of the previous column plus: Provision is made for mentors to support supervisors in their leadership role.
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6. People
6.2 6.2.4 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to an agreed standard. The organisation uses either in house or external approved training providers.
Required Achievement Level The organisation ensures that training required for an SIA licence is delivered by an approved provider and that all trainers are qualified to deliver the course to the relevant training specifications. All aspects of the previous column plus: The organisation ensures that all other training is delivered by trainers who are: qualified to deliver the course or subject being trained regularly assessed by an approved body.
6.2.5
Assignment specific training/induction/information is given. Required Achievement Level
Assignment specific information is given verbally.
Assignment specific information is given verbally and is supported by documented assignment instructions.
All aspects of the previous column plus: Employees new to an assignment location are kept under supervision for the appropriate duration of their on-assignment induction. Where shifts are worked the supervision encompasses a number of shifts.
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6. People
6.2 6.2.6 An SIA Approved Contractor can demonstrate that it trains and develops its people to deliver customer satisfaction and added value, to an agreed standard. Customer feedback is obtained for individuals working with clients. Required Achievement Level Customer feedback is accepted when offered. All aspects of the previous column plus: Customer comments on performance are fed back to the relevant employees. All aspects of the previous column plus: The feedback, both positive and negative, is presented to the individual in a timely manner. Where necessary remedial action/additional training is implemented. All aspects of the previous column plus: Customer feedback is actively solicited for staff requiring an SIA front-line licence. It is also included in the annual appraisal process. All aspects of the previous column plus: Customer feedback is actively solicited on all individuals who have contact with customers and is presented to the individual in a timely manner. It is used to influence pay reviews/bonuses and/or used to formulate training and succession plans.
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6. People
6.3 6.3.1 An SIA Approved Contractor can demonstrate that its people are provided with appropriate benefits and welfare arrangements. A holiday entitlement policy exists which is implemented and communicated. Required Achievement Level There is a holiday policy that entitles all employees to the statutory minimum. Employees who join within the holiday year or who work parttime are entitled to the same holiday entitlement pro-rata. Statutory definitions are used to calculate pro-rata payments. All aspects of the previous column plus: Employees are encouraged to use their full entitlement. All aspects of the previous column plus: Employees are entitled to paid leave or enhanced payment in lieu of leave for public holidays that are not included as part of the annual entitlement. All aspects of the previous column plus: Leave entitlement is monitored and employees are told of their remaining entitlement. A carry over policy exists and is communicated to employees. Holiday entitlement exceeds statutory minimum.
6.3.2
A pensions policy exists which is implemented and communicated. Required Achievement Level
There is a pension scheme in place that meets the minimum legal requirement.
All aspects of the previous column plus: Employees are actively encouraged to join the pension scheme. Employees are encouraged to seek advice relating to how membership of the pension scheme correlates with the level of state pension provided by The Department for Work and Pensions
All aspects of the previous column plus: The employer facilitates the availability of expert advice relating to pension arrangements
All aspects of the previous column plus: There is a pension scheme in place that exceeds the minimum legal requirement that is open to all employees The employer makes contributions to the pension scheme, at least matching the contributions of the employee.
All aspects of the previous column plus: The employer provides a defined benefit occupational pension scheme open to all employees.
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6. People
6.3 6.3.3 An SIA Approved Contractor can demonstrate that its people are provided with appropriate benefits and welfare arrangements. A health and safety policy and supporting procedures exist and are implemented. Required Achievement Level There is a health and safety policy in place. Requirements change for 2011 The policy meets minimum legal requirements. It is displayed at all locations and is implemented. All employees are given health and safety training as part of their induction when joining the organisation. Procedures are in place to confirm the safety of employees whilst working at a customer site. All aspects of the previous column plus: Lessons learned from the review of incidents lead to changes in practice. All employees are given health and safety training on a regular basis to reinforce the message. Specific and refresher training is given to employees when changing sites. There are procedures for dealing with workplace violence/violent incidents. All aspects of the previous column plus: There is a health and safety policy in place that goes beyond minimum legal requirements. It is fully implemented with supporting procedures. Performance reporting goes beyond minimum legal requirements. Performance against all health and safety measures is regularly and frequently monitored and reviewed. All aspects of the previous column plus: Additional health and safety awareness courses are regularly undertaken by all employees. All aspects of the previous column plus: The policy is recognised as best practice within the industry. The organisation is a member of an appropriate recognised scheme, for example: Safe Contractor RoSPA British Safety Council Community Safety Accreditation Scheme
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6. People
6.3 6.3.4 An SIA Approved Contractor can demonstrate that its people are provided with appropriate benefits and welfare arrangements. An approach to provision of welfare and benefits is in place. Required Achievement Level The welfare and benefits offered by the organisation meet the legal requirements. All aspects of the previous column plus: Appropriate uniforms are supplied and the organisation ensures they are cleaned and renewed. Necessary Personal Protective Equipment (PPE) is provided free of charge. All employees are made aware of the welfare and other benefits package. All employees have regular contact with a supervisor or manager who can address any welfare concerns. All aspects of the previous column plus: The welfare and benefits offered by the organisation exceed the legal requirements and include such things as: compassionate leave arrangements self certification for periods of sickness up to seven days payment of training required to obtain an SIA licence days spent on the training required for an SIA licence are paid All aspects of the previous column plus: The welfare and benefits package also includes: payment of the SIA licence application fee personal accident cover sufficient legal cover counselling service from trained professionals after suffering trauma.
