Transcript ACS Self-Assessment Training Workshop

ACS Training Workshop
Northampton Worcester Nottingham
Falkirk
London
October/November 2009
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ACS Training Workshop
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Completing the SAW/OLAR
Preparing for the Assessment
Developing the Visit Plan
The role of the Assessor
Good Practice, Improvement Needs &
Improvement Options
• Action Plans & Re-visits
• ACS Sanctions Framework
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ACS Assessment Process
Jody Parker
ACS Quality Assurance Manager
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On Line Achievement Record
• Your organisation is required to
complete the online achievement
record (OLAR) on initial application &
annually thereafter.
• The Self-Assessment Workbook (SAW)
is intended to enable completion of the
online achievement record.
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ACS Standard Definition
• 9 Criteria, 89 Indicators
1) Strategy (7)
2) Processes (12)
3) Commercial Relationship Management (10)
4) Financial Management (6)
5) Resources (9)
6) People (26)
7) Leadership (9)
8) Corporate Social Responsibility (3)
9) Results (7)
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Self Assessment Workbook (SAW)
• five possible achievement levels for each (improvement from left to right)
• required level for ACS is marked as Required Achievement Level
• refer to Self Assessment Guide (see ACS Publications)
• decide your self-assessment (box 1 to box 5)
• take action where necessary and re-assess
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Record self assessment on-line
← use ‘evidence’ box to record
summary points for sub-criterion
← red marker indicates
required level
← use N/A if not-applicable (rare!)
← justify your score under
each indicator
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SAW – Poor Example
(see handout)
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SAW – Good Example
(see handout)
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Summary screens show your status
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Common Improvement Needs
Raised
• 2.4.2 - service level agreements
• 4.2.3 - ‘fit and proper’ management structure
• 6.1.1 – Screening & Vetting
• 6.2.1 – Training Plans
• 7.1.4 – Review Key Results
• 9.3.1- Employee performance indicators
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6 – People (6.1.1)
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SAW – 6.1.1 Weak Indicator
(see handout)
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9 – Results (9.3.1)
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SAW – 9.3.1 Weak Indicator
(see handout)
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Please Do
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Provide sufficient evidence in each indicator box
Share the Experience – departments involvement
Verify and test SAW prior to submitting OLAR
Build ACS awareness–Staff/customer/consumers
Review SAW as part of the Business Plan
Complete/Review SAW each year
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Please Don’t
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Use one liners
Use ‘quotes’ e.g. ISO/QMS, Yes
Copy & Paste (same statements)
Leave blank boxes
Over score unless you can demonstrate it
Treat this as a one off exercise to gain ACS
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Tips for recording self assessment
• Record off-line first – in MS Word or similar
• Copy/paste from Word into the on-line record
• Click ‘Save’ every 10 minutes to save your
on-line record
• Keep your justification to a few key points –
no more than 500 characters in each text box
• No one else can access you assessment until
you click ‘Submit’ – edit as often as you like
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Need more help…
• Contact the SIA in the first instance
• The ACS Standard and the application
process are designed for anyone to use
• Only the SIA and ACS Assessing Bodies
are fully qualified to advise
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Any Questions?
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Preparing for an ACS Assessment
Keith Leyland
CCAS
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Understand the assessor’s objective
• The Assessor’s objective is to verify, for each
required Indicator, the score you have input
into your Self Assessment Workbook (SAW).
• To achieve this the assessor will seek
information using a number of methods
including research, observation, interview and
review of documentation.
(To be amplified in “The role of the assessor”)
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Review your SAW
• Ensure that the information in your SAW is
current and correct.
• Maybe conduct a “desktop” audit to confirm
you are as ready as possible.
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Gather required information
• Ensure the information required by the
assessor to develop the Visit Plan is
available.
(See presentation Preparing the Visit Plan for detailed
requirements)
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Hints and Tips
• Begin planning as early as possible.
• Speak to your Assessor as early as you
are able.
• Maybe prepare an “evidence dossier”
cross-referenced to the SAW.
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Hints and Tips (continued)
• Brief stakeholders (employees, customers,
suppliers, any other individuals who you think
may be able to contribute to your assessment
– police, local business contacts) on the
assessment process. Confirm assessor
confidentiality and impartiality.