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6. People
6.4 6.4.1 An SIA Approved Contractor can demonstrate an appraisal and development system that encourages its employees to improve themselves. A process for the appraisal of employee performance is in place and is implemented. Required Achievement Level Occasional discussions on employee performance take place. All aspects of the previous column plus: Training and development needs are agreed and implemented. All aspects of the previous column plus: All employees have at least an annual discussion with a supervisor or manager about their performance. The discussion is based on the views of their immediate supervisor or manager, and these views are supported by appropriate evidence The discussion is two-way and is based on more than a simple ticklist. All aspects of the previous column plus: The discussions contain positive feedback and are based on input from the customer and colleagues. Training and development needs are agreed, recorded and implemented. All aspects of the previous column plus: Interim discussions are held at least six monthly with an immediate supervisor or manager. All performance discussion is two-way and is documented.
6.4.2 Good practice added for 2011
Self learning and improvement is encouraged. Required Achievement Level
Self learning and improvement are not encouraged or supported.
Employees are encouraged to undertake relevant/specialist training. Requests from employees are supported where possible.
All aspects of the previous column plus: Recognised formal qualifications in their chosen relevant disciplines based on national occupational standards are encouraged with all employees. Employees are aware of the opportunities available to them.
All aspects of the previous column plus: Self learning and development outside of their chosen relevant disciplines are also encouraged. Assistance with learning activities is offered.
All aspects of the previous column plus: Companies provide paid time off for all job-related training.
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6. People
6.4 6.4.3 An SIA Approved Contractor can demonstrate an appraisal and development system that encourages its employees to improve themselves. The organisation develops employees especially those with leadership potential. Required Achievement Level There are procedures in place to assist in the development of employees. All aspects of the previous column plus: Employees who want to develop or who demonstrate leadership potential are identified. All aspects of the previous column plus: Employees with potential and who want to develop are identified and given special opportunities to learn about the business from a variety of positions. All aspects of the previous column plus: Employees with potential who want to progress are provided with opportunities for appropriate development Employees with leadership potential are mentored and developed by their immediate supervisor /manager. All aspects of the previous column plus: The company has an implemented succession plan that is reviewed at least annually Employees with leadership potential are mentored and developed by the senior management team. Special provisions are made in terms of training and recompense to encourage employees to stay with the organisation and take greater responsibility.
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6. People
6.5 6.5.1 An SIA Approved Contractor can demonstrate that it meets the requirements of the Working Time Directive. The organisation adheres to the Working Time Directive. Required Achievement Level The organisation works within the legal requirements of the Working Time Directive. Employees are not put under pressure to opt out of the restrictions before the employment contract is signed. Shift patterns and the number of hours worked are appropriate to protect the health and safety and ensure the effectiveness of employees. All aspects of the previous column plus: Discussions take place where appropriate with customers to encourage shorter shift patterns. All aspects of the previous column plus: The organisation exceeds the legal requirement of the Working Time Directive through having no contracts that require 56 or 60 hour shift patterns. All aspects of the previous column plus: The organisation exceeds the legal requirement of the Working Time Directive through the utilisation of the 48 hour week.
Good Practice change for 2011
6.5.2
Legislation on the national minimum wage and payments to employees is implemented. Required Achievement Level
The national minimum wage is adhered to.
The national minimum wage is adhered to or exceeded, for basic take home pay. Overtime payments are not included in the calculation. They are over and above basic take home pay.
All aspects of the previous column plus: Employees are paid equitably throughout the organisation according to their job role and responsibilities.
All aspects of the previous column plus: The company benchmarks its wage rate for frontline staff against comparable sectors/firms.
All aspects of the previous column plus: Financial records demonstrate transparency on how overheads are built into the charge rate and how wage rates and payment are structured.
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7. Leadership
An SIA Approved Contractor has effective leadership.
7.1 7.1.1 An SIA Approved Contractor can demonstrate that the leaders have the knowledge and ability to lead from the front. Leaders can demonstrate, relevant to sector, knowledge of the legislative framework, working practices and industry standards/codes of practice. Required Achievement Level Leaders have some knowledge of the legislative framework, working practice and industry standards/codes of practice for the sector. Leaders have an appropriate knowledge of the legislative framework, working practice and industry standards/codes of practice for their sector and role within the organisation. They can apply this knowledge to their organisation. All aspects of the previous column plus: They actively seek information or advice to ensure they are working to the most current and up to date legislation, working practice and industry standards and/or codes of practice for the sector. All aspects of the previous column plus: The senior leaders of the organisation are involved in the review and update of working practices and industry standards/code of practice for their sector.
7.1.2
Leaders are involved in the development and implementation of relevant policies and procedures. Required Achievement Level
Leaders are involved in the development of policies and procedures.
All aspects of the previous column plus: Leaders review policies and procedures in an ad-hoc manner, usually when problems have occurred.
All aspects of the previous column plus: Leaders are actively involved in ensuring they are implemented in the relevant parts of the organisation.
All aspects of the previous column plus: Leaders continue to be involved in the regular review of policies and procedures to ensure they remain relevant to the business and effectively implemented.
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7. Leadership
7.1 7.1.3 An SIA Approved Contractor can demonstrate that the leaders have the knowledge and ability to lead from the front. Managers and directors responsible for processes and key personnel can demonstrate an understanding of procedures. Required Achievement Level The understanding of the organisations procedures by the managers and directors responsible for processes and key personnel is incomplete. The managers and directors responsible for processes and key personnel understand some of the procedures within their sphere of responsibility. All managers and directors responsible for processes and key personnel understand all of the procedures within their sphere of responsibility. They actively ensure they are fully implemented. All managers and directors responsible for processes and key personnel understand the links between the procedures and how they work together to deliver the plans for the business. They actively ensure they are fully implemented in a manner reflecting the organisations values.
7.1.4
Leaders review key results and ensure that improvements are planned and implemented. Required Achievement Level
Leaders review key results in an ad-hoc manner.
Leaders are involved in the review of key performance results. Leaders are involved in the review of performance in their own area of responsibility.
All aspects of the previous column plus: Leaders are actively involved in the creation and implementation of improvement plans within their own area of responsibility.
All leaders are regularly involved in the review of key performance results. These reviews lead to the identification and prioritisation of improvement plans. All leaders are actively involved in ensuring that improvement plans are implemented.
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7. Leadership
7.2 7.2.1 An SIA Approved Contractor can demonstrate that the leaders review and improve the effectiveness of their leadership skills. Leaders consult stakeholders on their leadership skills and have personal development plans based on the feedback. Required Achievement Level Feedback from customers and employees on leadership skills is noted. Feedback from customers and employees on leadership skills is acted upon when it is received. Leaders regularly seek feedback from customers and employees on their strengths and development opportunities in the area of leadership. The areas for improvement are noted and actions are taken to change behaviour. All aspects of the previous column plus: Improvement plans exist to address development opportunities. Improvement plans detail specific actions to be taken within agreed timescales. All aspects of the previous column plus: All leaders also regularly seek feedback on their leadership strengths and development opportunities from other stakeholders such as consumers, police and other authorities. The feedback is reviewed and improvement plans are created to address the development opportunities. Improvement plans are monitored for progress.
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7. Leadership
7.3 7.3.1 An SIA Approved Contractor can demonstrate that the leaders develop a culture of openness. Leaders have developed a set of high values or codes of ethics that are implemented throughout the organisation. Required Achievement Level Good Practice added for 2011 Leaders have not developed a set of values or a code of ethics by which the organisation is managed and led. Leaders have developed a set of values or a code of ethics that are underpinned by such as: confidential reporting of issues, non-compliance with procedures, service delivery failures and legislation, regulation and policy infringements intolerance of bullying and harassment of employees respectful treatment of employees ethical dealings with customers and consumers All aspects of the previous column plus: These are known by all employees and are implemented throughout the organisation. Procedures are in place to take action against individuals who do not work within the values or code of ethics. All aspects of the previous column plus: Employees agree that leaders act as role models for the values or code of ethics. All aspects of the previous column plus: Leaders take an effective role in promoting a set of values or codes of ethics within the industry.
7.4
An SIA Approved Contractor can demonstrate that the leaders develop and implement an effective management system that continually improves the organisation and its performance. Leaders are involved in improvement activity. Required Achievement Level
7.4.1
Leaders cannot demonstrate that they are involved in improvement activity.
Leaders are involved in improvement activity in an ad-hoc manner.
Leaders are routinely involved in improvement activity. Leaders can provide examples of improvements they have been involved with. 63
All aspects of the previous column plus: Leaders involvement delivers added value to the improvement.
7. Leadership
7.4.2 Leaders encourage employee participation in improvement activity. Required Achievement Level Leaders cannot demonstrate that they encourage employee participation in improvement activity. Leaders encourage employee participation in improvement activity in an ad-hoc manner. Leaders routinely encourage employee participation in improvement activity and consider employee suggestions and ideas for improvement in service delivery. There are examples of improvements in service delivery as a result of employee involvement. All aspects of the previous column plus: Leaders offer support and guidance during improvement activity. All aspects of the previous column plus: Leaders can evidence that lessons learnt during improvement activities are shared across the organisation as appropriate.
Requirements change for 2011 Good Practice added for 2011
7.4.3
Leaders recognise individual and team efforts. Required Achievement Level
Leaders cannot demonstrate that they recognise individual and team efforts.
Leaders recognise individual and team efforts in an ad-hoc manner.
There are processes in place to recognise individual and team efforts. There are examples of recognition of individual and team efforts.
All aspects of the previous column plus: The leaders actively ensure that the procedures are fully implemented.
All aspects of the previous column plus: Leaders publicise staff recognition within the organisation and external stakeholders
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8. Corporate Social Responsibility