• Confirm that non-employees are prepared to
contribute and obtain their availability.
• Confirm senior manager availability.
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ANY QUESTIONS?
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Developing the Visit Plan
Delivered by Keith Leyland
of CCAS
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Assumptions
• The date of the assessment has
been agreed.
• The number of days for the
assessment has been agreed.
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Gathering information
• The Assessor will contact you prior to
the assessment to obtain information
required to create the Visit Plan. The
Assessor will be seeking the information
contained in the next few slides.
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Type, size & complexity of the
organization
• Sectors granted eligibility for.
• Geographic location of branches.
• Number of contracts and different types of customers
and their location.
• Nature of the services provided e.g. shift work, night
work, weekend work.
• Whether the company is centralised or decentralised.
If decentralised where are key records kept?
• Degree of autonomy of any branches.
• Level of formality within the organization.
• Number of levels and type of management.
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Number and availability of staff
• Directors
• Managers
• Supervisors
• Licensed employees broken down by sector
• Support/administration
• Sub-contractors (including self-employed
individuals and individuals deployed on subcontract from other companies)
• Identification of key staff to be interviewed
and their availability
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Determine methods for
obtaining evidence
• Face to face interviews.
• Focus groups.
• Telephone interviews.
• Site visits and observation of activities
being carried out.
• Determine restrictions – geography,
shift pattern, availability.
• Locations of records.
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Potential for consumer and/or
stakeholder contact
• Suppliers
• Professional services (accountants, consultants, bank)
• Employees of customers
• General public
• Representatives of user groups
• Police
• Business groups
• Community representatives
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Management system maturity
• Determine the maturity of the
management system in place and the
expectations of the leaders regarding the
assessment process. For example,
businesses with a mature management
system and culture may be expecting a
higher degree of “added value”.
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Creating the Visit Plan (see handout)
• The Assessor will use the information
you have provided and will create a
Visit Plan taking into account the SIA
Planning guidelines.
• The handout associated with the
presentation gives examples of the
guidelines.
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Submitting the Visit Plan
• The Assessor should submit the Visit
Plan to the company assessed at least
5 days prior to the assessment.
• The Assessor will submit the Visit Plan
to SIA at least 3 days prior to the
assessment.
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ANY QUESTIONS?
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The Role of the Assessor
Delivered by Kay Aitkin
of National Security Inspectorate
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Assessor’s Role
• The assessor’s role is one of:
– verification
– provision of feedback
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Assessor’s Role
• What is ‘verification’?
– Relies on realistic self assessment
– Check the self assessment
– Confirms the evidence
• How?
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Assessor’s Role
• Interviews with:
– key senior personnel
– customers
– employees
• security officers
• office based personnel
– other stakeholders/consumers
• Targeted questions
– relationships between the criteria, sub-criteria
and indicators
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Assessor’s Role
• Test results
• Focus on
– actual practices
– extent of deployment
– Outcomes
• Review documentary evidence
where relevant
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Assessor’s Role
• Apply judgement
– scoring
– identify strengths and areas for improvement
• Provide feedback
– discussion
• Provide confidence to SIA
– applicant meets requirements
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Assessor’s Role
Any Questions?
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Good Practice, Improvement Needs
& Improvement Options
Delivered by Kay Aitkin
of National Security Inspectorate
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Feedback
• 3 types of feedback
– Good Practice
– Improvement Needs
– Improvement Options
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Good Practice
• What the organisation is doing well
– relative to size of organisation
– industry model
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Good Practice
XXX have developed effective relations with police and
local authorities. This includes attending joint quarterly
meetings where they review all incidents.
This has led to changes to the way XX maintain records
of incidents, with a view to ensuring that any staff
member can provide comprehensive statements as
necessary. This in turn assists other agencies in taking
forward prosecutions or other action. (1.4.1, 8.1.2)
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Improvement Needs
• Raised when the organisation does not
meet the required achievement level in
any indicator
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Improvement Needs
XX use sub contractors to deliver door
supervision services. However, the company
used to provide this service is not an
Approved Contractor. (3.1.3)
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Improvement Options
• Raised:
– when meeting the required achievement level
– to help the organisation improve
• What could be done not how to do it
• Organisation decides whether they take action
– checked in following year
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Improvement Options
XX may wish to consider conducting a year-onyear comparison of the results from the
employee questionnaire.