An SIA Approved Contractor recognises and acts on its corporate social responsibility.
8.1 8.1.1 Good practice enhanced for 2011 An SIA Approved Contractor can demonstrate that it actively manages the impact of its services on society. There is a policy relating to corporate social responsibility which is communicated and implemented. Required Achievement Level The organisation has not considered its responsibility to society as a whole. The organisation is aware of its responsibilities to society. There are some examples of actions taken that are consistent with these responsibilities. The organisation is aware of its responsibilities to society and takes a positive stance to ensure ownership. Employees are aware of their responsibilities and act accordingly. Steps have been taken to make customers aware of the organisations positive stance on its responsibilities to society. A policy relating to corporate social responsibility exists. The policy outlines the organisations positive stance on environmental and social issues and directly addresses protection of the public. It is communicated to all employees and customers. All aspects of the previous column plus: The policy covers a wide spectrum of activity, including an environmental policy statement. It is fully implemented..
8.1.2
Activities to promote and improve the reputation of the private security industry with the police, the local community and with customers are planned and implemented. Required Achievement Level
Requirements enhanced for 2011
The organisation has not considered its impact on the reputation of the Private Security Industry.
The organisation is aware of how it may impact the reputation of the Private Security Industry. The organisation takes opportunities to enhance the reputation of the private security industry when appropriate.
All aspects of the previous column plus: Appropriate contact with the police is maintained. Actions that may enhance the reputation of the Private Security Industry are planned and linked to local activities and to customer initiatives where appropriate.
All aspects of the previous column plus: The organisation actively works with relevant organisations to promote protection of the public within the local community, for example through counter terrorism awareness or training. They actively encourage recruitment by promoting a positive image of the private security industry through their actions.
All aspects of the previous column plus: The organisation has been recognised by relevant organisations as a leader in developing the reputation of the private security industry.
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8. Corporate Social Responsibility

8.2 8.2.1 An SIA Approved Contractor can demonstrate that it manages waste and non renewable resources in a socially responsible way. The organisation considers its impact on the environment in service delivery and running the business. Required Achievement Level The organisation has not considered its impact on the environment. The organisation is aware of its impact on the environment and is taking steps where appropriate to reduce this impact. There is a policy relating to the organisations environmental impact. It is included in the induction of new staff Some aspects of performance against the policy are monitored. All aspects of the previous column plus: The environmental policy is communicated to employees and customers and included in tender documents All aspects of the previous column plus: The environmental policy is integrated into an organisation wide corporate social responsibility statement. It is fully implemented. Performance against the policy is monitored.
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9. Results
An SIA Approved Contractor measures, understands and improves its achievements in relation to all stakeholders and adopts a continual improvement policy.
9.1 9.1.1 An SIA Approved Contractor can demonstrate that it measures and improves performance against key customer and consumer indicators. The regular review of performance against service level agreements and/or key customer performance indicators. Required Achievement Level Performance against service level agreements and key customer performance indicators is not regularly reviewed. The number of measures is not sufficient to give a true picture of performance. Performance is reviewed on a contract by contract basis. Measures cover all key aspects of the services provided to customers. Reasons for shortfalls in performance are understood. There are examples of improvements in performance. Performance against service level agreements and key customer performance indicators is regularly reviewed. Measures cover all key aspects of the services provided to customers. The results show positive trends and/or sustained good performance for the period of time the measure has been in place. Improved performance has taken place in the areas targeted for improvement. Reasons for shortfalls in performance are understood. All aspects of the previous column plus: All measures have targets. These are either met or the reasons for shortfalls in performance are understood and are being addressed. All aspects of the previous column plus: Comparisons of performance are made with relevant organisations inside and/or outside of the security industry. Performance compares favourably. External comparisons are relevant for promoting learning and improvement.
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9. Results
9.2 9.2.1 An SIA Approved Contractor can demonstrate that it measures and improves both customer and consumer perception of its organisation, its people and its services. The regular review of performance against responses from customer opinion gathering. Required Achievement Level Customer opinions are not regularly reviewed. Customer opinions are regularly obtained and reviewed on a customer by customer basis. Reasons for shortfalls in performance are understood. Customer opinion has improved following changes made as a result of feedback. Performance against customer perception measures is regularly reviewed. Measures cover all aspects of the services provided to customers. The results show positive trends and/or sustained good performance for the period of time the measure has been in place. Reasons for shortfalls in performance are understood. Improved performance has taken place in the areas targeted for improvement. All aspects of the previous column plus: All measures have targets. These are either met or the reasons for shortfalls in performance are understood and are being addressed. All aspects of the previous column plus: Comparisons of performance are made with relevant organisations inside and/or outside of the security industry. Performance compares favourably. External comparisons are relevant for promoting learning and improvement.
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9. Results
9.3 9.3.1 An SIA Approved Contractor can demonstrate that it measures and improves performance against key employee indicators. The regular review of performance against key employee performance indicators. Required Achievement Level Employee performance measures relate to performance in service delivery. They are reviewed as and when discussions about performance take place with the customer. All aspects of the previous column plus: Additional measures cover all key aspects of employee activity. Reasons for shortfalls in performance are understood. There are some examples of improvements in performance. All aspects of the previous column plus: Measures covering all aspects of employee activity are regularly reviewed. The results show positive trends and/or sustained good performance for the period of time the measure has been in place. Improved performance has taken place in the areas targeted for improvement. All aspects of the previous column plus: All measures have targets. These are either met or the reasons for shortfalls in performance are understood and are being addressed. All aspects of the previous column plus: Comparisons of performance are made with relevant organisations inside and/or outside of the security industry. Performance compares favourably. External comparisons are relevant for promoting learning and improvement.