This would enable target setting and more
effective monitoring of any progress made.
(6.1.3, 9.3.1)
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Good Practice, Improvement Needs and
Improvement Options
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Good Practice, Improvement Needs and
Improvement Options
Any Questions?
Any Questions?
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Action Plans
Delivered by Jim Eaton
of ISOQAR
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Action Plan
• When do you need to complete an Action Plan?
• When an Improvement Need has been raised
during the assessment
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Action Plan
• The next step depends on your route
to approval e.g.
– Standard route
– Fast track
– Passport
Action Plans
• Standard route companies
– Not approved until Improvement Needs (IN) have
been resolved.
– If cannot be resolved within 6 months of eligibility
a new application is generally required.
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Action Plans
• Fast track assessment/any re-verification or
renewal. Already approved, so additional
information has to be established.
– Is the issue isolated?
– Is the issue systematic?
– Can it be rectified within a reasonable period
i.e. 3-6 weeks?
– It can be rectified but not within 6 weeks?
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Action Plan
• Passport
This will need to be discussed with your
AB as the required action may vary.
Action Plans
• In all cases, where a revisit is required
due to INs being raised, an action plan
and re-visit date should be discussed.
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Action Plan
• What needs to be included within the
Action Plan?
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Action Plan
• Indicator number as referenced in the Assessors
report
• Details of IN raised (establish root cause)
• Expected date IN to be resolved e.g. within 3-6
weeks or longer if required.
• A brief explanation of what the action entails
including corrective and preventive action
• Details of person responsible for actioning the IN
• Date of re-visit, if relevant
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Action Plans
• What are the typical or potential areas
which are the general cause for an
extended timescale?
– Vetting and screening
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Action Plan
• The Action plan needs to be sent to the SIA and
the Assessing Body (AB) within five working
days of receiving the Assessors summary report
[email protected]
• Inform the Assessing Body of the progress and
ask for guidance if required.
• Inform the SIA and the AB when completed.
• Prepare for the re-visit.
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Action plan
• Do all INs require a revisit?
• No e.g. licensing, which can be checked on
the SIA website, the majority of other cases
will require a re-visit
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Action Plan
• Any questions?
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Re-visits
Delivered by Jim Eaton
of ISOQAR
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Re-visit
• During the assessment the Assessor would
have determined if linked indicators had
been broken down or weakened by the IN.
• Additional INs or IOs (Improvement
Options) may need to be raised e.g. any IN
raised is likely to link into Criteria 9 – results.
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Re-visit
• A Re-visit will be booked within the agreed
timeframe, usually with the same Assessor
and as agreed with the SIA Quality
Assurance Manager.
• What happens next?
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Re-visit
• The Assessor will send a new visit plan
showing the people they wish to meet and
areas they wish to review.
• A re-visit will be conducted to review the
IN(s) raised.
• If the Assessor is satisfied with the actions
taken and that robust procedures are in
place a recommendation will be sent to the
SIA to sign the IN(s) off.
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Re-visit
• The Assessor will update the original
Assessment Report and send it to the
company and the SIA within 5 working days.
• It is the SIAs final decision, whether to grant
approval or not, so if the SIA Quality
Assurance Manager is satisfied with the
Assessors recommendation they will take the
appropriate action.
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Re-visit
• If the Assessor is not satisfied with the
findings the IN will remain in place and a
further Action Plan will be required.
• At this point the SIA may intervene.
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Re-visit
• Will the revisit cost more?
• It is likely that the AB will make a charge for
the re-visit depending on the circumstances,
complexity and details involved.
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Re-visits
Any questions?
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ACS Sanctions Framework
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Stephen Grieve
ACS Quality Assurance Manager
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ACS Sanctions Framework
• Available on ACS webpage at
www.sia.homeoffice.gov.uk
• Read in conjunction with ACS Terms &
Conditions
• Proportionate Approach – Right of Appeal
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Any final questions?
Remember your feedback/evaluation form.
Thank you!
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