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9. Results
9.4 9.4.1 An SIA Approved Contractor can demonstrate that it measures and improves employee perceptions of the organisation and their role within it. The review of performance against responses from employee opinion gathering. Required Achievement Level Employee opinions are gathered. Recording of opinions is not normal practice but comments are acted upon when appropriate. Employee opinions are regularly obtained and reviewed. Reasons for shortfalls in performance are understood. Appropriate actions have been taken on some issues raised by employees. Performance against more formal employee perception measures is regularly reviewed. Measures cover all aspects of employee activity. The results show positive trends and/or sustained good performance for the period of time the measure has been in place. Reasons for shortfalls in performance are understood. Improved performance has taken place in the areas targeted for improvement. All aspects of the previous column plus: All measures have targets. These are either met or the reasons for shortfalls in performance are understood and are being addressed. All aspects of the previous column plus: Comparisons of performance are made with relevant organisations inside and/or outside of the security industry. Performance compares favourably. External comparisons are relevant for promoting learning and improvement.
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9. Results
9.5 9.5.1 An SIA Approved Contractor can demonstrate that it measures and improves performance against key indicators for the way in which it supports the community and the environment in which it operates. The review of performance against internal and external environmental/societal/ health and safety performance indicators. Required Achievement Level Health and safety performance indicators are regularly reviewed. Reasons for shortfalls in performance are understood. All aspects of the previous column plus: Performance indicators are in place to measure environmental and/or societal activity. Improved performance has taken place in the areas targeted for improvement. Performance in relation to the environment and/or impact on society is monitored or reviewed. All aspects of the previous column plus: All measures have targets. These are either met or the reasons for shortfalls in performance are understood and are being addressed. The results show positive trends and/or sustained good performance for the period of time the measure has been in place. All aspects of the previous column plus: Comparisons of performance are made with relevant organisations inside and/or outside of the security industry. Performance compares favourably. External comparisons are relevant for promoting learning and improvement.
Performance in relation to the environment, health and safety and impact on society is not monitored.
9.5.2
Key measures are used to indicate reputation within the local community. Required Achievement Level
The reputation of the organisation within the local community is not monitored.
There are some examples of positive feedback from the local community.
All aspects of the previous column plus: The organisation maintains a good reputation within the local community.
All aspects of the previous column plus: The organisation encourages and acts upon individual feedback. The organisation actively seeks feedback from the police and other relevant authorities on its performance in upholding the reputation of the security industry.
All aspects of the previous column plus: The organisation measures its reputation within the local community, police and other relevant authorities by conducting opinion gathering exercises on a regular basis.
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9. Results
9.6 9.6.1 An SIA Approved Contractor can demonstrate that it measures and improves performance against key outcomes and financial indicators critical to the business. The regular review of performance against success factors and key financial indicators critical to the business. Required Achievement Level Performance against key outcomes is not regularly reviewed. The number of measures is not sufficient to give a true picture of performance. Performance against key outcomes is regularly reviewed. Measures cover all key aspects of the business outside of employee and customer indicators. Reasons for shortfalls in performance are understood. All aspects of the previous column plus: The results show positive trends and/or sustained good performance for the period of time the measure has been in place. Improved performance has taken place in the areas targeted for improvement. All aspects of the previous column plus: All measures have targets. These are either met or the reasons for shortfalls in performance are understood and are being addressed. All aspects of the previous column plus: Comparisons of performance are made with relevant organisations inside and/or outside of the security industry. Performance compares favourably. External comparisons are relevant for promoting learning and improvement.
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Security Industry Authority, Approved Contractor Scheme, PO Box 49768, London, WC1V 6WY Phone: 020 7025 4190 Fax: 020 7025 4101 E-mail: ACSenquiries@sia.gsi.gov.uk www.sia.homeoffice.gov.uk
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F

1. Background Approved Contractor Scheme

1.2. The ACS Standard

1.3. Who should consider applying?

Figure 1 ACS Standard Criteria

2. The ACS Assessment Process

ACS Assessing Body Conduct Verification Visit

Send Report to SIA

Arrange Verification Visit

Check Criteria Met

Fast Track Aproval

SIA Final Approval Decision

Intelligence Check SIA

2.1. The Self Assessment Workbook

Defined and implemented incident procedure exists. Required Achievement Level

BS7958 BS7499 BS7960

Public Space Surveillance (CCTV) Security Guarding Door Supervision

Cash & Valuables in Transit

BS7984 BS8507-1 BS8517-1 n/a

Key Holding Close Protection Security Guarding Vehicle Immobilisation

Figure 5 Overlap between ISO 9001:2008 and the ACS Standard

2.3. How to use the workbook

2.4. Recording achievement against the ACS Standard

3. ACS Self Assessment Workbook Criteria

Please Note Key To Changes:

Significant clarifications to the standard are now highlighted in blue

Pl ea s e no t e S IA AC S a s s e s so rs wi l l a s se s s a nd r ep or t a gai n st th e c ha ng ed SA W r e qui re m e n ts f r o m 1 No v e mb e r 20 1 0 . Th e n ew r eq uir e m en t s b e co m e ma nd a to ry ( par t of A CS T er m s & C on di ti o ns of App ro val ) f ro m 1 April 20 1 1 .

Good practice added for 2011

All procedures are regularly reviewed. Required Achievement Level

3. Commercial Relationship Management

3. Commercial Relationship Management

3. Commercial Relationship Management

3. Commercial Relationship Management

3. Commercial Relationship Management

3. Commercial Relationship Management

3. Commercial Relationship Management

3. Commercial Relationship Management

3. Commercial Relationship Management

Requirements change for 2011 Clarification for 2011

Requirements change for 2011

Good practice added for 2011

Requirements change for 2011

The organisation is aware of developments in the market place in which it operates.

Requirements change for 2011 Good practice added for 2011

Clarification for 2011

Requirement change for 2011

Requirements change for 2011

Good practice added for 2011

Assignment specific training/induction/information is given. Required Achievement Level

Assignment specific information is given verbally.

6.4.2 Good practice added for 2011

Self learning and improvement is encouraged. Required Achievement Level

Self learning and improvement are not encouraged or supported.

Good Practice change for 2011

The national minimum wage is adhered to.

Leaders are involved in the development of policies and procedures.

Leaders review key results in an ad-hoc manner.

Leaders cannot demonstrate that they are involved in improvement activity.

Leaders are involved in improvement activity in an ad-hoc manner.